text content |\n\nTable\n\n\n\n\n\n\n\n**Summary**\n\n**PDF/UA Tags**\n\nﾉ **Expand table**",
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- "text": "#### **U NDERSTANDING F UNCTIONS**\n\nImagine having to create a formula that calculated the monthly payments on a loan, or the average of over 100 cells - these would require complex or long formulas that would be\n\ntime consuming to develop. This is the role of hundreds of arithmetic functions that have been pre-programmed in Excel for you.\n\n**Functions Overview**\n\nFunctions are simply pre-programmed formulas already provided for you in Excel which can perform calculations covering a wide range of categories including statistics, date and time arithmetic, financial calculations, lists, engineering, and more.\n\nJust like normal formulas that you create, functions must start with an * **equal sign** * . The equal sign is then followed by the * **name** * of the function (usually a descriptive name which indicates the purpose of the function). Most functions also require additional information known as * **arguments** * which are supplied to the function in brackets after the function name. Functions are therefore written as follows:\n\n####### **=** * **name** * **(** * **arguments** * **)**\n\nThe arguments are quite often cell or range references that contain values that can be used in the function. For example, the commonest function is the * **SUM** * function which, as its name suggests, is used to sum or add values together. If you wanted to add all of the values in the cells from * **B10** * to * **D15** * you would write this function as:\n\n####### **=SUM(B10:D15)**\n\nAs you can see this is much simpler than writing your own referential formula which would look like:\n\n####### **=B10+B11+B12+B13+B14+B15+D10+D11+D12+D13+D14+D15**\n\nImagine writing and proofing a formula where you had to add 200 cells!\n\n**Typing Functions**\n\nIf you are familiar with the function that you need you can type it into a cell exactly the same way you type any other formula. If you are not sure if Excel has a function or you can’t quite remember how it is\n\nwritten you can use the * **Insert Function** * tool on the Formula Bar to assist you. When you click on\n\nthis tool the * **Insert Function** * dialog box will be presented to you which lists the most recently used or common functions and also allows you to search for other functions that you might need.\n\nThe * **Insert Function** * dialog box will also type the function out for you and then provide you with a further dialog box to guide you through the process of specifying the arguments that the function needs to perform its calculation.",
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- "source_file": "Excel Training Manual 1.pdf"
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- "source_file": "Excel Training Manual 1.pdf",
- "query": "How to rename a worksheet in Excel ?",
- "target_page": 12,
- "target_passage": "To rename a worksheet: 1. Double click on the current name on the worksheet tab 2. Type the new name and press ",
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- "text": "*Page 8*\n\n###### **ENAMING A W ORKSHEET**\n\nBy default, Excel names worksheets as * **Sheet1** * , * **Sheet2** * , * **Sheet3** * , etc. These names are fine if you are not planning to share the workbook, but changing these to something more relevant\n\nmakes it much easier to understand the purpose of a worksheet. You can also adjust the horizontal scroll bar to make room for longer, more meaningful worksheet names.\n\n**Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the previous* *file with this exercise, or open* *the file E1324 Worksheet* *Techniques_2.xlsx...*\n\n Point to the vertical dots between the sheet names and the horizontal scroll bar, as shown\n\n*The pointer will change to a* *double-headed arrow...* Click and drag the bar across to the right, to the end of column * **L** * , then release the mouse button Double-click on * **Sheet1 (5)** * to select the worksheet tab name\n\n*This will also place it into edit* *mode…* Type **Comms** , then press\n\n Repeat steps * **3** * and * **4** * to rename the other worksheets:\n\n* **Sheet1 (4)** * **Admin** * **Sheet1 (3)** * **Shop** * **Sheet1 (2)** * **IT** * **Sheet1** * **Maintenance**\n\n## **1**\n\n## **3**\n\n## **4**\n\n## **5**\n\n**For Your Reference…**\n\nTo * **rename** * a * **worksheet** * :\n\n1. Double click on the current name on the worksheet tab\n\n2. Type the new name and press\n\n**Handy to Know…**\n\n- You can rename a worksheet by right-clicking on the worksheet tab to display the shortcut menu and clicking on * **Rename** * .\n\n- A worksheet tab name can contain up to 31 characters including spaces, but it is better to keep it short and succinct.",
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- "source_file": "Excel Training Manual 1.pdf"
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- "text": "*Page 6*\n\n###### **I NSERTING A ND D ELETING W ORKSHEETS**\n\nOnce you’ve decided on a structure for your workbook, you may find that there are some worksheets that can be * **deleted** * . Alternatively, you may find that you need additional blank\n\nworksheets * **inserted** * . However, remember that\n\ndeletion of worksheets is permanent and can’t be undone using * **Undo** * , so always save your workbook before making these changes.\n\n**Try This Yourself:**\n\n* **Open** * * **File** *\n\n*Before starting this exercise* *you MUST open the file* *E1324 Worksheet* *Techniques_1.xlsx…*\n\n Examine the workbook - it currently contains one worksheet named * **Sheet1** * Click on the * **New Sheet** * icon at the end of the worksheet tabs\n\n*A new worksheet named* *Sheet2 will be inserted. You* *can also use the keyboard* *shortcut...* Press + to insert another new worksheet\n\n*This sheet is named Sheet3* *and is inserted before the* *currently selected sheet.* *Now let’s delete a sheet...* Right-click on the * **Sheet3** * worksheet tab to display the shortcut menu Select **Delete** to remove the worksheet\n\n*As the worksheet contains no* *data, the sheet will be* *deleted immediately. If a* *worksheet contains data,* *Excel will ask you to confirm* *your actions...* Repeat steps * **4** * and * **5** * to delete * **Sheet2** *\n\n## **1**\n\n## **2**\n\n## **3**\n\n## **4**\n\n**For Your Reference…**\n\nTo * **insert** * a * **new** * * **worksheet** * into a * **workbook** * :\n\n- Click on the * **New Sheet** * icon to the right of the worksheet tabs\n\nTo * **delete** * a * **worksheet** * from a * **workbook** * :\n\n- Right click on the worksheet tab, then select **Delete**\n\n**Handy to Know…**\n\n- To insert a worksheet between existing worksheets, right-click on the worksheet tab before which you want to insert a new sheet, then click on * **Insert** * to display the * **Insert** * dialog box. Select * **Worksheet** * and click on **[OK]** .\n\n## **5**",
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- "source_file": "Excel Training Manual 1.pdf"
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- "text": "*Page 7*\n\n###### **OPYING A W ORKSHEET**\n\nJust as you can copy the contents of cells and ranges within a worksheet, you can * **duplicate** * worksheets within a workbook. This technique is ideal for replicating layouts. For example, if you\n\nhave a budget workbook that contains data for several departments, you can create a worksheet for the first department and then copy it to create identical worksheets for other departments.\n\n**Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the previous* *file with this exercise, or open* *the file E1324 Worksheet* *Techniques_1.xlsx...*\n\n Right-click on * **Sheet1** * to display the worksheet shortcut menu Select **Move or Copy** to display the * **Move or Copy** * dialog box Click on * **Create a copy** * so it appears ticked, then click on **[OK]**\n\n*The new worksheet is named*\n\n*Sheet1 (2). Let’s create a* *“template” from this worksheet* *by deleting unwanted data...* Select the range * **B7:E9** * , then press to clear it Repeat step * **4** * to clear the ranges * **B14:E23** * , * **G7:J9** * and * **G14:J23** * , then press + to return to cell * **A1** *\n\n*Now we can copy this* *“template” to create additional* *worksheets...* Repeat steps * **1** * to * **3** * three times to create three copies of the *template* worksheet - this time without data\n\n*The final worksheet should be* *named Sheet1 (5)*\n\n## **1**\n\n## **2**\n\n**For Your Reference…**\n\nTo * **copy** * a * **worksheet** * :\n\n1. Right-click on the worksheet to copy, then select * **Move or Copy** *\n\n2. Click on * **Create a copy** * so it appears ticked\n\n3. Click on **[OK]**\n\n**Handy to Know…**\n\n- You can copy the current worksheet using the * **HOME** * tab by clicking on * **Format** * in the * **Cells** * group, then clicking on * **Move or Copy** * * **Sheet** * .\n\n- The * **Before sheet** * options in the * **Move or** * * **Copy** * dialog box allow you to position the copied worksheet where you want.\n\n## **3**\n\n## **6**",
- "page_start": 10,
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- "source_file": "Excel Training Manual 1.pdf"
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- "text": "*Page 9*\n\n###### **M OVING OR C OPYING A S HEET T O A NOTHER W ORKBOOK**\n\nYou can * **copy** * worksheets to other workbooks as required. For example, you might need to keep records for six different divisions - rather than send each division the entire set of records, you\n\ncan copy their worksheet to another workbook and send them their data only. If worksheets exist in the other workbook, you will need to determine the order in which to place the copied worksheet.\n\n**Try This Yourself:**\n\n* **Same File** *\n\n*Continue using the* *previous file with this* *exercise, or open the file* *E1324 Worksheet* *Techniques_6.xlsx...*\n\n Click on the * **Maintenance** * worksheet tab\n\n*We’ll copy this completed* *data to another workbook...* Right-click on the worksheet tab to display the shortcut menu, then click on * **Move or Copy** * to display the * **Move or Copy** * dialog box Click on the drop arrow for * **To book** * , then select **(new book)** Click on * **Create a copy** * so it appears ticked\n\n*This will create a new* *workbook as well as* *making a copy of the* *worksheet...* Click on **[OK]**\n\n*A new workbook will be* *created and Maintenance* *will be the only worksheet* *in the workbook…* Save the new workbook as * **Maintenance.xlsx** * , then close it\n\n## **1**\n\n## **2 4**\n\n**For Your Reference…**\n\nTo * **copy** * a * **sheet** * to * **another** * * **workbook** * :\n\n1. Right click on the worksheet tab, then click on * **Move or Copy** *\n\n2. Select either * **(new book)** * or the name of another workbook in * **To book** *\n\n3. Tick * **Create a copy** * , then click on **[OK]**\n\n**Handy to Know…**\n\n- To copy a worksheet into an existing workbook, make sure that you open the destination workbook first to ensure that it is listed in * **To book** * in the * **Move or Copy** * dialog box.\n\n## **5**",
- "page_start": 12,
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- "source_file": "Excel Training Manual 1.pdf"
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- "text": "###### **HANGING W ORKSHEET T AB C OLOURS**\n\nTo make it easier for you to distinguish between worksheets, Excel enables you to change the colours of worksheet tabs. This allows you, for example, to quickly distinguish between different\n\nfinancial years, departments or months. The * **active** * * **sheet** * appears as underlined in a gradient version of the selected colour, while inactive tabs will display a solid colour background.\n\n**2 Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the previous* *file with this exercise, or open* *the file E1324 Worksheet* *Techniques_7.xlsx...*\n\n Click on the * **Admin** * worksheet tab to select the worksheet Right-click on the worksheet tab to display the shortcut menu, then point to * **Tab** * * **colour** *\n\n*This will display a palette of* *colour options…* Click on * **Red** * under * **Standard colours** * to apply the colour to the tab Right-click on the * **Maintenance** * worksheet tab to display the shortcut menu, click on * **Tab colour** * , then click on * **Blue** * under * **Standard colours** *\n\n*Notice how the Admin* *worksheet tab colour is now* *a solid rather than a* *gradient…* Repeat either technique to apply the following colours:\n\n* **Shop** * * **Yellow** * * **IT** * * **Green** * Click on the * **Admin** * worksheet tab to view the results\n\n## **3**\n\n## **4**\n\n## **5**\n\n## **6**\n\n**For Your Reference…**\n\nTo * **change the colour** * of a * **worksheet** * * **tab** * :\n\n1. Right-click on the worksheet tab to display the shortcut menu\n\n2. Point to * **Tab colour** * to display a palette of colour options\n\n3. Click on the desired colour\n\n**Handy to Know…**\n\n- To apply the same colour to two or more sheets at once, select them first. Hold down to select consecutive worksheets or hold down to select non-consecutive worksheets.",
- "page_start": 13,
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- "text": "###### **ELETING A C HART**\n\n**Try This Yourself:**\n\n* **Same File** *\n\n*Continue using the* *previous file with this* *exercise, or open the* *file E1317* *Charting_12.xlsx...*\n\n Click on * **Sheet 2** * to see the chart in the worksheet, then click on the chart to select it Press to delete the chart\n\n## **1**\n\n**For Your Reference…**\n\nTo * **delete** * a * **chart** * :\n\n1. Click on the worksheet to see the chart, then click on the chart to select it\n\n2. Press\n\nIf you no longer require a chart you can easily delete it. With embedded charts you must first select the chart in the worksheet and then press the key to delete the chart. With charts in\n\nchart sheets you can delete the sheet by right clicking on the chart sheet tab and choosing the deletion option.\n\n## **2**\n\n**Handy to Know…**\n\n- Because it is so easy to delete a chart object it is also easy to delete it by accident! Remember, you can use the * **Undo** * feature in Excel to restore accidental deletions.",
- "page_start": 57,
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- "source_file": "Excel Training Manual 1.pdf"
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- "text": "*Page 1*\n\n###### **U NDERSTANDING W ORKBOOKS**\n\nIn Microsoft Excel the data you enter, whether it consists of numbers, text, or formulas, is stored in a file known as a * **workbook** * . Workbooks are just like huge electronic books with pages (or\n\n* **sheets** * ) that have been ruled into columns and rows. Before using Excel it is helpful to know what the various parts and elements that make up a workbook are.\n\n A worksheet (or page) in a workbook contains 16,384 * **columns** * that are labelled using letters of the alphabet. The first column in a worksheet is labelled column * **A** * , while the last is labelled * **XFD** *\n\n A worksheet (or page) in a workbook contains 1,048,576 * **rows** * that are labelled using numbers from 1 to 1,048,576\n\n Where a column and row intersect we get what is known as a * **cell** * . You enter your data into these cells. Each cell in a worksheet can hold up to 32,767 characters - although it would be unrealistic to ever push it this far. Cells are referred to by their column and row labels. For example, in the screen above the cell we are pointing to is * **C11** * - this reference is known as the * **cell address** * and is most important as it is frequently used in commands and formulas\n\n When you start typing something, you want it to appear somewhere in the worksheet. As a consequence when the Status Bar shows * **Ready** * mode, at least one cell in the worksheet will be highlighted - this is known as the * **active cell** * . In the screen above, the active cell is cell * **A1** * - notice that the column label and the row label also appears coloured to indicate the active cell. You can have more than one active cell - when this occurs you have what is known as a * **range** *\n\n A workbook (as you would expect) is made up of pages known as * **worksheets** * . You can have as many sheets in a workbook as your computer resources can accommodate. As a default, a new blank workbook normally has 3 worksheets labelled *Sheet1* , *Sheet2* , and *Sheet3* . Of course these labels are pretty boring and meaningless and can be changed to something more relevant\n\n The * **Insert Worksheet** * button here will insert another worksheet into the current workbook should you need it\n\n## **1**\n\n## **2**\n\n## **5**\n\n## **3**\n\n## **4**\n\n## **6**",
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- "text": "###### **G ROUPING W ORKSHEETS**\n\nWorksheet * **grouping** * enables you to make the same change at once to all selected worksheets. This feature is useful in situations where your worksheets have identical layouts or text. For\n\nexample, if you want to format the heading for multiple worksheets, you simply * **group** * the worksheets, make a change to one worksheet and the other worksheets will reflect the change also.\n\n**1 Try This Yourself:**\n\n* **Same File** *\n\n*Continue using the previous* *file with this exercise, or* *open the file E1324* *Worksheet* *Techniques_8.xlsx...*\n\n Click on the * **Admin** * worksheet tab, hold down , then click on the * **Shop** * worksheet tab to select the first three worksheets Click in cell * **A1** * to select the cell Click on the * **HOME** * tab, then click on * **Italics** * in the * **Font** * group\n\n*This will italicise the text in* *cell A1 on this and all other* *worksheets in the group…* Click on the * **Maintenance** * worksheet tab, then the * **Shop** * worksheet tab to see that the changes have been applied here Click on the * **IT** * worksheet tab to see that the changes have *not* been applied to this worksheet\n\n*Since this was not part of* *the grouped sheets the* *changes have not been* *applied here. Notice too that* *clicking on a tab deselects* *the previous grouping*\n\n## **2**\n\n## **3**\n\n## **4**\n\n## **5**\n\n**For Your Reference…**\n\nTo * **group** * * **worksheet** * * **tabs** * :\n\n1. Click on the first worksheet tab\n\n2. Hold down , then click on the last worksheet tab\n\n**Handy to Know…**\n\n- To deselect a group, either click on the tab of a worksheet that is not in the group, or right- click on a tab and select **Ungroup Sheets** .\n\n- Most formatting and text changes done on a worksheet in a group will be applied to other sheets in that grouping.",
- "page_start": 14,
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- "text": "###### **REATING A C HART S HEET**\n\nCharts can either be stored in a worksheet or in a separate sheet of their own known as a * **chart** * * **sheet** * . Chart sheets separate the chart from the underlying data and are useful especially if you\n\nare interested in printing the chart on its own page. Charts can be shifted back and forth between a worksheet and a chart sheet.\n\n**Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the* *previous file with this* *exercise, or open the file* *E1317 Charting_6.xlsx...*\n\n Click on the chart to select it and display the * **CHART TOOLS:DESIGN** * and * **CHART TOOLS:** * * **FORMAT** * tabs Click on the * **CHART** * * **TOOLS:** * * **DESIGN** * tab, then click on * **Move** * * **Chart** * in the * **Location** * group to display the * **Move** * * **Chart** * dialog box Click on * **New** * * **Sheet** * , then type **Revenue Chart**\n\n*This will become the* *sheet name for the* *chart…* Click on **[OK]** to move the embedded chart to its own sheet Click on the * **Chart** * * **Data** * worksheet tab to see the data again\n\n*Notice that the chart is no* *longer embedded on this* *worksheet*\n\n## **2**\n\n## **3**\n\n## **4**\n\n**For Your Reference…**\n\nTo * **create** * a * **chart sheet** * :\n\n1. Click on the * **CHART TOOLS:** * * **DESIGN** * tab, then click on * **Move** * * **Chart** * in the * **Location** * group\n\n2. Click on * **New** * * **Sheet** * , type a name for the sheet and click on **[OK]**\n\n**Handy to Know…**\n\n- Keeping charts on their own sheets makes them easier to work with as they do not obstruct the data.",
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- "text": "###### **HANGING T HE C HART T YPE**\n\n**Try This Yourself:**\n\n* **Same File** *\n\n*Continue using the* *previous file with this* *exercise, or open the* *file E1317* *Charting_7.xlsx...*\n\n Click on the * **Revenue** * * **Chart** * worksheet tab to see the chart, then click anywhere on the chart to select it and display the chart commands on the ribbon Click on the * **CHART** * * **TOOLS:** * * **DESIGN** * tab, then click on * **Change** * * **Chart** * * **Type** * in the * **Type** * group to display the * **Change** * * **Chart** * * **Type** * dialog box Click on * **3-D Column** * , as shown Click on **[OK]** to apply the change to the chart Click on the * **Chart** * * **Data** * worksheet tab to return to the worksheet\n\n## **3**\n\nWhen you create a chart, you may not always achieve the result that you desire. Fortunately, the process for changing a chart type is quite simple. You just need to have an understanding\n\nof what each chart type is designed for and to select the format that best suits your purpose. Just be aware that some chart types are designed for specialised applications.\n\n**For Your Reference…**\n\nTo * **change** * the * **chart type** * :\n\n1. Ensure the chart or chart sheet is selected\n\n2. Click on the * **CHART TOOLS:** * * **DESIGN** * tab, then click on * **Change** * * **Chart** * * **Type** * in the * **Type** * group\n\n3. Click on the desired chart and click on **[OK]**\n\n**Handy to Know…**\n\n- You can use * **Change** * * **Chart** * * **Type** * in the * **Type** * group on the * **CHART TOOLS:** * * **DESIGN** * tab for either embedded charts or charts that have their own worksheet tabs.\n\n## **4**",
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- "source_file": "Excel Training Manual 1.pdf",
- "query": "I want to freeze a pane in my Excel worksheet ",
- "target_page": 16,
- "target_passage": "To freeze panes in a worksheet: 1. Click in the cell below and to the right of the area you want to freeze/unfreeze 2. Click on the VIEW tab 3. Click on Freeze Panes in the Window group, then select Freeze Panes ",
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- "text": "###### **F REEZING R OWS A ND C OLUMNS**\n\nWhen you lay out your data in rows and columns, it is most likely that your headings end up at the top or to the left of your data. If you have a large amount of data, you may find that when you\n\nscroll across or down to particular cells, the headings scroll out of view. This problem can be resolved by * **freezing** * the rows and/or columns that hold the headings.\n\n**Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the previous file* *with this exercise, or open the file* *E1324 Worksheet* *Techniques_11.xlsx...*\n\n Click on the * **Maintenance** * worksheet tab, then spend a few moments examining the worksheet\n\n*Depending on your screen, it is* *possible that you won’t be able to* *see all of the figures on the screen* *at once...* Click in cell * **B6** * to select the cell\n\n Click on the * **VIEW** * tab, click on * **Freeze Panes** * in the * **Window** * group, then select **Freeze Panes**\n\n*Thin black lines appear above and* *to the left of the selected cell. This* *indicates that the areas above and* *to the left are frozen...* Scroll to the right until * **Yearly** * * **Average** * in column * **L** * appears next to column * **A** * Scroll down until * **Overheads** * in row * **25** * is below row * **5** * Press + to move to cell * **B6** * - this is our temporary home cell, as the cells above and to the left are frozen On the * **VIEW** * tab, click on * **Freeze** * * **Panes** * in the * **Freeze Panes** * group, then click on * **Unfreeze Panes** * to unfreeze the rows and columns\n\n## **3**\n\n## **4**\n\n**For Your Reference…**\n\nTo * **freeze panes** * in a * **worksheet** * :\n\n1. Click in the cell below and to the right of the area you want to freeze/unfreeze\n\n2. Click on the * **VIEW** * tab\n\n3. Click on * **Freeze Panes** * in the * **Window** * group, then select **Freeze Panes**\n\n**Handy to Know…**\n\n- If you want to freeze only the rows above the selected cell (leaving all columns unfrozen), select the cell in column * **A** * of that row - e.g. to freeze rows * **1** * to * **6** * , click in cell * **A7** * . The same applies to freezing only columns and leaving the rows unfrozen: select the cell in row * **1** * .\n\n## **5**",
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- "source_file": "Excel Training Manual 1.pdf"
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- "text": "* **Figure 44. Data Entry Grid Export to Excel screen** *",
- "page_start": 29,
- "page_end": 29,
- "source_file": "maiis-user-manual.pdf"
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- "text": "*Page 6*\n\n###### **I NSERTING A ND D ELETING W ORKSHEETS**\n\nOnce you’ve decided on a structure for your workbook, you may find that there are some worksheets that can be * **deleted** * . Alternatively, you may find that you need additional blank\n\nworksheets * **inserted** * . However, remember that\n\ndeletion of worksheets is permanent and can’t be undone using * **Undo** * , so always save your workbook before making these changes.\n\n**Try This Yourself:**\n\n* **Open** * * **File** *\n\n*Before starting this exercise* *you MUST open the file* *E1324 Worksheet* *Techniques_1.xlsx…*\n\n Examine the workbook - it currently contains one worksheet named * **Sheet1** * Click on the * **New Sheet** * icon at the end of the worksheet tabs\n\n*A new worksheet named* *Sheet2 will be inserted. You* *can also use the keyboard* *shortcut...* Press + to insert another new worksheet\n\n*This sheet is named Sheet3* *and is inserted before the* *currently selected sheet.* *Now let’s delete a sheet...* Right-click on the * **Sheet3** * worksheet tab to display the shortcut menu Select **Delete** to remove the worksheet\n\n*As the worksheet contains no* *data, the sheet will be* *deleted immediately. If a* *worksheet contains data,* *Excel will ask you to confirm* *your actions...* Repeat steps * **4** * and * **5** * to delete * **Sheet2** *\n\n## **1**\n\n## **2**\n\n## **3**\n\n## **4**\n\n**For Your Reference…**\n\nTo * **insert** * a * **new** * * **worksheet** * into a * **workbook** * :\n\n- Click on the * **New Sheet** * icon to the right of the worksheet tabs\n\nTo * **delete** * a * **worksheet** * from a * **workbook** * :\n\n- Right click on the worksheet tab, then select **Delete**\n\n**Handy to Know…**\n\n- To insert a worksheet between existing worksheets, right-click on the worksheet tab before which you want to insert a new sheet, then click on * **Insert** * to display the * **Insert** * dialog box. Select * **Worksheet** * and click on **[OK]** .\n\n## **5**",
- "page_start": 9,
- "page_end": 9,
- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "*Page 7*\n\n###### **OPYING A W ORKSHEET**\n\nJust as you can copy the contents of cells and ranges within a worksheet, you can * **duplicate** * worksheets within a workbook. This technique is ideal for replicating layouts. For example, if you\n\nhave a budget workbook that contains data for several departments, you can create a worksheet for the first department and then copy it to create identical worksheets for other departments.\n\n**Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the previous* *file with this exercise, or open* *the file E1324 Worksheet* *Techniques_1.xlsx...*\n\n Right-click on * **Sheet1** * to display the worksheet shortcut menu Select **Move or Copy** to display the * **Move or Copy** * dialog box Click on * **Create a copy** * so it appears ticked, then click on **[OK]**\n\n*The new worksheet is named*\n\n*Sheet1 (2). Let’s create a* *“template” from this worksheet* *by deleting unwanted data...* Select the range * **B7:E9** * , then press to clear it Repeat step * **4** * to clear the ranges * **B14:E23** * , * **G7:J9** * and * **G14:J23** * , then press + to return to cell * **A1** *\n\n*Now we can copy this* *“template” to create additional* *worksheets...* Repeat steps * **1** * to * **3** * three times to create three copies of the *template* worksheet - this time without data\n\n*The final worksheet should be* *named Sheet1 (5)*\n\n## **1**\n\n## **2**\n\n**For Your Reference…**\n\nTo * **copy** * a * **worksheet** * :\n\n1. Right-click on the worksheet to copy, then select * **Move or Copy** *\n\n2. Click on * **Create a copy** * so it appears ticked\n\n3. Click on **[OK]**\n\n**Handy to Know…**\n\n- You can copy the current worksheet using the * **HOME** * tab by clicking on * **Format** * in the * **Cells** * group, then clicking on * **Move or Copy** * * **Sheet** * .\n\n- The * **Before sheet** * options in the * **Move or** * * **Copy** * dialog box allow you to position the copied worksheet where you want.\n\n## **3**\n\n## **6**",
- "page_start": 10,
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- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "## **Excel**\n\n## **Fundamentals**",
- "page_start": 0,
- "page_end": 0,
- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "###### **ELETING A C HART**\n\n**Try This Yourself:**\n\n* **Same File** *\n\n*Continue using the* *previous file with this* *exercise, or open the* *file E1317* *Charting_12.xlsx...*\n\n Click on * **Sheet 2** * to see the chart in the worksheet, then click on the chart to select it Press to delete the chart\n\n## **1**\n\n**For Your Reference…**\n\nTo * **delete** * a * **chart** * :\n\n1. Click on the worksheet to see the chart, then click on the chart to select it\n\n2. Press\n\nIf you no longer require a chart you can easily delete it. With embedded charts you must first select the chart in the worksheet and then press the key to delete the chart. With charts in\n\nchart sheets you can delete the sheet by right clicking on the chart sheet tab and choosing the deletion option.\n\n## **2**\n\n**Handy to Know…**\n\n- Because it is so easy to delete a chart object it is also easy to delete it by accident! Remember, you can use the * **Undo** * feature in Excel to restore accidental deletions.",
- "page_start": 57,
- "page_end": 57,
- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "*Page 8*\n\n###### **ENAMING A W ORKSHEET**\n\nBy default, Excel names worksheets as * **Sheet1** * , * **Sheet2** * , * **Sheet3** * , etc. These names are fine if you are not planning to share the workbook, but changing these to something more relevant\n\nmakes it much easier to understand the purpose of a worksheet. You can also adjust the horizontal scroll bar to make room for longer, more meaningful worksheet names.\n\n**Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the previous* *file with this exercise, or open* *the file E1324 Worksheet* *Techniques_2.xlsx...*\n\n Point to the vertical dots between the sheet names and the horizontal scroll bar, as shown\n\n*The pointer will change to a* *double-headed arrow...* Click and drag the bar across to the right, to the end of column * **L** * , then release the mouse button Double-click on * **Sheet1 (5)** * to select the worksheet tab name\n\n*This will also place it into edit* *mode…* Type **Comms** , then press\n\n Repeat steps * **3** * and * **4** * to rename the other worksheets:\n\n* **Sheet1 (4)** * **Admin** * **Sheet1 (3)** * **Shop** * **Sheet1 (2)** * **IT** * **Sheet1** * **Maintenance**\n\n## **1**\n\n## **3**\n\n## **4**\n\n## **5**\n\n**For Your Reference…**\n\nTo * **rename** * a * **worksheet** * :\n\n1. Double click on the current name on the worksheet tab\n\n2. Type the new name and press\n\n**Handy to Know…**\n\n- You can rename a worksheet by right-clicking on the worksheet tab to display the shortcut menu and clicking on * **Rename** * .\n\n- A worksheet tab name can contain up to 31 characters including spaces, but it is better to keep it short and succinct.",
- "page_start": 11,
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- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "*Page 3*\n\n###### **T YPING T EXT OR N UMBERS I NTO A W ORKSHEET**\n\nGenerally when you start a new spreadsheet project, the first task is to enter some headings into rows and columns. To type anything into a worksheet you need to make the cell into which\n\nyou wish to enter the data active. This can be done in a number of ways but the most common is to click in it first before typing.\n\n**Try This Yourself:**\n\n*Before you begin ensure* *that there is a blank* *workbook on the screen…*\n\n Click in cell * **A3** * to make this the active cell, type **Garden Settings** and press\n\n*When you press* *the* *next cell down* *automatically becomes* *the active cell. By the* *way, even though the text* *looks like it is in cells A3* *and B3 it really only is in* *cell A3 - since there is* *nothing in B3, Excel* *allows the spill over to be* *displayed giving the* *illusion it is in 2 cells…* Type **Pool Covers** and press Repeat the above steps and enter the remaining text in column * **A** * as shown Click in cell * **B2** * to make this the active cell, type **UK** and press\n\n*When you press* *the* *cell to the right becomes* *the active cell…* Enter the remaining text in row * **2** * as shown\n\n**For Your Reference…**\n\nTo * **enter text** * :\n\n1. Click the cell pointer on the desired cell and type the required information\n\n2. Press , an arrow key or to\n\nconfirm the data entry and to move the cell pointer to another cell\n\n**Handy to Know…**\n\n- You don’t have to use or to make adjacent cells active. You can simply use the mouse and click in the cells if you want or even press the arrow keys to move up, down, left, or right.\n\n### **1 2**\n\n## **3**\n\n## **4**\n\n## **5**\n\n**For Your Reference…**\n\nTo * **save a new document** * :\n\n1. Click on the * **File Tab** * and select **Save As**\n\n2. Locate the storage folder in the * **Navigation** * * **pane** *\n\n3. Type a * **File name** * and click on **[Save]**\n\n**Handy to Know…**\n\n- In the exercise above we have named the workbook * **Garden Department Sales** * and filed it in * **C:\\Course Files for Excel 2010** * . Each time you start Excel it will most likely assume you want to file your workbooks in a folder called * **Documents** * which is associated with the user name you use on the computer.",
- "page_start": 6,
- "page_end": 6,
- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "[Word.Document.ExportAsFixedFormat2](https://learn.microsoft.com/en-us/office/vba/api/word.document.exportasfixedformat2) **Extending Office PDF Export**",
- "page_start": 1,
- "page_end": 1,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "#### **T HE C HARTING P ROCESS**\n\n* **Charts** * provide a way of seeing trends in the data in your worksheet. The charting feature in Excel is extremely flexible and powerful and allows you to create a wide range of charts from\n\nany of the * **Insert** * commands in the * **Charts** * group on the\n\n**Inserting Charts**\n\nThe first step when creating a chart is to select the data from the worksheet that you want to chart. It is important to remember that the selected range (which can be either contiguous or non-contiguous), should include *headings* (e.g. names of months, countries, departments, etc). These become *labels* on the chart. Secondly, the selected range should not (normally) include totals as these are inserted automatically when a chart is created.\n\nThe second step is to create a chart using the * **INSERT** * tab on the ribbon. You can choose a * **Recommended** * * **Chart** * where Excel analyses the selected data and suggests several possible chart layouts.\n\nAlternatively you can create the chart yourself from scratch by choosing one of the * **Insert** * commands in the * **Charts** * group. Charts that you create in Excel can be either *embedded* into a worksheet, or they can exist on their own sheets, known as * **chart sheets** * .\n\n**Chart Sheets**\n\nIf you want to keep your chart separate from the data you can move the chart to its own sheet. Chart sheets make it easier and more convenient to work with your\n\nchart because you’ll see more of it on the screen - since the data is not there!\n\n**Embedded Charts**\n\nCharts that appear within a worksheet are known as embedded charts. A chart is really an object that sits on top of the worksheet - unlike numbers and letters, charts are not actually placed into worksheet cells.",
- "page_start": 43,
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- "source_file": "Excel Training Manual 1.pdf"
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- ]
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- "references": {
- "source_file": "office-pdf.pdf",
- "query": "What is the msodocexStructTypeArticle type value ?",
- "target_page": 21,
- "target_passage": "A group of nodes forming a single flow of text that should be read or searched as a contiguous block of content. Some documents have a single article and others have multiple articles.",
- "chunk_present": {
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- "text": "| Type Value Description |\n|:---|\n| msodocexStructTypeTOC A table of contents. |\n| msodocexStructTypeTOCI An item in a table of contents. |\n| msodocexStructTypeExtLink A link to an external resource. |\n| msodocexStructTypeIntLink A link to an internal resource. |\n| msodocexStructTypeFootnote A footnote. |\n| msodocexStructTypeEndnote An endnote. |\n| msodocexStructTypeTextbox A text box. |\n| msodocexStructTypeHeader A block of text forming a header. |\n| msodocexStructTypeFooter A footer. |\n| msodocexStructInlineShape An inline shape. |\n| msodocexStructAnnotation An annotation. |\n| msodocexStructTypeSpanBlock A block of text. |\n| msodocexStructTypeWorkbook A workbook. |\n| msodocexStructTypeWorksheet A worksheet. |\n| msodocexStructTypeMacrosheet A macrosheet. |\n| msodocexStructTypeChartsheet A chartsheet. |\n| msodocexStructTypeDialogsheet A dialogsheet. |\n| msodocexStructTypeSlide A slide. |\n| msodocexStructTypeChart A chart. |\n| msodocexStructTypeDiagram A SmartArt diagram. |\n| msodocexStructTypeBulletText Buller text. |\n| msodocexStructTypeTextLine A line of text. |\n| msodocexStructTypeDropCap A drop cap. |\n| msodocexStructTypeSection A section. |\n| msodocexStructTypeAnnotationBegin The beginning of an annotation. |\n| msodocexStructTypeAnnotationEnd The end of an annotation. |",
- "page_start": 21,
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- "text": "The **idNode** member specifies the ID of the node. This member may not have a value of\n\n**0** . A value of **-1** indicates that child nodes do not use the **idNodeParent** member to\n\nspecify this node as their parent. Instead, this node can be a parent only by enclosing\n\nchild nodes in the EMF. Multiple nodes can have a ID of **-1** . If the ID is not **-1** , the value is\n\nunique across the document.\n\nThe **nodetype** specifies the type of structure node. This member is equal to one of the\n\nvalues from the **MSODOCEXSTRUCTTYPE** enumeration type. The following table lists\n\nexamples of document structure node types.\n\nTable 7. Document structure node types\n\n| Type Value Description |\n|:---|\n| msodocexStructTypePara A block of text within an article. Its parent node must be an article. |\n| msodocexStructTypeFigure A graphical element (for example, an image or collection of shapes) that has a textual representation. The textual representation is the alternate text used for reading or searching the document. |\n| msodocexStructTypeArticle A group of nodes forming a single flow of text that should be read or searched as a contiguous block of content. Some documents have a single article and others have multiple articles. |\n| msodocexStructTypeHeading A heading in the text. |\n| msodocexStructTypeTable A block of text forming a table. |\n| msodocexStructTypeTR A block of text forming a single row of a table. |\n| msodocexStructTypeTD A block of text forming a single cell in a table row. |\n| msodocexStructTypeTH A block of text forming a single header cell in a table row. |\n| msodocexStructTypeList A block of text forming a list. |\n| msodocexStructTypeListItem A block of text forming a list item. |\n| msodocexStructTypeListBody A block of text forming the body of a list item. |\n| msodocexStructTypeDocument A document. |\n| msodocexStructTypePage A page in the document. |\n\nﾉ **Expand table**",
- "page_start": 20,
- "page_end": 20,
- "source_file": "office-pdf.pdf"
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- "text": "| Type Value Description |\n|:---|\n| msodocexStructTypeParaRTLAttr A block of text within an article with right-to-left layout. |\n| msodocexStructTypeTableRTLAttr A block of text forming a table with right-to-left layout. |\n| msodocexStructTypeHeadingRTLAttr A heading in the text with right-to-left layout. |\n| msodocexStructTypeListItemRTLAttr A block of text forming a list item with right-to-left layout. |\n| msodocexStructTypeParaUnannotatableAttr A block of text within an article that is not annotatable. |\n| msodocexStructTypeTHead The header row area in a table. |\n| msodocexStructTypeTBody The body area in a table, i.e. the portion between the THead and TFoot. |\n| msodocexStructTypeLabel A label. |\n| msodocexStructTypeEquation An equation. |\n| msodocexStructTypeIntLinkNoteRef A footnote or endnote reference mark link. |\n| msodocexStructTypeTFoot The footer row area in a table. |\n\n**fContentNode** Specifies whether a **DocExComment_EndStructNode** structure marks\n\nthe end of this structure node. If **fContentNode** is **true** , a\n\n**DocExComment_EndStructNode** structure closes off the content bounded by the node.\n\nIf this **fContentNode** has a **false** value, then the node does not bound any content.\n\nThe **fContentNode** member affects the interpretation of the parent ID value of\n\nsubsequent nodes. If **fContentNode** is **true** , nodes that are inserted between this\n\n**DocExComment_BeginStructNode** and a subsequent **DocExComment_EndStructNode** ,\n\nand that have a parent ID of **-1** , are children of this node. However, if **fContentNode** is\n\n**true** , nodes inserted after this **DocExComment_BeginStructNode** , and that have a\n\nparent ID of **-1** , are not children of this node. They are children of the next-most-recently\n\nspecified node that has **fContentNode** equal to **false** .\n\nYou can nest document structure nodes to arbitrary depth.\n\n**cwchAltText** Specifies the number of Unicode characters in the block of alternate text\n\nthat follows the structure. This Unicode string specifies alternate text for the node (for\n\nexample, alternate text for an image).",
- "page_start": 22,
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- "text": "**shapeProperty** is for a msodocexStructTypeFigure where the content is a shape,\n\ntext box, or table cell and contains bit fields from the MSODOCEXSHAPEPROPERTY\n\nenumeration.\n\n**tableAttr** is the table cell attributes for a msodocexStructTypeTH or\n\nmsodocexStructTypeTD.\n\n**idTableHeader** is the unique id for an msodocexStructTypeTH or\n\nmsodocexStructTypeTD.\n\n**iTargetParentId** is the id of the node to reparent an msodocexStructTypeDiagram\n\nto.\n\nTable 3. Enumerated values of MSODOCEXLINEBREAKTYPE\n\n| Value Description |\n|:---|\n| msodocexLineBreakTypeNormal Normal line break. |\n| msodocexLineBreakTypeManual Manual line break. |\n| msodocexLineBreakTypeEOP End of paragraph. |\n\nTable 4. Enumerated values of MSODOCEXLISTTYPE\n\n| Value Description |\n|:---|\n| msodocexListTypeNone No bullets or numbering. |\n| msodocexListTypeBulletDisc Disc-shaped bullets. |\n| msodocexListTypeBulletCircle Circle-shaped bullets. |\n| msodocexListTypeBulletSquare Square-shaped bullets. |\n| msodocexListTypeBulletDecimal Decimal numbering. |\n| msodocexListTypeUpperRoman Uppercase Roman numeral numbering. |\n| msodocexListTypeLowerRoman Lowercase Roman numberal numbering. |\n| msodocexListTypeUpperAlpha Uppercase alphabetic numbering. |\n| msodocexListTypeLowerAlpha Lowercase alphabetic numbering. |\n\nTable 5. Enumerated values of MSODOCEXSHAPEPROPERTY bit fields\n\nﾉ **Expand table**\n\nﾉ **Expand table**",
- "page_start": 9,
- "page_end": 9,
- "source_file": "office-pdf.pdf"
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- "text": "The *metadatatype* parameter specifies the type of metadata represented by the string.\n\nThe *metadatatype* parameter must be one of the following values from the\n\nMSODOCEXMETADATA enumeration type.\n\nTable 8. Enumerated values of MSODOCEXMETADATA\n\n| Value Description |\n|:---|\n| msodocexMetadataTitle The title of the document. |\n| msodocexMetadataAuthor The author of the document |\n| msodocexMetadataSubject String that describes the subject matter of the document (for example, business or science). |\n| msodocexMetadataKeywords Keyword relevant to the document content. |\n| msodocexMetadataCreator The creator of the document, possibly distinct from the author. |\n| msodocexMetadataProducer The producer of the document, possibly distinct from the author or creator. |\n| msodocexMetadataCategory String that describes the type of document (for example, memo, article, or book). |\n| msodocexMetadataStatus Status of the document. This field can reflect where the document is in the publication process (for example, draft or final). |\n| msodocexMetadataComments Miscellaneous comments relevant to the document. |\n\nFor a given document, each metadata type can have only one string associated with it.\n\nSo, for example, if the document has multiple keywords, they are passed to the add-in\n\nas one concatenated string.\n\nThe *pwchValue* parameter specifies a Unicode string that contains the metadata itself.\n\nHow the add-in incorporates the text-string metadata into the exported document\n\ndepends on the implementation details of the export code and the type of fixed-format\n\nused in the exported document.\n\nPublisher calls the **HrAddDocumentMetadataDate** method to specify document\n\nmetadata in the form of a FILETIME structure.\n\nﾉ **Expand table**\n\n**HrAddDocumentMetadataDate**",
- "page_start": 34,
- "page_end": 34,
- "source_file": "office-pdf.pdf"
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- "text": "The collection of structure nodes within the document forms a tree; each node has a\n\nparent node and may also have sibling nodes. The **idNodeParent** and **iSortOrder**\n\nmembers describe the structure of this tree. Note that a child node may or may not\n\nappear between the **DocExComment_BeginStructNode** and\n\n**DocExComment_EndStructNode** structures of the parent node in the EMF.\n\nC++\n\nThe members of the **DocExComment_BeginStructNode** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentBeginStructNode.\n\n**idNodeParent** Specifies the ID of the parent node. A value of **0** specifies the root\n\nnode. A value of **-1** specifies the currently open structure node, that is, the\n\n*enclosing* structure node.\n\n**iSortOrder** Specifies the sort order of the structure node among its sibling nodes.\n\nThe sort order enables the add-in to order the content correctly in the exported\n\ndocument.\n\nNo two nodes can have the same sort order. However, the set of integers that\n\nconstitute the sort order do not need to be contiguous.\n\nA value of **-1** indicates that the sibling order is the same order in which the nodes\n\nappear in the EMF comments. Note that the order in which the content appears in\n\nthe EMF is not necessarily the order in which the content is consumed by a user of\n\nthe document.\n\n**desn** Specifies a **MSODOCEXSTRUCTTYPE** structure, which is defined earlier in\n\nthe document.\n\nstruct DocExComment_BeginStructNode\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\nint idNodeParent {};\n\nint iSortOrder {};\n\nMSODOCEXSTRUCTNODE desn;\n\nBOOL fContentNode {};\n\nint cwchAltText {};\n\n};",
- "page_start": 19,
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- "text": "| Value Numeric Value Description |\n|:---|\n| msodocexShape 0x00000001 The object is a shape or text box. |\n| msodocexShapeText 0x00000002 The object has non-whitespace text. |\n| msodocexShapePath 0x00000004 The object has a fill and/or outline. |\n| msodocexShapeAltText 0x00000008 The object has Alt Text. |\n| msodocexShapeEquation 0x00000010 The object has text that contains an equation. |\n| msodocexShapeTabelCell 0x00000020 The object is a cell in a table. |\n\nThe **MsoDocexTableAttr** structure fits in 32 bits and includes the row and column span\n\nand header scope information for a table cell.\n\nC++\n\nThe members of **MsoDocexTableAttr** structure are as follows:\n\n**MaxSpanBits** Specifies the number of bits available for the rowSpan and colSpan\n\nvalues, which is 15.\n\n**MaxSpanValue** Specifies the maximum value that can be specified for the\n\nrowSpan and colSpan.\n\n**rowSpan** Specifies the number of rows that a table cell spans.\n\n**fRowScope** Specifies whether the header is Row/Both or Column.\n\n**colSpan** Specifies the number of columns that a table cell spans.\n\nﾉ **Expand table**\n\n**MsoDocexTableAttr**\n\nstruct MsoDocexTableAttr\n\n{\n\nstatic constexpr unsigned int MaxSpanBits = sizeof ( unsigned int ) * 8 / 2\n\n- 1;\n\nstatic constexpr unsigned int MaxSpanValue = (1u << MaxSpanBits) - 1;\n\nunsigned int rowSpan : MaxSpanBits;\n\nunsigned int fRowScope : 1;\n\nunsigned int colSpan : MaxSpanBits;\n\nunsigned int fColScope : 1;\n\n};",
- "page_start": 10,
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- "source_file": "office-pdf.pdf"
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- "text": "The **idNode** member specifies the ID of the node being passed in the call to\n\n**HrBeginStructNode** . This member may not have a value of **0** . A value of **-1** indicates that\n\nchild nodes do not use the *idNodeParent* parameter to specify this node as their parent.\n\nInstead, this node can be a parent only by enclosing child nodes in the EMF. Multiple\n\nnodes can have an ID of **-1** . If the ID is not **-1** , the value is unique across the document.\n\nThe embedded union at the end of the MSODOCEXSTRUCTNODE is interpreted\n\ndifferently depending on the type of node:\n\n**iHeadingLevel** is the heading level for an msodocexStructTypeHeading.\n\n**idPara** is the paragraph id for a P, TOCI, or ListBody.\n\n**idDropCap** is the id of an msodocexStructTypeDropCap.\n\n**iPage** is the page number for an msodocexStructTypePage.\n\n**bt** is the line break type for an msodocexStructTypeTextLine.\n\n**iListLevel** is the list level for an msodocexStructTypeList or\n\nmsodocexStructTypeListItem.\n\n**listType** is the list type for an msodocexStructTypeListItem.\n\n**idAtn** is the id of an msodocexStructTypeAnnotationBegin or\n\nmsodocexStructTypeAnnotationEnd.\n\n**cpLim** is used to determine the nesting order of tables within tables for an\n\nmsodocexStructTypeTable, msodocexStructTypeTOC, or\n\nmsodocexStructTypeListBody.\n\ntypedef struct _ MsoDocexStructNode\n\n{\n\nint idNode;\n\nMSODOCEXSTRUCTTYPE nodetype;\n\nWCHAR* pwchAltText;\n\nunion\n\n{\n\nint iHeadingLevel;\n\nULONG idPara;\n\nULONG idDropCap;\n\nint iPage;\n\nWCHAR* pwchActualText;\n\nMSODOCEXLINEBREAKTYPE bt;\n\nint iListLevel;\n\nMSODOCEXLISTTYPE listType;\n\nULONG idAtn;\n\nlong cpLim;\n\nint shapeProperty;\n\nMsoDocexTableAttr tableAttr;\n\nWCHAR* idTableHeader;\n\nint iTargetParentId;\n\n};\n\n} MSODOCEXSTRUCTNODE;",
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- },
- {
- "text": "Table 6. Semantic record types supported by fixed-format export\n\n| Comment Value Structure Type |\n|:---|\n| msodocexcommentExternalHyperlink DocExComment_ExternalHyperlink |\n| msodocexcommentExternalHyperlinkRctfv DocExComment_ExternalHyperlink |\n| msodocexcommentInternalHyperlink DocExComment_InternalHyperlink |\n| msodocexcommentInternalHyperlinkRctfv DocExComment_InternalHyperlink |\n| msodocexcommentColorInfo DocExComment_ColorInfo |\n| msodocexcommentColorMapEnable DocExComment_ColorEnable |\n| msodocexcommentBeginTextRun DocExComment_BeginTextRun |\n| msodocexcommentBeginTextRunRTL DocExComment_BeginTextRun |\n| msodocexcommentEndTextRun DocExComment_EndTextRun |\n| msodocexcommentBeginStructNode DocExComment_BeginStructNode |\n| msodocexcommentEndStructNode DocExComment_EndStructNode |\n| msodocexcommentUnicodeForNextTextOut DocExComment_UnicodeForNextTextOut |\n| msodocexcommentUnicodeForNextTextOutRTL DocExComment_UnicodeForNextTextOut |\n| msodocexcommentEPSColor DocExComment_EPSColor |\n| msodocexcommentEPSCMYKJPEG DocExComment_EPSColorCMYKJPEG |\n| msodocexcommentEPSSpotImage DocExComment_EPSColorSpotImage |\n| msodocexcommentEPSStart DocExComment_EPSStart |\n| msodocexcommentPageName DocExComment_PageName |\n| msodocexcommentTransparent DocExComment_Transparent |\n\nThe **DocExComment_ExternalHyperlink(Rctfv)** structure describes a hyperlink that links\n\nto outside of the document, for example to a Web site on the Internet.\n\nC++\n\nﾉ **Expand table**\n\n**DocExComment_ExternalHyperlink(Rctfv)**",
- "page_start": 14,
- "page_end": 14,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "#define ARCCSXIT_FIELD_TYPE_INTEGER (ArcCSXitFieldType) 0x49\n\n#define ARCCSXIT_FIELD_TYPE_SMALLINT (ArcCSXitFieldType) 0x4E\n\n#define ARCCSXIT_FIELD_TYPE_STRING (ArcCSXitFieldType) 0x53\n\ntypedef ArcU8 ArcCSXitFieldTypeQual;\n\n#define ARCCSXIT_FIELD_TYPE_QUAL_BASE (ArcCSXitFieldTypeQual) 0x42\n\n#define ARCCSXIT_FIELD_TYPE_QUAL_DATETIME (ArcCSXitFieldTypeQual) 0x43\n\n#define ARCCSXIT_FIELD_TYPE_QUAL_DATE (ArcCSXitFieldTypeQual) 0x44\n\n#define ARCCSXIT_FIELD_TYPE_QUAL_TIME (ArcCSXitFieldTypeQual) 0x54\n\n#define ARCCSXIT_FIELD_TYPE_QUAL_TZ_DATETIME (ArcCSXitFieldTypeQual) 0x5A\n\ntypedef struct _ArcCSXitField\n\n{\n\nchar *db_name;\n\nArcCSXitFieldType type;\n\nArcCSXitFieldTypeQual qual;\n\nunion\n\n{\n\nArcI16 n;\n\nArcI32 i;\n\nArcI64 b;\n\ndouble d;\n\nchar *str;\n\nArcDateTime dt;\n\nArcDecimal64 d64;\n\nArcDecimal128 d128;\n\n} u;\n\n} ArcCSXitField;\n\ntypedef struct _ArcCSXitFieldU\n\n{\n\nArcChar *db_name;\n\nArcCSXitFieldType type;\n\nArcCSXitFieldTypeQual qual;\n\nunion\n\n{\n\nArcI16 n;\n\nArcI32 i;\n\nArcI64 b;\n\ndouble d;\n\nArcChar *str;\n\nArcDateTime dt;\n\nArcDecimal64 d64;\n\nArcDecimal128 d128;\n\n} u;\n\n} ArcCSXitFieldU;\n\ntypedef struct _ArcCSXitDocFields\n\n{\n\nArcI32 flds_num;\n\nArcCSXitField *flds;\n\n} ArcCSXitDocFields;\n\n#define ARCCSXIT_DOCNAME_SIZE 11\n\ntypedef struct _ArcCSXitDocHandle\n\n{\n\nchar nameÝARCCSXIT_DOCNAME_SIZE + 1¨;\n\nArcU32 doc_off;\n\nArcU32 doc_len;",
- "page_start": 289,
- "page_end": 289,
- "source_file": "sg246915.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "office-pdf.pdf",
- "query": "What are vector colors ?",
- "target_page": 29,
- "target_passage": "Vector colors are any COLORREF values that the add-in receives from Publisher.",
- "chunk_present": {
- "presence": true,
- "index": 0
- }
- },
- "top_chunk": [
- {
- "text": "same type that is used for RGB color. For information about the COLORREF structure,\n\nsee COLORREF.\n\nTo resolve color IDs in the EMF back to the extend color space, the add-in calls back to\n\nPublisher through the **HrResolveColor** method of the **IMsoDocExporterSite** interface.\n\nThe add-in passes Publisher an interface pointer to an **IDOCEXCOLOR** interface as one\n\nof the parameters to **HrResolveColor** . Publisher takes the color IDs, also specified in the\n\ncall to **HrResolveColor** , converts them to extended color (RGB, CMYK, or spot color), and\n\npasses them back to the add-in through the methods in the **IDOCEXCOLOR** interface.\n\nVector colors are any **COLORREF** values that the add-in receives from Publisher. For\n\nexample, text color, line stroke color, and color for metafile recolor. When color\n\nmapping is enabled, Publisher uses a color ID for **COLORREF** rather than a real RGB\n\ncolor value. If Publisher provides the add-in an **IMsoDocExporterSite** interface pointer\n\nby calling the **SetDocExporterSite** method of the **IMsoDocExporter** interface, the add-in\n\nshould always call the **IMsoDocExporterSite::HrResolveColor** method to convert the\n\n**COLORREF** to an extended color, which the add-in receives through the methods in the\n\n**IDOCEXCOLOR** interface.\n\nTo support vector color mapping, the add-in needs to do the following:\n\nImplement class support for an **IDOCEXCOLOR** interface. The methods in this\n\ninterface enable Publisher to pass extended color back to the add-in.\n\nCache the following color state values from the semantic records in the EMF.\n\nSet foreground color for recoloring. This is set through the\n\n**DocExComment_ColorInfo** structure.\n\nSet background color for recoloring. This is set through the\n\n**DocExComment_ColorInfo** structure.\n\nDetermine when color mapping is enabled. This is set through the\n\n**DocExComment_ColorEnable** structure.\n\nFor a vector color, create an **IDOCEXCOLOR** interface with the color ID, so that\n\n**IDOCEXCOLOR::GetUnresolvedRGB** returns the color ID. The add-in should call the\n\n**IMsoDocExporterSite::HrResolveColor** method with the **IDOCEXCOLOR** interface\n\nand cached color states. Publisher calls the **IDOCEXCOLOR** interface methods with\n\nthe final color, which can be RGB, CMYK, spot, or registration tint.\n\n**Vector Color and Recolored Images**",
- "page_start": 28,
- "page_end": 28,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "Paper\n\nFSC ® C007299\n\nu",
- "page_start": 119,
- "page_end": 119,
- "source_file": "ASX_KCN_2013.pdf"
- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "###### Board of Directors",
- "page_start": 29,
- "page_end": 29,
- "source_file": "NYSE_HIG_2001.pdf"
- },
- {
- "text": "###### **HANGING W ORKSHEET T AB C OLOURS**\n\nTo make it easier for you to distinguish between worksheets, Excel enables you to change the colours of worksheet tabs. This allows you, for example, to quickly distinguish between different\n\nfinancial years, departments or months. The * **active** * * **sheet** * appears as underlined in a gradient version of the selected colour, while inactive tabs will display a solid colour background.\n\n**2 Try This Yourself:**\n\n* **Same** * * **File** *\n\n*Continue using the previous* *file with this exercise, or open* *the file E1324 Worksheet* *Techniques_7.xlsx...*\n\n Click on the * **Admin** * worksheet tab to select the worksheet Right-click on the worksheet tab to display the shortcut menu, then point to * **Tab** * * **colour** *\n\n*This will display a palette of* *colour options…* Click on * **Red** * under * **Standard colours** * to apply the colour to the tab Right-click on the * **Maintenance** * worksheet tab to display the shortcut menu, click on * **Tab colour** * , then click on * **Blue** * under * **Standard colours** *\n\n*Notice how the Admin* *worksheet tab colour is now* *a solid rather than a* *gradient…* Repeat either technique to apply the following colours:\n\n* **Shop** * * **Yellow** * * **IT** * * **Green** * Click on the * **Admin** * worksheet tab to view the results\n\n## **3**\n\n## **4**\n\n## **5**\n\n## **6**\n\n**For Your Reference…**\n\nTo * **change the colour** * of a * **worksheet** * * **tab** * :\n\n1. Right-click on the worksheet tab to display the shortcut menu\n\n2. Point to * **Tab colour** * to display a palette of colour options\n\n3. Click on the desired colour\n\n**Handy to Know…**\n\n- To apply the same colour to two or more sheets at once, select them first. Hold down to select consecutive worksheets or hold down to select non-consecutive worksheets.",
- "page_start": 13,
- "page_end": 13,
- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "## BASIC ENGLISH language skills",
- "page_start": 0,
- "page_end": 0,
- "source_file": "basic-english-language-skills.PDF"
- },
- {
- "text": "The **DocExComment_EPSColorSpotImage** structure provides spot color information for\n\nthe subsequent RGB image. For more information about this structure, see the section\n\nExtended Color Support.\n\nC++\n\nThe members of the **DocExComment_EPSColorSpotImage** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentEPSSpotImage.\n\n**cmykAlt** Specifies a CMYK color ID.\n\n**rgbAlt** Specifies an RGB color ID.\n\n**flTintMin** Specifies the minimum tint.\n\n**flTintMax** Specifies the maximum tint.\n\n**szSpotName[1]** Specifies a variable length, zero-terminated string that contains\n\nthe spot name.\n\nTo support extended color spaces in Publisher, additional EMF semantic records and\n\ninterfaces are needed because EMF only supports RGB (red-green-black) colors.\n\nExtended color spaces include CMYK (cyan-magenta-yellow-black) and spot color space,\n\nwhich are commonly used in commercial printing.\n\nPublisher uses color mapping to represent extended colors in the document EMF.\n\nPublisher builds a color table for all colors used in the document and replaces actual\n\ncolors with color IDs in the EMF. The type for the color ID is **COLORREF** , which is the\n\ntypedef struct\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\nCOLORREF cmykAlt { 0 };\n\nCOLORREF rgbAlt { 0 };\n\nfloat flTintMin {};\n\nfloat flTintMax {};\n\nchar szSpotName[1];\n\n} DocExComment_EPSColorSpotImage;\n\n**Extended Color Support**",
- "page_start": 27,
- "page_end": 27,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "**ANNEX III**\n\n- Model for specific contracts\n\n- Model for order forms",
- "page_start": 41,
- "page_end": 41,
- "source_file": "EN-Draft FWC for services 0142.pdf"
- },
- {
- "text": "This is just the most basic introduction to SHACL. For a more sophisticated tutorial see the Top Quadrant tutorial: [https://www.topquadrant.com/technology/shacl/tutorial/](https://www.topquadrant.com/technology/shacl/tutorial/) Also, this presentation: [https://www.slideshare.net/jelabra/shacl-by-example](https://www.slideshare.net/jelabra/shacl-by-example) gives much more detail on SHACL.",
- "page_start": 82,
- "page_end": 82,
- "source_file": "Protege5NewOWLPizzaTutorialV3.pdf"
- },
- {
- "text": "#### **3.1.9 How to Search for Datasets by Keyword**\n\n(please refer to section 3.2.1)",
- "page_start": 24,
- "page_end": 24,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "office-pdf.pdf",
- "query": "What are msodocexMetadataComments ?",
- "target_page": 35,
- "target_passage": "Miscellaneous comments relevant to the document.",
- "chunk_present": {
- "presence": true,
- "index": 0
- }
- },
- "top_chunk": [
- {
- "text": "The *metadatatype* parameter specifies the type of metadata represented by the string.\n\nThe *metadatatype* parameter must be one of the following values from the\n\nMSODOCEXMETADATA enumeration type.\n\nTable 8. Enumerated values of MSODOCEXMETADATA\n\n| Value Description |\n|:---|\n| msodocexMetadataTitle The title of the document. |\n| msodocexMetadataAuthor The author of the document |\n| msodocexMetadataSubject String that describes the subject matter of the document (for example, business or science). |\n| msodocexMetadataKeywords Keyword relevant to the document content. |\n| msodocexMetadataCreator The creator of the document, possibly distinct from the author. |\n| msodocexMetadataProducer The producer of the document, possibly distinct from the author or creator. |\n| msodocexMetadataCategory String that describes the type of document (for example, memo, article, or book). |\n| msodocexMetadataStatus Status of the document. This field can reflect where the document is in the publication process (for example, draft or final). |\n| msodocexMetadataComments Miscellaneous comments relevant to the document. |\n\nFor a given document, each metadata type can have only one string associated with it.\n\nSo, for example, if the document has multiple keywords, they are passed to the add-in\n\nas one concatenated string.\n\nThe *pwchValue* parameter specifies a Unicode string that contains the metadata itself.\n\nHow the add-in incorporates the text-string metadata into the exported document\n\ndepends on the implementation details of the export code and the type of fixed-format\n\nused in the exported document.\n\nPublisher calls the **HrAddDocumentMetadataDate** method to specify document\n\nmetadata in the form of a FILETIME structure.\n\nﾉ **Expand table**\n\n**HrAddDocumentMetadataDate**",
- "page_start": 34,
- "page_end": 34,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "| Type Value Description |\n|:---|\n| msodocexStructTypeTOC A table of contents. |\n| msodocexStructTypeTOCI An item in a table of contents. |\n| msodocexStructTypeExtLink A link to an external resource. |\n| msodocexStructTypeIntLink A link to an internal resource. |\n| msodocexStructTypeFootnote A footnote. |\n| msodocexStructTypeEndnote An endnote. |\n| msodocexStructTypeTextbox A text box. |\n| msodocexStructTypeHeader A block of text forming a header. |\n| msodocexStructTypeFooter A footer. |\n| msodocexStructInlineShape An inline shape. |\n| msodocexStructAnnotation An annotation. |\n| msodocexStructTypeSpanBlock A block of text. |\n| msodocexStructTypeWorkbook A workbook. |\n| msodocexStructTypeWorksheet A worksheet. |\n| msodocexStructTypeMacrosheet A macrosheet. |\n| msodocexStructTypeChartsheet A chartsheet. |\n| msodocexStructTypeDialogsheet A dialogsheet. |\n| msodocexStructTypeSlide A slide. |\n| msodocexStructTypeChart A chart. |\n| msodocexStructTypeDiagram A SmartArt diagram. |\n| msodocexStructTypeBulletText Buller text. |\n| msodocexStructTypeTextLine A line of text. |\n| msodocexStructTypeDropCap A drop cap. |\n| msodocexStructTypeSection A section. |\n| msodocexStructTypeAnnotationBegin The beginning of an annotation. |\n| msodocexStructTypeAnnotationEnd The end of an annotation. |",
- "page_start": 21,
- "page_end": 21,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "The collection of structure nodes within the document forms a tree; each node has a\n\nparent node and may also have sibling nodes. The **idNodeParent** and **iSortOrder**\n\nmembers describe the structure of this tree. Note that a child node may or may not\n\nappear between the **DocExComment_BeginStructNode** and\n\n**DocExComment_EndStructNode** structures of the parent node in the EMF.\n\nC++\n\nThe members of the **DocExComment_BeginStructNode** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentBeginStructNode.\n\n**idNodeParent** Specifies the ID of the parent node. A value of **0** specifies the root\n\nnode. A value of **-1** specifies the currently open structure node, that is, the\n\n*enclosing* structure node.\n\n**iSortOrder** Specifies the sort order of the structure node among its sibling nodes.\n\nThe sort order enables the add-in to order the content correctly in the exported\n\ndocument.\n\nNo two nodes can have the same sort order. However, the set of integers that\n\nconstitute the sort order do not need to be contiguous.\n\nA value of **-1** indicates that the sibling order is the same order in which the nodes\n\nappear in the EMF comments. Note that the order in which the content appears in\n\nthe EMF is not necessarily the order in which the content is consumed by a user of\n\nthe document.\n\n**desn** Specifies a **MSODOCEXSTRUCTTYPE** structure, which is defined earlier in\n\nthe document.\n\nstruct DocExComment_BeginStructNode\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\nint idNodeParent {};\n\nint iSortOrder {};\n\nMSODOCEXSTRUCTNODE desn;\n\nBOOL fContentNode {};\n\nint cwchAltText {};\n\n};",
- "page_start": 19,
- "page_end": 19,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "C++\n\nThe *metadatatype* parameter specifies the type of metadata represented by the\n\n**FILETIME** structure. The *metadatatype* parameter must be one of the following values\n\nfrom the MSODOCEXMETADATA enumeration type.\n\nTable 9. Enumerated values of MSODOCEXMETADATA\n\n| Value Description |\n|:---|\n| msodocexMetadataCreationDate The creation date for the document. |\n| msodocexMetadataModDate The last-modified date for the document. |\n\nThe *pftLocalTime* parameter specifies a pointer to a FILETIME structure that contains the\n\ndate and time information for the metadata. The following code snippet demonstrates\n\nhow to extract this information from the structure.\n\nC++\n\nHow the add-in incorporates the date and time metadata into the exported document\n\ndepends on the implementation details of the export code and the type of fixed-format\n\nused in the exported document.\n\nPublisher calls the **HrFinalize** method at the end of the document-export process.\n\nC++\n\nHRESULT HrAddDocumentMetadataDate (\n\nMSODOCEXMETADATA metadataType,\n\nconst FILETIME* pftLocalTime\n\n);\n\nﾉ **Expand table**\n\nSYSTEMTIME st = { 0 };\n\nWCHAR s[100];\n\nFileTimeToSystemTime(pfiletime, &st);\n\nswprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\" , st.wYear % 10000,\n\nst.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100,\n\nst.wSecond % 100);\n\n**HrFinalize**",
- "page_start": 35,
- "page_end": 35,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentEndTextRun.\n\nThe **DocExComment_UnicodeForNextTextOut** structure functions similarly to the\n\n**DocExComment_BeginTextRun** and **DocExComment_EndTextRun** structures. However,\n\n**DocExComment_UnicodeForNextTextOut** specifies Unicode code points for only the\n\nfollowing EMF TextOut record, rather than for a block of EMF content bounded by begin\n\nand end structures.\n\nC++\n\nThe members of the **DocExComment_UnicodeForNextTextOut** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentUnicodeForNextTextOut.\n\n**cGlyphIndex** Specifies the size of an array that follows this structure. This array\n\nimplements a glyph index table that maps Unicode code points in the actual text\n\nto the corresponding glyphs in the EMF. Each element of the array corresponds to\n\na code point in the text. The value of that element specifies the first glyph used to\n\nrender that code point in the EMF. Two or more adjacent code points may have the\n\nsame value in the array, which means that they both resolve to the same glyph.\n\n**cwchActualText** Specifies the size of the sequence of Unicode code points that\n\nfollow the glyph index table. This is the text that a consumer of the document can\n\nuse for searching, copying/pasting, and accessibility.\n\nThe **DocExComment_EPSColor** structure specifies color information for an encapsulated\n\nPostScript (EPS) file embedded in the EMF. For more information about this structure,\n\n**DocExComment_UnicodeForNextTextOut**\n\nstruct DocExComment_UnicodeForNextTextOut\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\nint cGlyphIndex {};\n\nint cwchActualText {};\n\n};\n\n**DocExComment_EPSColor**",
- "page_start": 25,
- "page_end": 25,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "The **DocExComment_EndStructNode** structure marks the end of the content that is\n\ndecorated by the information in the **DocExComment_BeginStructNode** .\n\nC++\n\nThe members of the **DocExComment_EndStructNode** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentEndStructNode.\n\nThe **DocExComment_BeginTextRun** structure identifies the language of a sequence of\n\ntext in the document and provides the Unicode code points for the text.\n\nAlthough some text-rendering EMF records use Unicode as the text representation,\n\nothers use the glyphs that are drawn on the screen, rather than the original source text.\n\nA glyph is the index of a given shape in the font, which can be different from font to\n\nfont.\n\nThere can be cases where several Unicode code points are combined into a single glyph\n\nor where a single Unicode code point is broken into multiple glyphs. Because the\n\nmapping from code points to glyphs is context-dependent, a user cannot text search or\n\ncopy/paste in a document that contains only glyphs. Therefore, Publisher sometimes\n\nprovides the Unicode text as well as the glyphs.\n\nC++\n\n**DocExComment_EndStructNode**\n\nstruct DocExComment_EndStructNode\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\n};\n\n**DocExComment_BeginTextRun**\n\nstruct DocExComment_BeginTextRun\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\nDWORD lcid {};\n\nint cGlyphIndex {};",
- "page_start": 23,
- "page_end": 23,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "###### Board of Directors",
- "page_start": 29,
- "page_end": 29,
- "source_file": "NYSE_HIG_2001.pdf"
- },
- {
- "text": "The members of the **DocExComment_BeginTextRun** structure are as follows:\n\n**Ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentBeginTextRun.\n\n**lcid** Specifies the LCID for the text sequence.\n\n**cGlyphIndex** Specifies the size of an array that follows this structure. This array\n\nimplements a glyph index table that maps Unicode code points in the actual text\n\nto the corresponding glyphs in the EMF. Each element of the array corresponds to\n\na code point in the text. The value of that element specifies the first glyph used to\n\nrender that code point in the EMF. Two or more adjacent code points may have the\n\nsame value in the array, which means that they both resolve to the same glyph.\n\nThe value can also be **0** , which means that this code point does not map to any\n\nglyph.\n\n**cwchActualText** Specifies the size of the sequence of Unicode code points that\n\nfollow the glyph index table. This is the text that a consumer of the document can\n\nuse for searching, copying/pasting, and accessibility. The value of this member can\n\nbe **0** , which means that no Unicode text is provided.\n\nThe **DocExComment_EndTextRun** structure marks the end of a text sequence, the\n\nbeginning of which was marked by a **DocExComment_BeginTextRun** structure.\n\nC++\n\nThe members of the **DocExComment_EndTextRun** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\nint cwchActualText {};\n\n};\n\n**DocExComment_EndTextRun**\n\nstruct DocExComment_EndTextRun\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\n};",
- "page_start": 24,
- "page_end": 24,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "see the section Extended Color Support.\n\nC++\n\nThe members of the **DocExComment_EPSColor** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentEPSColor.\n\n**colorInfo[]** Specifies the color information for the EPS file. The add-in should pass\n\nthis information to Publisher using the **IMsoDocExporterSite::SetEPSInfo** method.\n\nThe **DocExComment_EPSColorCMYKJPEG** structure specifies the start, in the EMF, of a\n\nbinary object that is a CMYKJPEG file stream. For more information about this structure,\n\nsee the section Extended Color Support.\n\nC++\n\nThe members of the **DocExComment_EPSColorCMYKJPEG** structure are as follows:\n\n**ident** Specifies the constant value, msodocexsignature, which identifies this EMF\n\ncomment as containing semantic information.\n\n**iComment** Specifies the MSODOCEXCOMMENT value,\n\nmsodocexcommentEPSCMYKJPEG;\n\ntypedef struct\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\nBYTE colorInfo[];\n\n} DocExComment_EPSColor;\n\n**DocExComment_EPSColorCMYKJPEG**\n\ntypedef struct\n\n{\n\nDWORD ident {};\n\nDWORD iComment {};\n\n} DocExComment_EPSColorCMYKJPEG;\n\n**DocExComment_EPSColorSpotImage**",
- "page_start": 26,
- "page_end": 26,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "#### **3.1.9 How to Search for Datasets by Keyword**\n\n(please refer to section 3.2.1)",
- "page_start": 24,
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- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
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- "references": {
- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf",
- "query": "What are the total operating expenses of Wikimedia foundation in 2024 ?",
- "target_page": 6,
- "target_passage": "178,471,109",
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- "text": "**(4) Property and Equipment, Net**\n\nProperty and equipment at June 30, 2024 and 2023 consist of the following:\n\n**2024 2023**\n\nFurniture $ 72,042 737,143 Leasehold improvements — 2,074,581 Computer equipment 22,821,120 21,941,684 Internal use software 2,507,701 5,198,574\n\nTotal 25,400,863 29,951,982\n\nLess accumulated depreciation and amortization (13,574,727) (15,906,843)\n\nProperty and equipment, net $ 11,826,136 14,045,139\n\n**(5) Net Assets**\n\nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes:\n\n**2024 2023**\n\nRestricted to future periods: $ 50,000 100,000 Restricted by purpose: Abstract Wikipedia 861,008 1,249,004 Artificial intelligence 239,878 — Endowment support — 1,297,620 Future Audiences 500,000 — Knowledge equity 965,910 2,228,134 Machine learning 24,528 860,620 Media Wiki 1,500,000 — Other 125,000 147,295 Restricted to future periods and by purpose: Artificial intelligence 1,430,000 —\n\nNet assets with donor restrictions $ 5,696,324 5,782,673\n\n**(6) Functional Allocation of Expenses**\n\nCosts of providing the Foundation’s activities have been summarized below on a functional basis. Programs comprise various initiatives that focus on (1) building the technological and operating platform that enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, growing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in key geographic areas, mobile application development, and bottom-up innovation, all of which support Wikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for which the Foundation is reimbursed. The allocation between programs, general and administrative, and fundraising expenses is based on personnel and related costs and other operating expenses such as rent and office expenses using estimates of time spent or percentage of utilization by headcounts, as well as",
- "page_start": 15,
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- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nNotes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n18\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n**(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n**(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.",
- "page_start": 19,
- "page_end": 19,
- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "**(9) Liquidity and Availability of Financial Assets**\n\nThe Foundation’s financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n**2024 2023**\n\nCash and cash equivalents $ 82,845,159 75,808,401\n\nCurrent contributions receivable 856,657 —\n\nShort-term investments 116,074,763 132,216,667\n\nTotal financial assets 199,776,579 208,025,068\n\nLess:\n\nRestricted by donors for programs 5,696,323 5,882,673\n\nDonations payable to Wikimedia Endowment 525,607 5,274,448\n\nFinancial assets available to meet cash needs for\n\ngeneral expenditures within one year $ 193,554,649 196,867,947\n\nThe Foundation’s liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n**(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation's expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.",
- "page_start": 18,
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- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Financial Position\n\nJune 30, 2024 and 2023\n\n**Assets 2024 2023**\n\nCurrent assets:\n\nCash and cash equivalents $ 82,845,159 75,808,401\n\nContributions receivable 856,657 —\n\nShort-term investments 116,074,763 132,216,667\n\nPrepaid expenses and other current assets 5,722,457 5,569,485\n\nTotal current assets 205,499,036 213,594,553\n\nRestricted cash 1,428,542 1,396,717\n\nLong-term investments 67,291,224 43,265,786\n\nRight of use asset - operating lease, net — 1,821,174\n\nProperty and equipment, net 11,826,136 14,045,139\n\nContributions receivable 715,000 —\n\nTotal assets $ 286,759,938 274,123,369\n\n**Liabilities and Net Assets**\n\nCurrent liabilities:\n\nAccounts payable $ 4,009,582 2,783,904\n\nAccrued expenses 7,959,558 6,922,259\n\nLease liability 417,756 1,640,735\n\nDonations payable to Wikimedia Endowment 525,607 5,274,448\n\nOther liabilities 2,292,045 2,124,939\n\nTotal current liabilities 15,204,548 18,746,285\n\nLease liability — 405,748\n\nTotal liabilities $ 15,204,548 19,152,033\n\nNet assets:\n\nNet assets without donor restrictions 265,859,067 249,088,663\n\nNet assets with donor restrictions 5,696,323 5,882,673\n\nTotal net assets 271,555,390 254,971,336\n\nTotal liabilities and net assets $ 286,759,938 274,123,369\n\nSee accompanying notes to consolidated financial statements.\n\n3",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n**2024 2023**\n\nNet assets without donor restrictions:\n\nSupport and revenue:\n\nContributions of cash and other financial assets $ 168,212,977 164,121,185\n\nContributions of nonfinancial assets and services 263,476 1,040,453\n\nForeign currency losses (300,907) (94,868)\n\nOther income, net 5,629,773 3,824,240\n\nInvestment income, net 5,096,842 3,002,929\n\nRelease of net assets with donor restrictions 6,481,350 4,732,654\n\nTotal support and revenue 185,383,511 176,626,593\n\nOperating expenses:\n\nSalaries and benefits 106,793,960 101,305,706\n\nAwards and grants 26,820,080 24,433,682\n\nInternet hosting 3,116,445 3,120,819\n\nIn-kind service expenses 263,476 1,040,453\n\nDonation processing expenses 7,547,718 6,855,680\n\nProfessional service expenses 13,090,040 15,464,635\n\nOther operating expenses 10,798,140 7,393,982\n\nTravel and conferences 5,824,979 4,878,359\n\nDepreciation and amortization 4,216,271 4,602,064\n\nTotal operating expenses 178,471,109 169,095,380\n\nChange in net assets without donor restrictions\n\nfrom operating activities 6,912,402 7,531,213\n\nNonoperating activities:\n\nUnrealized gains on investments, net 9,858,001 3,547,510\n\nChange in net assets without donor restrictions 16,770,403 11,078,723\n\nNet assets with donor restrictions:\n\nContributions with donor restrictions 6,295,000 9,273,736\n\nNet assets released from restrictions (6,481,350) (4,732,654)\n\nIncrease (decrease) in net assets with donor\n\nrestrictions (186,350) 4,541,082\n\nIncrease in net assets 16,584,053 15,619,805\n\nNet assets at beginning of year 254,971,337 239,351,532\n\nNet assets at end of year $ 271,555,390 254,971,337\n\nSee accompanying notes to consolidated financial statements.\n\n4",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Cash Flows\n\nYears ended June 30, 2024 and 2023\n\n**2024 2023**\n\nCash flows from operating activities:\n\nIncrease in net assets $ 16,584,053 15,619,804\n\nAdjustments to reconcile increase in net assets to net cash\n\nprovided by operating activities:\n\nDepreciation and amortization 4,216,271 4,602,064\n\nLoss on disposal of equipment 203,233 64,518\n\nUnrealized and realized gains on investments, net (8,356,376) (2,276,210)\n\nRight of use asset - operating lease, net 1,821,432 1,404,875\n\nChanges in operating assets and liabilities:\n\nContributions receivable (1,571,657) 700,000\n\nPrepaid expenses and other current assets (152,972) (469,201)\n\nAccounts payable 1,225,678 (483,402)\n\nAccrued expenses 1,037,299 1,224,690\n\nLease liability (1,666,935) (1,618,384)\n\nDonations payable to Wikimedia Endowment (4,748,841) 5,254,730\n\nOther liabilities 205,056 (65,560)\n\nNet cash provided by operating activities 8,796,241 23,957,924\n\nCash flows from investing activities:\n\nPurchase of computer equipment and office furniture (4,435,982) (4,006,566)\n\nDevelopment of internal use software 2,235,481 (3,076,098)\n\nPurchase of investments (92,176,499) (49,998,612)\n\nProceeds from sales and maturities of investments 92,649,341 58,016,155\n\nNet cash provided by (used in) investing activities (1,727,659) 934,879\n\nNet increase in cash, cash equivalents, and\n\nrestricted cash 7,068,582 24,892,803\n\nCash, cash equivalents, and restricted cash at beginning of year 77,205,118 52,312,315\n\nCash, cash equivalents, and restricted cash at end of year $ 84,273,700 77,205,118\n\nSupplemental cash flow disclosure:\n\nNoncash changes in exchange rate $ 290,621 (96,027)\n\nInitial recognition of right of use asset - operating lease — (3,226,048)\n\nInitial recognition of lease liability — 3,580,607\n\nSee accompanying notes to consolidated financial statements.\n\n5 6",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n(With Independent Auditors’ Report Thereon)",
- "page_start": 0,
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- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "**(1) Organization and Summary of Significant Accounting Policies**\n\n* **(a) Organization and Purpose** *\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n* **(b) Risks and Uncertainties** *\n\nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n* **(c) Income Taxes** *\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n* **(d) Financial Statement Presentation** *\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, *Not-for-Profit Entities* .\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.",
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- "text": "For example (unaudited):\n\n- Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n\n- For the year ended June 30, 2024, the educational content of the Foundation’s largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n\n- For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation’s multimedia repository, making the total 106.7 million files.\n\n- Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n**(7) Operating Leases**\n\nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n**Lease**\n\n**payments**\n\nYear ending June 30:\n\n2025 419,791\n\nTotal minimum lease payments $ 419,791\n\n**(8) Retirement Plan**\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.",
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- "text": "direct costs incurred for the relevant activities. Accordingly, certain costs have been allocated among the programs benefited and supporting services for the years ended June 30, 2024 and 2023, as follows:\n\n**2024**\n\n**General and**\n\n**Programs administrative Fundraising Total**\n\nSalaries and benefits $ 83,645,901 14,018,534 9,129,525 106,793,960\n\nAwards and grants 26,820,080 — — 26,820,080\n\nInternet hosting 3,116,257 188 — 3,116,445\n\nIn-kind service expenses 228,338 35,138 — 263,476\n\nDonation processing expenses — — 7,547,718 7,547,718\n\nProfessional service expenses 9,670,261 1,870,513 1,549,266 13,090,040\n\nOther operating expenses 6,420,517 3,808,725 568,898 10,798,140\n\nTravel and conferences 4,979,409 536,887 308,683 5,824,979\n\nDepreciation and amortization 3,471,509 744,762 — 4,216,271\n\n$ 138,352,272 21,014,747 19,104,090 178,471,109\n\n**2023**\n\n**General and**\n\n**Programs administrative Fundraising Total**\n\nSalaries and wages $ 77,845,272 14,486,209 8,974,225 101,305,706\n\nAwards and grants 24,426,682 7,000 — 24,433,682\n\nInternet hosting 3,119,234 1,585 — 3,120,819\n\nIn-kind service expenses 998,857 41,596 — 1,040,453\n\nDonation processing expenses — — 6,855,680 6,855,680\n\nProfessional service expenses 11,785,153 2,297,431 1,382,051 15,464,635\n\nOther operating expenses 2,752,153 4,102,006 539,823 7,393,982\n\nTravel and conferences 3,799,260 530,517 548,583 4,878,360\n\nDepreciation and amortization 3,837,307 764,757 — 4,602,064\n\n$ 128,563,918 22,231,101 18,300,362 169,095,381\n\nThe Foundation has a program of awarding grants to support chapters, affiliates, user groups, and individuals in projects that further the mission of the Foundation. Chapters are independent organizations that share the goals of the Foundation and support the goals within a specified geographical region. In addition to this work, which is reflected above in the awards and grants line, an overwhelming majority of the Foundation’s project activities are carried out by an international network of volunteers, whose activity is not reflected in the tables above.",
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- "references": {
- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf",
- "query": "What external events can affect Wikimedia Fundation in raising funds ?",
- "target_page": 8,
- "target_passage": "External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds.",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nNotes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n18\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n**(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n**(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.",
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- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "**(1) Organization and Summary of Significant Accounting Policies**\n\n* **(a) Organization and Purpose** *\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n* **(b) Risks and Uncertainties** *\n\nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n* **(c) Income Taxes** *\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n* **(d) Financial Statement Presentation** *\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, *Not-for-Profit Entities* .\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.",
- "page_start": 7,
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- "text": "**(9) Liquidity and Availability of Financial Assets**\n\nThe Foundation’s financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n**2024 2023**\n\nCash and cash equivalents $ 82,845,159 75,808,401\n\nCurrent contributions receivable 856,657 —\n\nShort-term investments 116,074,763 132,216,667\n\nTotal financial assets 199,776,579 208,025,068\n\nLess:\n\nRestricted by donors for programs 5,696,323 5,882,673\n\nDonations payable to Wikimedia Endowment 525,607 5,274,448\n\nFinancial assets available to meet cash needs for\n\ngeneral expenditures within one year $ 193,554,649 196,867,947\n\nThe Foundation’s liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n**(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation's expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n**2024 2023**\n\nNet assets without donor restrictions:\n\nSupport and revenue:\n\nContributions of cash and other financial assets $ 168,212,977 164,121,185\n\nContributions of nonfinancial assets and services 263,476 1,040,453\n\nForeign currency losses (300,907) (94,868)\n\nOther income, net 5,629,773 3,824,240\n\nInvestment income, net 5,096,842 3,002,929\n\nRelease of net assets with donor restrictions 6,481,350 4,732,654\n\nTotal support and revenue 185,383,511 176,626,593\n\nOperating expenses:\n\nSalaries and benefits 106,793,960 101,305,706\n\nAwards and grants 26,820,080 24,433,682\n\nInternet hosting 3,116,445 3,120,819\n\nIn-kind service expenses 263,476 1,040,453\n\nDonation processing expenses 7,547,718 6,855,680\n\nProfessional service expenses 13,090,040 15,464,635\n\nOther operating expenses 10,798,140 7,393,982\n\nTravel and conferences 5,824,979 4,878,359\n\nDepreciation and amortization 4,216,271 4,602,064\n\nTotal operating expenses 178,471,109 169,095,380\n\nChange in net assets without donor restrictions\n\nfrom operating activities 6,912,402 7,531,213\n\nNonoperating activities:\n\nUnrealized gains on investments, net 9,858,001 3,547,510\n\nChange in net assets without donor restrictions 16,770,403 11,078,723\n\nNet assets with donor restrictions:\n\nContributions with donor restrictions 6,295,000 9,273,736\n\nNet assets released from restrictions (6,481,350) (4,732,654)\n\nIncrease (decrease) in net assets with donor\n\nrestrictions (186,350) 4,541,082\n\nIncrease in net assets 16,584,053 15,619,805\n\nNet assets at beginning of year 254,971,337 239,351,532\n\nNet assets at end of year $ 271,555,390 254,971,337\n\nSee accompanying notes to consolidated financial statements.\n\n4",
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- "text": "**(4) Property and Equipment, Net**\n\nProperty and equipment at June 30, 2024 and 2023 consist of the following:\n\n**2024 2023**\n\nFurniture $ 72,042 737,143 Leasehold improvements — 2,074,581 Computer equipment 22,821,120 21,941,684 Internal use software 2,507,701 5,198,574\n\nTotal 25,400,863 29,951,982\n\nLess accumulated depreciation and amortization (13,574,727) (15,906,843)\n\nProperty and equipment, net $ 11,826,136 14,045,139\n\n**(5) Net Assets**\n\nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes:\n\n**2024 2023**\n\nRestricted to future periods: $ 50,000 100,000 Restricted by purpose: Abstract Wikipedia 861,008 1,249,004 Artificial intelligence 239,878 — Endowment support — 1,297,620 Future Audiences 500,000 — Knowledge equity 965,910 2,228,134 Machine learning 24,528 860,620 Media Wiki 1,500,000 — Other 125,000 147,295 Restricted to future periods and by purpose: Artificial intelligence 1,430,000 —\n\nNet assets with donor restrictions $ 5,696,324 5,782,673\n\n**(6) Functional Allocation of Expenses**\n\nCosts of providing the Foundation’s activities have been summarized below on a functional basis. Programs comprise various initiatives that focus on (1) building the technological and operating platform that enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, growing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in key geographic areas, mobile application development, and bottom-up innovation, all of which support Wikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for which the Foundation is reimbursed. The allocation between programs, general and administrative, and fundraising expenses is based on personnel and related costs and other operating expenses such as rent and office expenses using estimates of time spent or percentage of utilization by headcounts, as well as",
- "page_start": 15,
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- "text": "and free to everyone in the world, the Foundation's cost related to this collaborative arrangement is included within awards and grants in the statement of activities. The amount included within awards and grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively.\n\n* **(p) Use of Estimates** *\n\nThe preparation of financial statements in conformity with U.S. generally accepted accounting principles requires management to make estimates and assumptions that affect the amounts reported in the consolidated financial statements and accompanying notes. Items subject to such estimates and assumptions include the investment valuations, useful lives of fixed assets, and the valuation of contributed services. Accordingly, actual results could differ from those estimates.\n\n* **(q) Reclassifications** *\n\nCertain reclassifications have been made in the financial statements to conform 2023 information to the 2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and losses on investments separately from investment income, net. This resulted in a reclassification of $3,547,510 from investment income, net to unrealized gains on investments within the statement of activities. The Foundation also had a change in accounting policy to no longer present the Wikimania event as special event expense, net in the statement of activities. Revenue from registration sales is now reported within other income, net, and expenses are reported within travel and conference expenses. This resulted in a reclassification of $698,141 from special event expenses to travel and conference expenses in the statement of activities.\n\n**(2) Contributions Receivable**\n\nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents contributions receivable from two grants, as well as contributions receivable from payment processors.",
- "page_start": 12,
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n(With Independent Auditors’ Report Thereon)",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Financial Position\n\nJune 30, 2024 and 2023\n\n**Assets 2024 2023**\n\nCurrent assets:\n\nCash and cash equivalents $ 82,845,159 75,808,401\n\nContributions receivable 856,657 —\n\nShort-term investments 116,074,763 132,216,667\n\nPrepaid expenses and other current assets 5,722,457 5,569,485\n\nTotal current assets 205,499,036 213,594,553\n\nRestricted cash 1,428,542 1,396,717\n\nLong-term investments 67,291,224 43,265,786\n\nRight of use asset - operating lease, net — 1,821,174\n\nProperty and equipment, net 11,826,136 14,045,139\n\nContributions receivable 715,000 —\n\nTotal assets $ 286,759,938 274,123,369\n\n**Liabilities and Net Assets**\n\nCurrent liabilities:\n\nAccounts payable $ 4,009,582 2,783,904\n\nAccrued expenses 7,959,558 6,922,259\n\nLease liability 417,756 1,640,735\n\nDonations payable to Wikimedia Endowment 525,607 5,274,448\n\nOther liabilities 2,292,045 2,124,939\n\nTotal current liabilities 15,204,548 18,746,285\n\nLease liability — 405,748\n\nTotal liabilities $ 15,204,548 19,152,033\n\nNet assets:\n\nNet assets without donor restrictions 265,859,067 249,088,663\n\nNet assets with donor restrictions 5,696,323 5,882,673\n\nTotal net assets 271,555,390 254,971,336\n\nTotal liabilities and net assets $ 286,759,938 274,123,369\n\nSee accompanying notes to consolidated financial statements.\n\n3",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Cash Flows\n\nYears ended June 30, 2024 and 2023\n\n**2024 2023**\n\nCash flows from operating activities:\n\nIncrease in net assets $ 16,584,053 15,619,804\n\nAdjustments to reconcile increase in net assets to net cash\n\nprovided by operating activities:\n\nDepreciation and amortization 4,216,271 4,602,064\n\nLoss on disposal of equipment 203,233 64,518\n\nUnrealized and realized gains on investments, net (8,356,376) (2,276,210)\n\nRight of use asset - operating lease, net 1,821,432 1,404,875\n\nChanges in operating assets and liabilities:\n\nContributions receivable (1,571,657) 700,000\n\nPrepaid expenses and other current assets (152,972) (469,201)\n\nAccounts payable 1,225,678 (483,402)\n\nAccrued expenses 1,037,299 1,224,690\n\nLease liability (1,666,935) (1,618,384)\n\nDonations payable to Wikimedia Endowment (4,748,841) 5,254,730\n\nOther liabilities 205,056 (65,560)\n\nNet cash provided by operating activities 8,796,241 23,957,924\n\nCash flows from investing activities:\n\nPurchase of computer equipment and office furniture (4,435,982) (4,006,566)\n\nDevelopment of internal use software 2,235,481 (3,076,098)\n\nPurchase of investments (92,176,499) (49,998,612)\n\nProceeds from sales and maturities of investments 92,649,341 58,016,155\n\nNet cash provided by (used in) investing activities (1,727,659) 934,879\n\nNet increase in cash, cash equivalents, and\n\nrestricted cash 7,068,582 24,892,803\n\nCash, cash equivalents, and restricted cash at beginning of year 77,205,118 52,312,315\n\nCash, cash equivalents, and restricted cash at end of year $ 84,273,700 77,205,118\n\nSupplemental cash flow disclosure:\n\nNoncash changes in exchange rate $ 290,621 (96,027)\n\nInitial recognition of right of use asset - operating lease — (3,226,048)\n\nInitial recognition of lease liability — 3,580,607\n\nSee accompanying notes to consolidated financial statements.\n\n5 6",
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- "text": "[In 2023, we convened hundreds via](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [roundtables, community conferences](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [(e.g. ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[MozFest](https://creativecommons.org/2023/05/04/generative-ai-opportunities-concerns-solutions-from-mozfest-2023/)** , **[Wikimania](https://creativecommons.org/2024/02/07/dispatches-from-wikimania-values-for-shaping-ai-towards-a-better-internet/)** [), and public](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [events (e.g. symposium on ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[Generative](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [AI & Creativity](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/)** [)to debate copyright law,](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [the ethics of open sharing, and other](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [relevant areas that touch AI. ](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/)\n\n[At our CC Global Summit, participants](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [drafted ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[community-driven principles](https://creativecommons.org/2023/10/07/making-ai-work-for-creators-and-the-commons/)** [on AI that are a valuable input and will](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [help inform the organization’s thinking](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [as we determine CC’s exact role in the AI](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) space.\n\n[“The Pillars of Creation” by ](https://openverse.org/image/8de72efd-e12b-49eb-8210-1046bcd71847?q=Pillars%20of%20Creation) [James Webb Space Telescope ](https://www.flickr.com/photos/50785054@N03) [is licensed under CC BY 2.0. ](https://creativecommons.org/licenses/by/2.0/?ref=openverse)\n\n### **Areas of Exploration**\n\n####### **Support for Creators in the Time of Artificial Intelligence**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf"
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- ]
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- "references": {
- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf",
- "query": "What include Wikimedia Fundation restricted cash ?",
- "target_page": 9,
- "target_passage": "Restricted cash includes standby letters of credit for (1) the Foundation’s headquarters office lease and (2) one of the Foundation’s Employer of Record responsible for administering compensation and benefits for non-US personnel.",
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- "text": "**(1) Organization and Summary of Significant Accounting Policies**\n\n* **(a) Organization and Purpose** *\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n* **(b) Risks and Uncertainties** *\n\nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n* **(c) Income Taxes** *\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n* **(d) Financial Statement Presentation** *\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, *Not-for-Profit Entities* .\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.",
- "page_start": 7,
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nNotes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n18\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n**(11) Contingencies and Commitments**\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n**(12) Subsequent Events**\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.",
- "page_start": 19,
- "page_end": 19,
- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "**(9) Liquidity and Availability of Financial Assets**\n\nThe Foundation’s financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n**2024 2023**\n\nCash and cash equivalents $ 82,845,159 75,808,401\n\nCurrent contributions receivable 856,657 —\n\nShort-term investments 116,074,763 132,216,667\n\nTotal financial assets 199,776,579 208,025,068\n\nLess:\n\nRestricted by donors for programs 5,696,323 5,882,673\n\nDonations payable to Wikimedia Endowment 525,607 5,274,448\n\nFinancial assets available to meet cash needs for\n\ngeneral expenditures within one year $ 193,554,649 196,867,947\n\nThe Foundation’s liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n**(10) Related Party Transactions**\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation's expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.",
- "page_start": 18,
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- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n**2024 2023**\n\nNet assets without donor restrictions:\n\nSupport and revenue:\n\nContributions of cash and other financial assets $ 168,212,977 164,121,185\n\nContributions of nonfinancial assets and services 263,476 1,040,453\n\nForeign currency losses (300,907) (94,868)\n\nOther income, net 5,629,773 3,824,240\n\nInvestment income, net 5,096,842 3,002,929\n\nRelease of net assets with donor restrictions 6,481,350 4,732,654\n\nTotal support and revenue 185,383,511 176,626,593\n\nOperating expenses:\n\nSalaries and benefits 106,793,960 101,305,706\n\nAwards and grants 26,820,080 24,433,682\n\nInternet hosting 3,116,445 3,120,819\n\nIn-kind service expenses 263,476 1,040,453\n\nDonation processing expenses 7,547,718 6,855,680\n\nProfessional service expenses 13,090,040 15,464,635\n\nOther operating expenses 10,798,140 7,393,982\n\nTravel and conferences 5,824,979 4,878,359\n\nDepreciation and amortization 4,216,271 4,602,064\n\nTotal operating expenses 178,471,109 169,095,380\n\nChange in net assets without donor restrictions\n\nfrom operating activities 6,912,402 7,531,213\n\nNonoperating activities:\n\nUnrealized gains on investments, net 9,858,001 3,547,510\n\nChange in net assets without donor restrictions 16,770,403 11,078,723\n\nNet assets with donor restrictions:\n\nContributions with donor restrictions 6,295,000 9,273,736\n\nNet assets released from restrictions (6,481,350) (4,732,654)\n\nIncrease (decrease) in net assets with donor\n\nrestrictions (186,350) 4,541,082\n\nIncrease in net assets 16,584,053 15,619,805\n\nNet assets at beginning of year 254,971,337 239,351,532\n\nNet assets at end of year $ 271,555,390 254,971,337\n\nSee accompanying notes to consolidated financial statements.\n\n4",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Cash Flows\n\nYears ended June 30, 2024 and 2023\n\n**2024 2023**\n\nCash flows from operating activities:\n\nIncrease in net assets $ 16,584,053 15,619,804\n\nAdjustments to reconcile increase in net assets to net cash\n\nprovided by operating activities:\n\nDepreciation and amortization 4,216,271 4,602,064\n\nLoss on disposal of equipment 203,233 64,518\n\nUnrealized and realized gains on investments, net (8,356,376) (2,276,210)\n\nRight of use asset - operating lease, net 1,821,432 1,404,875\n\nChanges in operating assets and liabilities:\n\nContributions receivable (1,571,657) 700,000\n\nPrepaid expenses and other current assets (152,972) (469,201)\n\nAccounts payable 1,225,678 (483,402)\n\nAccrued expenses 1,037,299 1,224,690\n\nLease liability (1,666,935) (1,618,384)\n\nDonations payable to Wikimedia Endowment (4,748,841) 5,254,730\n\nOther liabilities 205,056 (65,560)\n\nNet cash provided by operating activities 8,796,241 23,957,924\n\nCash flows from investing activities:\n\nPurchase of computer equipment and office furniture (4,435,982) (4,006,566)\n\nDevelopment of internal use software 2,235,481 (3,076,098)\n\nPurchase of investments (92,176,499) (49,998,612)\n\nProceeds from sales and maturities of investments 92,649,341 58,016,155\n\nNet cash provided by (used in) investing activities (1,727,659) 934,879\n\nNet increase in cash, cash equivalents, and\n\nrestricted cash 7,068,582 24,892,803\n\nCash, cash equivalents, and restricted cash at beginning of year 77,205,118 52,312,315\n\nCash, cash equivalents, and restricted cash at end of year $ 84,273,700 77,205,118\n\nSupplemental cash flow disclosure:\n\nNoncash changes in exchange rate $ 290,621 (96,027)\n\nInitial recognition of right of use asset - operating lease — (3,226,048)\n\nInitial recognition of lease liability — 3,580,607\n\nSee accompanying notes to consolidated financial statements.\n\n5 6",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\nConsolidated Statements of Financial Position\n\nJune 30, 2024 and 2023\n\n**Assets 2024 2023**\n\nCurrent assets:\n\nCash and cash equivalents $ 82,845,159 75,808,401\n\nContributions receivable 856,657 —\n\nShort-term investments 116,074,763 132,216,667\n\nPrepaid expenses and other current assets 5,722,457 5,569,485\n\nTotal current assets 205,499,036 213,594,553\n\nRestricted cash 1,428,542 1,396,717\n\nLong-term investments 67,291,224 43,265,786\n\nRight of use asset - operating lease, net — 1,821,174\n\nProperty and equipment, net 11,826,136 14,045,139\n\nContributions receivable 715,000 —\n\nTotal assets $ 286,759,938 274,123,369\n\n**Liabilities and Net Assets**\n\nCurrent liabilities:\n\nAccounts payable $ 4,009,582 2,783,904\n\nAccrued expenses 7,959,558 6,922,259\n\nLease liability 417,756 1,640,735\n\nDonations payable to Wikimedia Endowment 525,607 5,274,448\n\nOther liabilities 2,292,045 2,124,939\n\nTotal current liabilities 15,204,548 18,746,285\n\nLease liability — 405,748\n\nTotal liabilities $ 15,204,548 19,152,033\n\nNet assets:\n\nNet assets without donor restrictions 265,859,067 249,088,663\n\nNet assets with donor restrictions 5,696,323 5,882,673\n\nTotal net assets 271,555,390 254,971,336\n\nTotal liabilities and net assets $ 286,759,938 274,123,369\n\nSee accompanying notes to consolidated financial statements.\n\n3",
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- "text": "**(4) Property and Equipment, Net**\n\nProperty and equipment at June 30, 2024 and 2023 consist of the following:\n\n**2024 2023**\n\nFurniture $ 72,042 737,143 Leasehold improvements — 2,074,581 Computer equipment 22,821,120 21,941,684 Internal use software 2,507,701 5,198,574\n\nTotal 25,400,863 29,951,982\n\nLess accumulated depreciation and amortization (13,574,727) (15,906,843)\n\nProperty and equipment, net $ 11,826,136 14,045,139\n\n**(5) Net Assets**\n\nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes:\n\n**2024 2023**\n\nRestricted to future periods: $ 50,000 100,000 Restricted by purpose: Abstract Wikipedia 861,008 1,249,004 Artificial intelligence 239,878 — Endowment support — 1,297,620 Future Audiences 500,000 — Knowledge equity 965,910 2,228,134 Machine learning 24,528 860,620 Media Wiki 1,500,000 — Other 125,000 147,295 Restricted to future periods and by purpose: Artificial intelligence 1,430,000 —\n\nNet assets with donor restrictions $ 5,696,324 5,782,673\n\n**(6) Functional Allocation of Expenses**\n\nCosts of providing the Foundation’s activities have been summarized below on a functional basis. Programs comprise various initiatives that focus on (1) building the technological and operating platform that enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, growing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in key geographic areas, mobile application development, and bottom-up innovation, all of which support Wikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for which the Foundation is reimbursed. The allocation between programs, general and administrative, and fundraising expenses is based on personnel and related costs and other operating expenses such as rent and office expenses using estimates of time spent or percentage of utilization by headcounts, as well as",
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- "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf"
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- "text": "9\n\nGifts of cash and other assets are reported as contributions with donor restrictions if they are received with donor stipulations that limit the use of the donated assets or are restricted as to time. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions and reported in the consolidated statement of activities as net assets released from restrictions.\n\n* **(l) Contributions of Nonfinancial Assets and Services** *\n\nContributions of nonfinancial assets and services include contributed services, as described below.\n\nContributed services are reported at fair value in the consolidated financial statements for voluntary donations of services when those services (1) create or enhance nonfinancial assets, (2) require specialized skills provided by individuals possessing those skills and are services that would be typically purchased if not provided by the donation, and (3) are professional in nature, and have been explicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial assets and services revenue and in-kind service expenses in the consolidated statements of activities. Fair value is estimated based on current local rates for similar services.\n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the Foundation’s projects. The value of this contributed time is not reflected in the accompanying consolidated financial statements, as the criteria above are not met.\n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist of contributed legal services, engineering services, subscription services, and internet hosting services and bandwidth. The amounts of specialized contributed legal services as revenue and expenses are $82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of specialized engineering services as revenue and expenses are $0 and $498,800 for the years ended June 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and expenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The amounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and 2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated hosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, (4) LibertyGlobal, (5) Init7, and (6) Arelion.\n\n* **(m) Revenue Recognition - Contracts With Customers** *\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under Accounting Standards Codification Topic 606, Revenue from Contracts with Customers, which establishes a principle that revenue is recognized upon transfer of control of promised products and services to customers in an amount that reflects the consideration the Foundation expects to receive in exchange for those products or services.\n\nThe Foundation determines the amount of revenue to be recognized through the application of the following 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification of the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of the transaction price to the performance obligations in the contract; and 5) recognition of revenue when or as the Foundation satisfies the performance obligations.",
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- "text": "**WIKIMEDIA FOUNDATION, INC.**\n\n**Table of Contents**\n\n**Page(s)**\n\nIndependent Auditors’ Report 1\n\nConsolidated Financial Statements:\n\nBalance Sheets 3\n\nStatements of Activities 4\n\nStatements of Cash Flows 5\n\nNotes to Consolidated Financial Statements 6- 18",
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- "text": "and free to everyone in the world, the Foundation's cost related to this collaborative arrangement is included within awards and grants in the statement of activities. The amount included within awards and grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively.\n\n* **(p) Use of Estimates** *\n\nThe preparation of financial statements in conformity with U.S. generally accepted accounting principles requires management to make estimates and assumptions that affect the amounts reported in the consolidated financial statements and accompanying notes. Items subject to such estimates and assumptions include the investment valuations, useful lives of fixed assets, and the valuation of contributed services. Accordingly, actual results could differ from those estimates.\n\n* **(q) Reclassifications** *\n\nCertain reclassifications have been made in the financial statements to conform 2023 information to the 2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and losses on investments separately from investment income, net. This resulted in a reclassification of $3,547,510 from investment income, net to unrealized gains on investments within the statement of activities. The Foundation also had a change in accounting policy to no longer present the Wikimania event as special event expense, net in the statement of activities. Revenue from registration sales is now reported within other income, net, and expenses are reported within travel and conference expenses. This resulted in a reclassification of $698,141 from special event expenses to travel and conference expenses in the statement of activities.\n\n**(2) Contributions Receivable**\n\nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents contributions receivable from two grants, as well as contributions receivable from payment processors.",
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- "references": {
- "source_file": "uksi_20200471_en.pdf",
- "query": "What is the price of the The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?",
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- "text": "S T A T U T O R Y I N S T R U M E N T S\n\n## **2020 No. 471**\n\n## **EDUCATION, ENGLAND**\n\n## The Special Educational Needs and Disability (Coronavirus)\n\n## (Amendment) Regulations 2020\n\n*Made* *-* *-* *-* *-* *28th April 2020*\n\n## *Laid before Parliament* *30th April* *2020*\n\n*Coming into force* *-* *-* *1st May* *2020*\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by\n\nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3)\n\nand 135(2) and (3) of the Children and Families Act 2014( **a** ) and sections 29(3) and 569(4) of the\n\nEducation Act 1996( **b** ).\n\n### **Citation and commencement**\n\n**1.** These Regulations may be cited as the Special Educational Needs and Disability\n\n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n### **Review and expiry**\n\n**2.** —(1) The Secretary of State must review the effectiveness of these Regulations during the\n\nperiod for which they have effect.\n\n(2) These Regulations cease to have effect on 25th September 2020.\n\n### **Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.** The Special Educational Needs and Disability Regulations 2014( **c** ) are amended as follows.\n\n**4.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**5.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time periods due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, any requirement in any of the\n\nregulations specified in paragraph (3) for action to be taken within a specified period of\n\n( **a** ) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16).\n\n( **b** ) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and\n\nFramework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education\n\n(Wales) Measure 2009.\n\n( **c** ) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.",
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- "text": "### **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations make amendments to secondary legislation relating to special educational\n\nneeds and disability in order to provide exceptions to time limits set out in that legislation where\n\nthey cannot be met because of a reason relating to the incidence or transmission of coronavirus.\n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review\n\nthe effectiveness of the Regulations during the period in which they have effect. The Regulations\n\ncease to have effect on 25th September 2020.\n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 (‘the\n\nSEND Regulations 2014’).\n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain\n\nrequirements in those Regulations for actions to be taken within specified time limits where it is\n\nnot reasonably practicable for a person to meet those requirements for a reason relating to the\n\nincidence or transmission of coronavirus. Instead, any such requirement is to be read as a\n\nrequirement for such action to be taken as soon as reasonably practicable.\n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits.\n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014\n\n(‘the Personal Budgets Regulations 2014’).\n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as\n\nregulation 5 does in respect of the SEND Regulations 2014.\n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons)\n\nRegulations 2015 (‘the Detained Persons Regulations 2015’).\n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to\n\nthe ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal\n\nBudgets Regulations 2014 respectively.\n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax\n\ntime limits.\n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal\n\nRecommendations Power) Regulations 2017 (‘the First-tier Tribunal Regulations 2017’).\n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to\n\nthose in regulations 5, 17 and 20.\n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency\n\nmeasure and no significant impact on business, charities or voluntary bodies is foreseen.\n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk.\n\n© Crown copyright 2020\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James,\n\nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.",
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- "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local\n\nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the\n\nincidence or transmission of coronavirus.”.\n\n### **Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations**\n\n## **2015**\n\n**18.** The Special Educational Needs and Disability (Detained Persons) Regulations 2015( **a** ) are\n\namended as follows.\n\n**19.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**20.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time periods due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, any requirement in any of the\n\nregulations specified in paragraph (3) for action to be taken within a specified period of\n\ntime or by a certain day is to be read instead as a requirement for such action to be taken as\n\nsoon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person\n\nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or\n\ntransmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n(a) regulation 15(1) and (4) (needs assessments which are not completed);\n\n(b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n\n(c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n\n(d) regulation 19 (requirement to consider mediation);\n\n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to\n\npursue mediation);\n\n(f) regulation 21 (mediation);\n\n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n\n(h) regulation 27(3) (steps to be taken by a home authority);\n\n(i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n\n(j) regulation 30(3) and (6) (unopposed appeals).”.\n\n**21.** In regulation 4 (determination whether or not special educational provision may be\n\nnecessary), after paragraph (2) insert—\n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if\n\nit is impractical to do so because of a reason relating to the incidence or transmission of\n\ncoronavirus.”.\n\n**22.** In regulation 5(4) (decision whether or not to conduct a detained person’s EHC needs\n\nassessment)—\n\n(a) at the end of sub-paragraph (b) omit “or”; and\n\n(b) at the end of sub-paragraph (c) insert—\n\n“, or\n\n(d) of a reason relating to the incidence or transmission of coronavirus”.\n\n) S.I. 2015/62.",
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- "text": "**23.** In regulation 8(2) (duty to co-operate in a detained person’s EHC needs assessment), at the\n\nend of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**24.** In regulation 10(4) (decision not to secure an EHC plan)—\n\n(a) at the end of sub-paragraph (b) omit “or”; and\n\n(b) at the end of sub-paragraph (c) insert—\n\n“; or\n\n(d) of a reason relating to the incidence or transmission of coronavirus”.\n\n**25.** In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”.\n\n**26.** In regulation 29 (compliance with the orders of the First-tier Tribunal)—\n\n(a) after paragraph (6) insert—\n\n“(6A) The home authority need not comply with the time limits specified in paragraph (3)\n\nif it is impractical to do so because the circumstances referred to in regulation 10(4)(d)\n\napply.”.\n\n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d)”.\n\n**27.** In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”.\n\n### **Amendment of the Special Educational Needs and Disability (First-tier Tribunal**\n\n### **Recommendations Power) Regulations 2017**\n\n**28.** The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power)\n\nRegulations 2017( **a** ) are amended as follows.\n\n**29.** In regulation 2 (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**30.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time periods due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, any requirement in any of the\n\nregulations specified in paragraph (3) for action to be taken within a specified period of\n\ntime or by a certain day is to be read instead as a requirement for such action to be taken as\n\nsoon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person\n\nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or\n\ntransmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n(a) regulation 6(3) and (6) (responding to health care recommendations); and\n\n(b) regulation 7(1) and (4) (responding to social care recommendations).”.\n\n*Vicky Ford*\n\nParliamentary Under Secretary of State\n\n28th April 2020 Department for Education\n\n) S.I. 2017/1306.",
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- "text": "(a) at the end of sub-paragraph (c) omit “or”; and\n\n(b) at the end of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**10.** In regulation 13(3) (timescales for EHC plans), for “(d)” substitute “(e)”.\n\n**11.** After regulation 18 (circumstances in which a local authority must review an EHC plan)\n\ninsert—\n\n“ **Circumstances in which it is not necessary to review an EHC plan**\n\n**18A.** —(1) It is not necessary for a local authority to review an EHC plan in accordance\n\nwith section 44(1) of the Act if it is impractical to do so because of a reason relating to the\n\nincidence or transmission of coronavirus.\n\n(2) Where paragraph (1) applies, a local authority must instead conduct such reviews as\n\nsoon as reasonably practicable.”.\n\n**12.** In regulation 22 (amending an EHC plan following a review), after paragraph (5) insert—\n\n“(6) The local authority need not comply with the time limit referred to in paragraphs (3)\n\nand (4) if it is impractical to do so because of a reason relating to the incidence or\n\ntransmission of coronavirus.”.\n\n**13.** In regulation 27(3) (amending or replacing an EHC plan following a re-assessment)—\n\n(a) at the end of sub-paragraph (c) omit “or”; and\n\n(b) at the end of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**14.** In regulation 45 (unopposed appeals), after paragraph (7) insert—\n\n“(8) The local authority need not comply with the time limits specified in paragraph (3A)\n\nif it is impractical to do so because the circumstances referred to in regulation 10(4)(e)\n\napply.”.\n\n### **Amendment of the Special Educational Needs (Personal Budgets) Regulations 2014**\n\n**15.** The Special Educational Needs (Personal Budgets) Regulations 2014( **a** ) are amended as\n\nfollows.\n\n**16.** In regulation 2 (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**17.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time period due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, the requirement for the local authority\n\nto review the making and use of direct payments within the first three months of them being\n\nmade in regulation 11(2)(a) (monitoring and review of direct payments) is to be read\n\ninstead as a requirement for such action to be taken as soon as reasonably practicable.\n\n) S.I. 2014/1652, to which there are amendments not relevant to these Regulations.",
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- "text": "£6.90\n\nUK202004291001 05/2020 19585\n\nhttp://www.legislation.gov.uk/id/uksi/2020/471",
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- "text": "£4.90\n\nUK202004201005 04/2020 19585\n\nhttp://www.legislation.gov.uk/id/uksi/2020/438",
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- "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as\n\nsoon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person\n\nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or\n\ntransmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n(a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15\n\nworking days), (4), (5), (7) (in relation to the second reference to 15 working days)\n\nand (8);\n\n(b) regulation 16(2) and (3) (change of responsible commissioning body);\n\n(c) regulation 20(9) and (10) (review where the child or young person attends a school\n\nor other institution);\n\n(d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person\n\ndoes not attend a school or other institution);\n\n(e) regulation 25(1) (notification of decision whether it is necessary to re-assess\n\neducational, health care and social care provision);\n\n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n\n(g) regulation 33 (requirement to consider mediation);\n\n(h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails\n\nto pursue mediation);\n\n(i) regulation 35(2), (3) and (4) (mediation - health care issues);\n\n(j) regulation 36(2) (mediation - no health care issues);\n\n(k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n\n(l) regulation 42(3) and (4) (steps to be taken by a local authority);\n\n(m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier\n\nTribunal);\n\n(n) regulation 45(4), (5) and (6A) (unopposed appeals);\n\n(o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n\n(p) regulation 56(3) (publication of comments on the local offer).”.\n\n**6.** In regulation 4 (determination whether or not special educational provision may be\n\nnecessary), after paragraph (2) insert—\n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if\n\nit is impractical to do so because of a reason relating to the incidence or transmission of\n\ncoronavirus.”.\n\n**7.** In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)—\n\n(a) at the end of sub-paragraph (c) omit “or”; and\n\n(b) at the end of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**8.** In regulation 8(2) (duty to co-operate in EHC needs assessments)—\n\n(a) at the end of sub-paragraph (b) omit “or”; and\n\n(b) at the end of sub-paragraph (c) insert—\n\n“; or\n\n(d) of a reason relating to the incidence or transmission of coronavirus”.\n\n**9.** In regulation 10(4) (decision not to secure an EHC plan)—",
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- "text": "###### **Regulation 19(7)(b) to (d)**\n\n**15.** Breach of requirement under regulation 16(1), 17(1) or 18(1) (other operator offences),\n\n£2,000.\n\n###### **Regulation 19(13)**\n\n**16.** Breach of requirement under regulation 15 (operator records and information), £500.\n\n###### **Regulation 19(14)**\n\n**17.** Breach of regulation 19(14) (wilful obstruction of a person carrying out a function under\n\nthese Regulations)—\n\n(a) obstruction of a function relating to regulation 3—\n\n(i) in the case of the first fixed penalty notice, £500,\n\n(ii) in the case of the second fixed penalty notice, £1,000,\n\n(iii) in the case of the third fixed penalty notice, £2,000,\n\n(iv) in the case of the fourth and subsequent fixed penalty notices, £4,000,\n\nwith no account taken of any fixed penalty notices given before 4.00 a.m. on 18th January 2021;\n\n(b) obstruction of a function relating to regulation 4—\n\n(i) in the case of the first fixed penalty notice, £500,\n\n(ii) in the case of the second fixed penalty notice, £1,000,\n\n(iii) in the case of the third fixed penalty notice, £2,000,\n\n(iv) in the case of the fourth and subsequent fixed penalty notices, £4,000;\n\n(c) obstruction of a function relating to regulations 9 or 11 apart from regulation 11(3),\n\n£1,000;\n\n(d) obstruction of a function relating to regulation (11)(3) or in relation to regulation 10—\n\n(i) in the case of the first fixed penalty notice, £5,000,\n\n(ii) in the case of the second fixed penalty notice, £8,000,\n\n(iii) in the case of the third and subsequent fixed penalty notice, £10,000;\n\n(e) in any other case, £500.\n\n**18.** In determining how many fixed penalty notices a person (“P”) has received for the purposes\n\nof paragraph 8 (breach of requirement in regulation 9 to self-isolate etc), if P received more than\n\none fixed penalty notice for that offence before 2nd October 2020, only one of those notices may\n\nbe taken into account.\n\nSCHEDULE 15 Regulation 26(2)\n\n#### Consequential Amendments\n\n**1.** —(1) The Health Protection (Notification) Regulations 2010( **a** ) are amended as follows.\n\n(2) In regulation 4(3D)(b), for “regulation 3B of the Health Protection (Coronavirus,\n\nInternational Travel) (England) Regulations 2020” substitute “regulation 6 of the Health\n\nProtection (Coronavirus, International Travel and Operator Liability) (England) Regulations\n\n2021”.\n\n( **a** ) S.I. 2010/659. Regulations 4(3D) and 4ZA were inserted by S.I. 2021/150. There are other amendments but none is\n\nrelevant.",
- "page_start": 87,
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- "source_file": "uksi_20210582_en.pdf"
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- "text": "£4.90\n\nhttp://www.legislation.gov.uk/id/uksi/2021/538",
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- "references": {
- "source_file": "uksi_20200471_en.pdf",
- "query": "When come into force the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?",
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- "target_passage": "These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.",
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- "text": "S T A T U T O R Y I N S T R U M E N T S\n\n## **2020 No. 471**\n\n## **EDUCATION, ENGLAND**\n\n## The Special Educational Needs and Disability (Coronavirus)\n\n## (Amendment) Regulations 2020\n\n*Made* *-* *-* *-* *-* *28th April 2020*\n\n## *Laid before Parliament* *30th April* *2020*\n\n*Coming into force* *-* *-* *1st May* *2020*\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by\n\nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3)\n\nand 135(2) and (3) of the Children and Families Act 2014( **a** ) and sections 29(3) and 569(4) of the\n\nEducation Act 1996( **b** ).\n\n### **Citation and commencement**\n\n**1.** These Regulations may be cited as the Special Educational Needs and Disability\n\n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n### **Review and expiry**\n\n**2.** —(1) The Secretary of State must review the effectiveness of these Regulations during the\n\nperiod for which they have effect.\n\n(2) These Regulations cease to have effect on 25th September 2020.\n\n### **Amendment of the Special Educational Needs and Disability Regulations 2014**\n\n**3.** The Special Educational Needs and Disability Regulations 2014( **c** ) are amended as follows.\n\n**4.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**5.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time periods due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, any requirement in any of the\n\nregulations specified in paragraph (3) for action to be taken within a specified period of\n\n( **a** ) 2014 c.6. Section 30(8) was amended by Schedule 2, Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16).\n\n( **b** ) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Standards and\n\nFramework Act 1998 (c.31) and S.I. 2010/1158 and section 569(4) was amended by section 8(1) and (5) of the Education\n\n(Wales) Measure 2009.\n\n( **c** ) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.",
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- "text": "### **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations make amendments to secondary legislation relating to special educational\n\nneeds and disability in order to provide exceptions to time limits set out in that legislation where\n\nthey cannot be met because of a reason relating to the incidence or transmission of coronavirus.\n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review\n\nthe effectiveness of the Regulations during the period in which they have effect. The Regulations\n\ncease to have effect on 25th September 2020.\n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 (‘the\n\nSEND Regulations 2014’).\n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain\n\nrequirements in those Regulations for actions to be taken within specified time limits where it is\n\nnot reasonably practicable for a person to meet those requirements for a reason relating to the\n\nincidence or transmission of coronavirus. Instead, any such requirement is to be read as a\n\nrequirement for such action to be taken as soon as reasonably practicable.\n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits.\n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014\n\n(‘the Personal Budgets Regulations 2014’).\n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as\n\nregulation 5 does in respect of the SEND Regulations 2014.\n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons)\n\nRegulations 2015 (‘the Detained Persons Regulations 2015’).\n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to\n\nthe ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal\n\nBudgets Regulations 2014 respectively.\n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax\n\ntime limits.\n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal\n\nRecommendations Power) Regulations 2017 (‘the First-tier Tribunal Regulations 2017’).\n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to\n\nthose in regulations 5, 17 and 20.\n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency\n\nmeasure and no significant impact on business, charities or voluntary bodies is foreseen.\n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk.\n\n© Crown copyright 2020\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James,\n\nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.",
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- "text": "(2) The coronavirus exception applies where it is not reasonably practicable for the local\n\nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the\n\nincidence or transmission of coronavirus.”.\n\n### **Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations**\n\n## **2015**\n\n**18.** The Special Educational Needs and Disability (Detained Persons) Regulations 2015( **a** ) are\n\namended as follows.\n\n**19.** In regulation 2(1) (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**20.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time periods due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, any requirement in any of the\n\nregulations specified in paragraph (3) for action to be taken within a specified period of\n\ntime or by a certain day is to be read instead as a requirement for such action to be taken as\n\nsoon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person\n\nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or\n\ntransmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n(a) regulation 15(1) and (4) (needs assessments which are not completed);\n\n(b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n\n(c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n\n(d) regulation 19 (requirement to consider mediation);\n\n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to\n\npursue mediation);\n\n(f) regulation 21 (mediation);\n\n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n\n(h) regulation 27(3) (steps to be taken by a home authority);\n\n(i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n\n(j) regulation 30(3) and (6) (unopposed appeals).”.\n\n**21.** In regulation 4 (determination whether or not special educational provision may be\n\nnecessary), after paragraph (2) insert—\n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if\n\nit is impractical to do so because of a reason relating to the incidence or transmission of\n\ncoronavirus.”.\n\n**22.** In regulation 5(4) (decision whether or not to conduct a detained person’s EHC needs\n\nassessment)—\n\n(a) at the end of sub-paragraph (b) omit “or”; and\n\n(b) at the end of sub-paragraph (c) insert—\n\n“, or\n\n(d) of a reason relating to the incidence or transmission of coronavirus”.\n\n) S.I. 2015/62.",
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- "text": "**23.** In regulation 8(2) (duty to co-operate in a detained person’s EHC needs assessment), at the\n\nend of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**24.** In regulation 10(4) (decision not to secure an EHC plan)—\n\n(a) at the end of sub-paragraph (b) omit “or”; and\n\n(b) at the end of sub-paragraph (c) insert—\n\n“; or\n\n(d) of a reason relating to the incidence or transmission of coronavirus”.\n\n**25.** In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”.\n\n**26.** In regulation 29 (compliance with the orders of the First-tier Tribunal)—\n\n(a) after paragraph (6) insert—\n\n“(6A) The home authority need not comply with the time limits specified in paragraph (3)\n\nif it is impractical to do so because the circumstances referred to in regulation 10(4)(d)\n\napply.”.\n\n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d)”.\n\n**27.** In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”.\n\n### **Amendment of the Special Educational Needs and Disability (First-tier Tribunal**\n\n### **Recommendations Power) Regulations 2017**\n\n**28.** The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power)\n\nRegulations 2017( **a** ) are amended as follows.\n\n**29.** In regulation 2 (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**30.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time periods due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, any requirement in any of the\n\nregulations specified in paragraph (3) for action to be taken within a specified period of\n\ntime or by a certain day is to be read instead as a requirement for such action to be taken as\n\nsoon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person\n\nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or\n\ntransmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n(a) regulation 6(3) and (6) (responding to health care recommendations); and\n\n(b) regulation 7(1) and (4) (responding to social care recommendations).”.\n\n*Vicky Ford*\n\nParliamentary Under Secretary of State\n\n28th April 2020 Department for Education\n\n) S.I. 2017/1306.",
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- "text": "(a) at the end of sub-paragraph (c) omit “or”; and\n\n(b) at the end of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**10.** In regulation 13(3) (timescales for EHC plans), for “(d)” substitute “(e)”.\n\n**11.** After regulation 18 (circumstances in which a local authority must review an EHC plan)\n\ninsert—\n\n“ **Circumstances in which it is not necessary to review an EHC plan**\n\n**18A.** —(1) It is not necessary for a local authority to review an EHC plan in accordance\n\nwith section 44(1) of the Act if it is impractical to do so because of a reason relating to the\n\nincidence or transmission of coronavirus.\n\n(2) Where paragraph (1) applies, a local authority must instead conduct such reviews as\n\nsoon as reasonably practicable.”.\n\n**12.** In regulation 22 (amending an EHC plan following a review), after paragraph (5) insert—\n\n“(6) The local authority need not comply with the time limit referred to in paragraphs (3)\n\nand (4) if it is impractical to do so because of a reason relating to the incidence or\n\ntransmission of coronavirus.”.\n\n**13.** In regulation 27(3) (amending or replacing an EHC plan following a re-assessment)—\n\n(a) at the end of sub-paragraph (c) omit “or”; and\n\n(b) at the end of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**14.** In regulation 45 (unopposed appeals), after paragraph (7) insert—\n\n“(8) The local authority need not comply with the time limits specified in paragraph (3A)\n\nif it is impractical to do so because the circumstances referred to in regulation 10(4)(e)\n\napply.”.\n\n### **Amendment of the Special Educational Needs (Personal Budgets) Regulations 2014**\n\n**15.** The Special Educational Needs (Personal Budgets) Regulations 2014( **a** ) are amended as\n\nfollows.\n\n**16.** In regulation 2 (interpretation), at the appropriate place insert—\n\n““coronavirus” means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n”.\n\n**17.** After regulation 2 (interpretation) insert—\n\n“ **Relaxation of time period due to coronavirus exception**\n\n**2A.** —(1) Where the coronavirus exception applies, the requirement for the local authority\n\nto review the making and use of direct payments within the first three months of them being\n\nmade in regulation 11(2)(a) (monitoring and review of direct payments) is to be read\n\ninstead as a requirement for such action to be taken as soon as reasonably practicable.\n\n) S.I. 2014/1652, to which there are amendments not relevant to these Regulations.",
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- "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as\n\nsoon as reasonably practicable.\n\n(2) The coronavirus exception applies where it is not reasonably practicable for a person\n\nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or\n\ntransmission of coronavirus.\n\n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)—\n\n(a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15\n\nworking days), (4), (5), (7) (in relation to the second reference to 15 working days)\n\nand (8);\n\n(b) regulation 16(2) and (3) (change of responsible commissioning body);\n\n(c) regulation 20(9) and (10) (review where the child or young person attends a school\n\nor other institution);\n\n(d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person\n\ndoes not attend a school or other institution);\n\n(e) regulation 25(1) (notification of decision whether it is necessary to re-assess\n\neducational, health care and social care provision);\n\n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n\n(g) regulation 33 (requirement to consider mediation);\n\n(h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails\n\nto pursue mediation);\n\n(i) regulation 35(2), (3) and (4) (mediation - health care issues);\n\n(j) regulation 36(2) (mediation - no health care issues);\n\n(k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n\n(l) regulation 42(3) and (4) (steps to be taken by a local authority);\n\n(m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier\n\nTribunal);\n\n(n) regulation 45(4), (5) and (6A) (unopposed appeals);\n\n(o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n\n(p) regulation 56(3) (publication of comments on the local offer).”.\n\n**6.** In regulation 4 (determination whether or not special educational provision may be\n\nnecessary), after paragraph (2) insert—\n\n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if\n\nit is impractical to do so because of a reason relating to the incidence or transmission of\n\ncoronavirus.”.\n\n**7.** In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)—\n\n(a) at the end of sub-paragraph (c) omit “or”; and\n\n(b) at the end of sub-paragraph (d) insert—\n\n“; or\n\n(e) of a reason relating to the incidence or transmission of coronavirus”.\n\n**8.** In regulation 8(2) (duty to co-operate in EHC needs assessments)—\n\n(a) at the end of sub-paragraph (b) omit “or”; and\n\n(b) at the end of sub-paragraph (c) insert—\n\n“; or\n\n(d) of a reason relating to the incidence or transmission of coronavirus”.\n\n**9.** In regulation 10(4) (decision not to secure an EHC plan)—",
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- "text": "#### PART 6\n\n##### Final provisions\n\n###### **Review of need for requirements**\n\n**24.** The Secretary of State must review the need for the requirements imposed by these\n\nRegulations by 14th June 2021 and at least once every 28 days thereafter.\n\n###### **Expiry of Regulations**\n\n**25.** These Regulations expire at the end of 16th May 2022.\n\n###### **Revocations, transitional provision consequential amendments and savings**\n\n**26.** —(1) The following Regulations are revoked—\n\n(a) the Health Protection (Coronavirus, Public Health Information for International\n\nPassengers) (England) Regulations 2020( **a** );\n\n(b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020\n\n(“the International Travel Regulations”)( **b** ); and\n\n(c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability)\n\n(England) (Amendment) Regulations 2021( **c** ).\n\n(2) Schedule 15 makes consequential amendments to other instruments specified in that\n\nSchedule.\n\n(3) Schedule 16 makes transitional provisions.\n\n(4) Nothing in these Regulations applies in relation to a person who arrived in England before\n\n4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1)\n\ncontinue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\n*Robert Courts*\n\nParliamentary Under Secretary of State\n\nAt 10.32 a.m. on 14th May 2021 Department for Transport\n\n( **a** ) S.I. 2020/567.\n\n( **b** ) S.I. 2020/568.\n\n( **c** ) S.I. 2021/38.",
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- "text": "**18.** Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the\n\n2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these\n\nRegulations.\n\n###### **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England)\n\nRegulations 2020 (“the International Travel Regulations”), the Health Protection (Coronavirus,\n\nPublic Health Information for International Passengers) (England) Regulations 2020 and the\n\nHealth Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England)\n\n(Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in\n\nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the\n\nspread of infection or contamination from coronavirus or coronavirus disease. They also impose\n\nobligations on operators to ensure that passengers receive information and comply with the\n\nrequirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum\n\nhas been published alongside this instrument at www.legislation.gov.uk.\n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James,\n\nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.",
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- "text": "(3) In regulation 4ZA—\n\n(a) in the heading, for “the Health Protection (Coronavirus, International Travel) (England)\n\nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel\n\nand Operator Liability) (England) Regulations 2021”;\n\n(b) in paragraph (1)(a), for “regulation 3B of the Health Protection (Coronavirus,\n\nInternational Travel) (England) Regulations 2020 (“the 2020 Regulations”)” substitute\n\n“regulation 6 of the Health Protection (Coronavirus, International Travel and Operator\n\nLiability) (England) Regulations 2021 (“the International Travel and Operator Liability\n\nRegulations”)”;\n\n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations”\n\nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator\n\nLiability Regulations”;\n\n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedule 2C to the Health Protection\n\n(Coronavirus, International Travel) (England) Regulations 2020” substitute “paragraph\n\n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”.\n\n**2.** —(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations\n\n2020( **a** ) are amended as follows.\n\n(2) In regulation 2D(1)(c), for “regulation 4 of the Health Protection (Coronavirus, International\n\nTravel) (England) Regulations 2020” substitute “regulation 9 of the Health Protection\n\n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”.\n\n(3) In regulation 6(1)—\n\n(a) in the definitions of “designated place”, “isolation requirements” and “self-isolating\n\nworker”, for “regulation 4” substitute “regulation 9”;\n\n(b) in the definition of “International Travel Regulations”, for “the Health Protection\n\n(Coronavirus, International Travel) (England) Regulations 2020” substitute “the Health\n\nProtection (Coronavirus, International Travel and Operator Liability) (England)\n\nRegulations 2021”.\n\nSCHEDULE 16 Regulation 26(3)\n\n#### Transitional provision\n\n**1.** Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to\n\nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations\n\n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information\n\nprovided for the purposes of these Regulations where the person arrives in England on or after that\n\ndate.\n\n**2.** Confirmation given by the Foreign, Commonwealth and Development Office that a person is\n\nnot required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that\n\nthe person is not required to comply with regulation 6 of these Regulations where the person\n\narrives in England on or after 4.00 a.m. on 17th May 2021.\n\n**3.** A designation by the Secretary of State of a person as an authorised person under regulation\n\n5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person\n\nunder of regulation 11(11)(c) of these Regulations.\n\n**4.** Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who\n\nexercises the powers in that regulation in relation to a person who arrived in England before 4.00\n\na.m. on 17th May 2021.\n\n( **a** ) S.I. 2020/1045. Regulation 2D was inserted by S.I. 2021/364. There are other amendments but none is relevant.",
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- "text": "###### **Regulation 19(7)(b) to (d)**\n\n**15.** Breach of requirement under regulation 16(1), 17(1) or 18(1) (other operator offences),\n\n£2,000.\n\n###### **Regulation 19(13)**\n\n**16.** Breach of requirement under regulation 15 (operator records and information), £500.\n\n###### **Regulation 19(14)**\n\n**17.** Breach of regulation 19(14) (wilful obstruction of a person carrying out a function under\n\nthese Regulations)—\n\n(a) obstruction of a function relating to regulation 3—\n\n(i) in the case of the first fixed penalty notice, £500,\n\n(ii) in the case of the second fixed penalty notice, £1,000,\n\n(iii) in the case of the third fixed penalty notice, £2,000,\n\n(iv) in the case of the fourth and subsequent fixed penalty notices, £4,000,\n\nwith no account taken of any fixed penalty notices given before 4.00 a.m. on 18th January 2021;\n\n(b) obstruction of a function relating to regulation 4—\n\n(i) in the case of the first fixed penalty notice, £500,\n\n(ii) in the case of the second fixed penalty notice, £1,000,\n\n(iii) in the case of the third fixed penalty notice, £2,000,\n\n(iv) in the case of the fourth and subsequent fixed penalty notices, £4,000;\n\n(c) obstruction of a function relating to regulations 9 or 11 apart from regulation 11(3),\n\n£1,000;\n\n(d) obstruction of a function relating to regulation (11)(3) or in relation to regulation 10—\n\n(i) in the case of the first fixed penalty notice, £5,000,\n\n(ii) in the case of the second fixed penalty notice, £8,000,\n\n(iii) in the case of the third and subsequent fixed penalty notice, £10,000;\n\n(e) in any other case, £500.\n\n**18.** In determining how many fixed penalty notices a person (“P”) has received for the purposes\n\nof paragraph 8 (breach of requirement in regulation 9 to self-isolate etc), if P received more than\n\none fixed penalty notice for that offence before 2nd October 2020, only one of those notices may\n\nbe taken into account.\n\nSCHEDULE 15 Regulation 26(2)\n\n#### Consequential Amendments\n\n**1.** —(1) The Health Protection (Notification) Regulations 2010( **a** ) are amended as follows.\n\n(2) In regulation 4(3D)(b), for “regulation 3B of the Health Protection (Coronavirus,\n\nInternational Travel) (England) Regulations 2020” substitute “regulation 6 of the Health\n\nProtection (Coronavirus, International Travel and Operator Liability) (England) Regulations\n\n2021”.\n\n( **a** ) S.I. 2010/659. Regulations 4(3D) and 4ZA were inserted by S.I. 2021/150. There are other amendments but none is\n\nrelevant.",
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- "source_file": "sg248459.pdf",
- "query": "Who is Daniel Casali ?",
- "target_page": 12,
- "target_passage": " Daniel Casali is a Thought Leader Information Technology Specialist working for 15 years at IBM with Power Systems, high-performance computing, big data, and storage. His role at IBM is to bring to reality solutions that address client’s needs by exploring new technologies for different workloads. He is also fascinated by real multicloud implementations, always trying to abstract and simplify the new challenges of the heterogeneous architectures that are intrinsic to this new consumption model, be that on-premises or in the public cloud. ",
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- "text": "###### Board of Directors",
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- "text": "Photography: Ted Kawalerski; page 8, Amy Etra",
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- "text": "ANNUAL REPORT 2014",
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- "text": "A.C.N. 083 185 693",
- "page_start": 71,
- "page_end": 71,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "http://www.legislation.gov.uk/id/uksi/2021/582",
- "page_start": 91,
- "page_end": 91,
- "source_file": "uksi_20210582_en.pdf"
- },
- {
- "text": "## Financial Information",
- "page_start": 55,
- "page_end": 55,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "annual report 2002",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NASDAQ_FFIN_2002.pdf"
- },
- {
- "text": "## 2010: A YEAR OF TRANSITION AND ACHIEVEMENT",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NYSE_CHK_2010.pdf"
- },
- {
- "text": "**2013 Annual Report**\n\ncontinued",
- "page_start": 0,
- "page_end": 0,
- "source_file": "ASX_KCN_2013.pdf"
- },
- {
- "text": "Portal Version 4.3 - User Manual\n\nV1.0\n\nOctober 2019",
- "page_start": 0,
- "page_end": 0,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "sg248459.pdf",
- "query": "When does IBM close its acquisition of Red Hat ?",
- "target_page": 20,
- "target_passage": " On July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and open source technology",
- "chunk_present": {
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- "text": "**4** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n\n### **1.1 Introduction**\n\nMost companies started or are contemplating their journey to cloud. Although in recent years\n\nthe adoption of cloud became much more common place, the scope of what a cloud is or can\n\nbe also increased. This broadening of possibilities unfortunately added confusion and can\n\nresult in companies being unsure of how their existing application estate can change to\n\nintegrate with the cloud model.\n\nAs such, doubts still exist around how to start and progress on this journey. It is also true that\n\nalthough people understand traditional enterprise applications and more modern\n\ncloud-hosted applications, the integration or co-existence of both can prove equally confusing\n\nand contradicting.\n\nRecent industry trends, combined with the new partnership between Red Hat and IBM, seek\n\nto bring some clarity to the landscape while providing new modernization opportunities for\n\nexisting enterprise applications and familiar environments.\n\nThe main focus of this IBM Redbooks publication relates to IBM Cloud Paks and Red Hat\n\nOpenShift, which is hosted on IBM Power Systems. Although individually much can be written\n\nabout either topic, the relationship this publication highlights is between Red Hat OpenShift\n\nand IBM Power Systems.\n\nWe show what Red Hat OpenShift brings to the IBM Power Systems platform specifically\n\ndiscuss how it can be deployed and added into existing familiar Power System environments,\n\nand the benefits that integration and co-existence can provide from an existing enterprise\n\napplication viewpoint.\n\nThis publication is a first volume in a planned multi-volume publication over the next 12 - 18\n\nmonths. Within this initial volume, we explain the fundamental perspective (which is accurate\n\nas of the time of this writing) while providing pointers to future direction that will be discussed\n\nin future volumes.\n\n### **1.2 Red Hat and IBM**\n\nOn July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and\n\nopen source technology.\n\nThis acquisition puts Red Hat and IBM in a unique position to unlock the true value of hybrid\n\ncloud for your business. By combining the power and flexibility of Red Hat’s open hybrid cloud\n\ntechnologies with the scale and depth of IBM innovation and industry expertise, you now have\n\nthe tools to accelerate your cloud journey.\n\nIBM and Red Hat worked together for more than 20 years in making open source a\n\ncompetitive advantage for businesses on x86, IBM Power Systems, and IBM z Systems®.\n\nTogether, we are both on a mission to improve open source technology and help your\n\ncompanies capture the business value of the cloud.\n\n**Note:** This initial publication relates to Red Hat OpenShift 3.11, because this release was\n\nthe current OpenShift Container Platform (OCP) release for IBM Power Systems at the\n\ntime of this writing. IBM and Red Hat intend to deliver Red Hat OpenShift 4 for IBM\n\nPOWER® to accelerate agility for enterprise clients through integrated tooling and a\n\nfeature-rich Kubernetes container platform for cloud-native development on POWER9 and\n\nIBM POWER8® processor-based servers.",
- "page_start": 19,
- "page_end": 19,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "## Chapter 1. Introduction to the Journey to the Cloud: Volume 1 **5**\n\nThis publication describes how Red Hat and IBM can advance your cloud journey and speed\n\ngrowth and innovation for your business by using Red Hat OpenShift on IBM Power Systems.\n\n**Note:** Red Hat joins IBM as a distinct unit, preserving the independence and neutrality of\n\nRed Hat’s open source development heritage and unique development culture. Red Hat’s\n\nunwavering commitment to open source remains unchanged and it continues to offer\n\ncustomers choice and flexibility.",
- "page_start": 20,
- "page_end": 20,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**250** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1",
- "page_start": 265,
- "page_end": 265,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**2** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1 © Copyright IBM Corp. 2020. All rights reserved. **3**",
- "page_start": 17,
- "page_end": 17,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**6** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1 © Copyright IBM Corp. 2020. All rights reserved. **7**",
- "page_start": 21,
- "page_end": 21,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**xiv** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1 © Copyright IBM Corp. 2020. All rights reserved. **1**",
- "page_start": 15,
- "page_end": 15,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**56** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1 © Copyright IBM Corp. 2020. All rights reserved. **57**",
- "page_start": 71,
- "page_end": 71,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**58** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1 © Copyright IBM Corp. 2020. All rights reserved. **59**",
- "page_start": 73,
- "page_end": 73,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**36** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1 © Copyright IBM Corp. 2020. All rights reserved. **37**",
- "page_start": 51,
- "page_end": 51,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "**100** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1 © Copyright IBM Corp. 2020. All rights reserved. **101**",
- "page_start": 115,
- "page_end": 115,
- "source_file": "sg248459.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "sg248459.pdf",
- "query": "What does an ITMS service provide ?",
- "target_page": 30,
- "target_passage": "An IT Service Management (ITSM) perspective can provide automation and a global management view, and incorporate the necessary software disciplines that are required to build a solid infrastructure for an enterprise, commercial or not. ",
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- "text": "**14** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n\n**IT Service Management and orchestration**\n\nAn IT Service Management (ITSM) perspective can provide automation and a global\n\nmanagement view, and incorporate the necessary software disciplines that are required to\n\nbuild a solid infrastructure for an enterprise, commercial or not.\n\nThe missing point was the orchestration and the orchestration of all containers and resources\n\naround them. Many people think that orchestration and automation are the same thing, but\n\nthe orchestration is more complex. Automation often is discussed in the context of specific\n\ntasks, whereas orchestration refers to the automation of processes and workflows.\n\nOrchestration deals with the end-to-end process simplify the automation and the\n\nadministration across specific machines and diverse dependencies (see Figure 2-3).\n\nAutomation attempts to move people out of the equation whereas orchestration is not about\n\nrigid planning, but arranging and coordination of automated tasks, which ultimately results in\n\na consolidated process or workflow. Parts can be automated, but the decision is still\n\nhuman-centric; for example, the definition of which tasks must run, the order of the tasks, role\n\nassignments, permission, post-deployment, failure recovery, and scaling.\n\n*Figure 2-3 Where orchestration fits*\n\nFor more information about automation, see 2.4, “Kubernetes: An open source container\n\norchestration” on page 24.",
- "page_start": 29,
- "page_end": 29,
- "source_file": "sg248459.pdf"
- },
- {
- "text": "For a connection pooling sample that covers the topics of thread safety, resource\n\nconsumption, and timeouts in detail, see Chapter 6, “Connection pooling and connection\n\nhandling”, in *IBM Content Manager OnDemand Web Enablement Kit Java APIs: The Basics*\n\n*and Beyond* , SG24-7646.\n\n#### **8.3.2 Content Management Interoperability Services**\n\nCMIS is an open standard for accessing content management repositories. It is an OASIS\n\nspecification and it is supported by various applications from different vendors, including IBM\n\n(with FileNet P8, Content Manager, and Content Manager OnDemand).\n\nCMIS provides a common access interface for searching, retrieving, and in the case of\n\ndocument management systems, modifying and deleting documents. It is a web services\n\ninterface that is implemented in either SOAP web services and REST (Atom) services.\n\nFor more information about CMIS, see the CMIS page on the OASIS website, the CMIS\n\noverview page at the IBM Enterprise Content Manager website, and the technical\n\ndocumentation that is available:\n\n� [https://www.oasis-open.org/committees/cmis/](https://www.oasis-open.org/committees/cmis/)\n\n� [http://www.ibm.com/software/ecm/cmis.html](http://www.ibm.com/software/ecm/cmis.html)\n\n� *Implementing Web Applications with CM Information Integrator for Content and*\n\n*OnDemand Web Enablement Kit* , SG24-6338\n\n� Content Management Interoperability Services for Content Manager OnDemand is\n\ninstalled as part of the IBM Content Navigator installation. For more information, see\n\n“Installing Content Navigator” on page 194.\n\nWhen you consider implementing your own software on CMIS, remember CMIS is used for\n\naccessing document management systems, but not necessarily high-volume report archives,\n\nsuch as Content Manager OnDemand.\n\nThe methodology of accessing documents is based on folders and subfolders with\n\ndocuments in it (such as in a file system) and partially emulated by Content Manager\n\nOnDemand with its different object model. The use of CMIS must be considered as an\n\nabstraction layer that might have an impact on throughput and feature exposure. Also, much\n\nof the CMIS API is not supported by Content Manager OnDemand (such as the storage and\n\ndeletion functions).\n\n#### **8.3.3 Other client-based API options**\n\nOther client-based API options include Windows ActiveX API, structured API on z/OS, server\n\ncommands, and XML Administration interface (ARSXML).\n\n**Note:** Starting with version 9 of ODWEK, additional functions were added to reset the\n\ninactivity timeout counter of a user session. This enhancement simplifies the design of\n\nconnection pooling and timeout scenarios.",
- "page_start": 227,
- "page_end": 227,
- "source_file": "sg246915.pdf"
- },
- {
- "text": "© Copyright IBM Corp. 2003, 2015. All rights reserved. **xi**\n\n## **Notices**\n\nThis information was developed for products and services offered in the U.S.A.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to: *IBM Director of Licensing, IBM Corporation, North Castle Drive, Armonk, NY 10504-1785 U.S.A.*\n\n**The following paragraph does not apply to the United Kingdom or any other country where such provisions are inconsistent with local law:** INTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION \"AS IS\" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some states do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. IBM may make improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time without notice.\n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any manner serve as an endorsement of those websites. The materials at those websites are not part of the materials for this IBM product and use of those websites is at your own risk.\n\nIBM may use or distribute any of the information you supply in any way it believes appropriate without incurring any obligation to you.\n\nAny performance data contained herein was determined in a controlled environment. Therefore, the results obtained in other operating environments may vary significantly. Some measurements may have been made on development-level systems and there is no guarantee that these measurements will be the same on generally available systems. Furthermore, some measurements may have been estimated through extrapolation. Actual results may vary. Users of this document should verify the applicable data for their specific environment.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to the names and addresses used by an actual business enterprise is entirely coincidental.\n\nCOPYRIGHT LICENSE:\n\nThis information contains sample application programs in source language, which illustrate programming techniques on various operating platforms. You may copy, modify, and distribute these sample programs in any form without payment to IBM, for the purposes of developing, using, marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore, cannot guarantee or imply reliability, serviceability, or function of these programs.",
- "page_start": 12,
- "page_end": 12,
- "source_file": "sg246915.pdf"
- },
- {
- "text": "#### **SHENTEL SERVICE AREAS**",
- "page_start": 1,
- "page_end": 1,
- "source_file": "NASDAQ_SHEN_2003.pdf"
- },
- {
- "text": "International Technical Support Organization\n\n**IBM Content Manager OnDemand Guide**\n\nOctober 2015\n\nSG24-6915-04",
- "page_start": 2,
- "page_end": 2,
- "source_file": "sg246915.pdf"
- },
- {
- "text": "© Copyright IBM Corp. 2020. All rights reserved. **vii**\n\n## **Notices**\n\nThis information was developed for products and services offered in the US. This material might be available from IBM in other languages. However, you may be required to own a copy of the product or product version in that language in order to access it.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user’s responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to: *IBM Director of Licensing, IBM Corporation, North Castle Drive, MD-NC119, Armonk, NY 10504-1785, US*\n\nINTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION “AS IS” WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some jurisdictions do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. IBM may make improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time without notice.\n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any manner serve as an endorsement of those websites. The materials at those websites are not part of the materials for this IBM product and use of those websites is at your own risk.\n\nIBM may use or distribute any of the information you provide in any way it believes appropriate without incurring any obligation to you.\n\nThe performance data and client examples cited are presented for illustrative purposes only. Actual performance results may vary depending on specific configurations and operating conditions.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nStatements regarding IBM’s future direction or intent are subject to change or withdrawal without notice, and represent goals and objectives only.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to actual people or business enterprises is entirely coincidental.\n\nCOPYRIGHT LICENSE:\n\nThis information contains sample application programs in source language, which illustrate programming techniques on various operating platforms. You may copy, modify, and distribute these sample programs in any form without payment to IBM, for the purposes of developing, using, marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore, cannot guarantee or imply reliability, serviceability, or function of these programs. The sample programs are provided “AS IS”, without warranty of any kind. IBM shall not be liable for any damages arising out of your use of the sample programs.",
- "page_start": 8,
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- {
- "text": "Designed and Produced by **APM Graphics Management** > 1800 806 930",
- "page_start": 118,
- "page_end": 118,
- "source_file": "ASX_KCN_2013.pdf"
- },
- {
- "text": "**2. Click on “Providing Data”, then on sub-menu “Practical Guide”**\n\nSystem displays a separate page with information on how to provide data to the Portal. This page\n\nmainly addresses the **suppliers** (harvested portals) of the data and metadata.",
- "page_start": 10,
- "page_end": 10,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
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- "text": "I ATM, POS and card outsourcing\n\nI Europe’s largest independent ATM owner\n\nI Euronet transaction network - Europe\n\nI Dash transaction network - USA\n\nI Cakra transaction network - Asia Pacific\n\n## **6**\n\n####### **E u r o n e t A t - A - G l a n c e**\n\n**N ETWORK S ERVICES**\n\nEuronet’s Network Services division provides\n\ncomplete solutions for management and outsourcing\n\nof distribution channels and transaction processing.\n\nThese solutions include ATM networks, point-of-sale\n\n(POS) services and card management, as well as\n\naccess to all major payment gateways and mobile\n\noperators.\n\n**Offerings**\n\n**EFT AND P AYMENTS S OFTWARE**\n\n**M OBILE O PERATOR S OLUTIONS**\n\n**M- & E-C OMMERCE S OLUTIONS**\n\n**P ROFESSIONAL S ERVICES**\n\nEuronet’s suite of EFT and payment software offers\n\none of the most secure, seamlessly integrated,\n\nreal-time solutions for financial institutions.\n\nIntegration is essential for delivering data and\n\nelectronic transactions for multiple touchpoints, such\n\nas ATMs, POS devices, interactive voice response\n\n(IVR) systems, Internet and mobile devices.\n\nEuronet Worldwide is uniquely qualified to offer\n\nprofessional consulting services because of our\n\nday-to-day expertise as a secure transaction\n\nprovider. Euronet’s Professional Services\n\nOrganization (PSO) supports institutions with\n\nEDGE, our proprietary, structured and phased\n\nmethodology for implementing solutions.\n\nI ATM management\n\nI Bill payment\n\nI Credit card solutions\n\nI Debit card management\n\nI EMV support\n\nI POS and merchant management\n\nI Switching and settlement software\n\nI Telephone banking\n\nI Account access\n\nI Bill payment\n\nI ePOS\n\nI Event messaging service\n\nI Internet banking\n\nI Design\n\nI Gap analysis\n\nI Implementation\n\nI Management\n\nI Planning\n\nI Purchasing\n\nConsumers are expecting more personalized service\n\nthan ever before with instant access to financial\n\naccount information. Euronet’s Account Access\n\nand Event Messaging products meet these demands\n\nwith secure, efficient, integrated transaction and\n\ninformation delivery functions via mobile devices\n\nand the Internet.\n\nWith mobile phone ownership at an all time high,\n\nEuronet’s mobile operator solutions provide their\n\ncustomers easy access to payment options. Our\n\ntransactions expertise helps mobile operators supply\n\nconsumers with the convenience of any time, any\n\nplace transactions.\n\nI Bank account access\n\nI Mobile phone recharge\n\n**Our Solutions**",
- "page_start": 7,
- "page_end": 7,
- "source_file": "NASDAQ_EEFT_2000.pdf"
- },
- {
- "text": "© Copyright IBM Corp. 2011, 2018, 2019. All rights reserved. **xiii**\n\n## **Notices**\n\nThis information was developed for products and services offered in the US. This material might be available from IBM in other languages. However, you may be required to own a copy of the product or product version in that language in order to access it.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user’s responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to: *IBM Director of Licensing, IBM Corporation, North Castle Drive, MD-NC119, Armonk, NY 10504-1785, US*\n\nINTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION “AS IS” WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some jurisdictions do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. IBM may make improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time without notice.\n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any manner serve as an endorsement of those websites. The materials at those websites are not part of the materials for this IBM product and use of those websites is at your own risk.\n\nIBM may use or distribute any of the information you provide in any way it believes appropriate without incurring any obligation to you.\n\nThe performance data and client examples cited are presented for illustrative purposes only. Actual performance results may vary depending on specific configurations and operating conditions.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nStatements regarding IBM’s future direction or intent are subject to change or withdrawal without notice, and represent goals and objectives only.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to actual people or business enterprises is entirely coincidental.\n\nCOPYRIGHT LICENSE:\n\nThis information contains sample application programs in source language, which illustrate programming techniques on various operating platforms. You may copy, modify, and distribute these sample programs in any form without payment to IBM, for the purposes of developing, using, marketing or distributing application programs conforming to the application programming interface for the operating platform for which the sample programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore, cannot guarantee or imply reliability, serviceability, or function of these programs. The sample programs are provided “AS IS”, without warranty of any kind. IBM shall not be liable for any damages arising out of your use of the sample programs.",
- "page_start": 14,
- "page_end": 14,
- "source_file": "sg247938.pdf"
- }
- ]
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- {
- "references": {
- "source_file": "Publicdomain.pdf",
- "query": "What are the two distinct public domain tools support by Creative Commons ?",
- "target_page": 1,
- "target_passage": "Creative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark.",
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- "text": "## Guide to using public domain tools\n\nCreative Commons makes sharing easy\n\n### What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization\n\ndedicated to supporting an open and accessible Internet\n\nthat is enriched with free knowledge and creative resources\n\nfor people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way\n\nto give the public permission to share and use your creative\n\nwork — on conditions of your choice. CC licenses let you\n\nchange your copyright terms from the default of “all rights\n\nreserved” to “some rights reserved.”\n\nMillions of people use CC licenses on some of the world’s\n\nmost popular platforms for user-generated content. When\n\nyou use a CC license to share your photos, videos, or blog,\n\nyour creation joins a globally accessible pool of resources\n\nthat includes the work of artists, educators, scientists, and\n\ngovernments.\n\nCreative Commons has waived all copyright and\n\nrelated or neighboring rights to this guide using the\n\nCC0 Public Domain Dedication.\n\n#### What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (“CC Zero”) is intended for use only\n\nby authors or holders of copyright and\n\nrelated rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or\n\nmore countries.\n\nWhen CC0 is applied to a work, copyright and related\n\nrights are relinquished worldwide, making the work free\n\nfrom those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used\n\nto label works that are already free of\n\nknown copyright restrictions. Unlike CC0, PDM doesn’t\n\nchange the copyright status of a work.\n\nPDM can be used by anyone, and is intended for use\n\nwith works that are already free of known copyright\n\nrestrictions throughout the world.\n\n##### Public domain works are valuable because anyone\n\n##### can freely build upon, enhance, and reuse them for\n\n##### any purposes without restriction under copyright\n\n##### or database law.\n\nThat’s why it’s important for creators to have a clear and\n\nlegally robust way to place their works in the public domain as\n\ncompletely as possible, and it’s also important for publishers\n\nand archives to have a standardized way to identify works that\n\nare already in the public domain.\n\nCreative Commons supports two distinct public domain tools,\n\nthe CC0 Public Domain Dedication and the Public Domain\n\nMark . Creative Commons copyright licenses help authors\n\nmanage their copyright on terms they choose. Conversely, CC0\n\nenables authors and copyright owners who want to dedicate\n\ntheir works to the worldwide public domain to do so, and PDM\n\nfacilitates the labeling and discovery of works that are already\n\nfree of known copyright restrictions.\n\nWhere public domain tools fit in the copyright spectrum\n\nSome rights\n\nreserved\n\nAll rights\n\nreserved\n\nPDM\n\nNo known\n\ncopyright\n\nCC0\n\nPublic\n\ndomain\n\n### The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database**\n\n**rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights\n\ntogether with all associated claims and causes of action with\n\nrespect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser\n\n( http://creativecommons.org/choose/zero ) which will lead you\n\nthrough the process. When completed, you will be provided\n\nwith HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work,\n\neven for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been\n\nidentified as being free of known restrictions under copyright\n\nlaw, including all related and neighboring rights. Anyone can\n\ncopy, modify, distribute, and perform such works, even for\n\ncommercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM\n\nchooser ( http://creativecommons.org/choose/mark ) which\n\nwill lead you through the proces. When completed, you will be\n\nprovided with the HTML code that you can copy and paste into\n\nyour website.\n\nCreative Commons does not recommend this tool for works that\n\nare restricted by copyright laws in one or more jurisdictions.\n\nConsult with your legal advisor if you are unsure whether you\n\nshould use the PDM for a certain work.\n\n### Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known**\n\n**copyright restrictions.**",
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- "text": "### Understanding Creative Commons license\n\nbefore licensing your work\n\n#### **THREE-LAYER DESIGN**\n\n\"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\nCreative Commons (CC) license has three layers:\n\n**FOUR ELEMENTS** BY (\"Attribution\"): users must credit the author of the work they are using. SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\nBY\n\nSA\n\nNC\n\nND\n\n**SIX LICENSES** CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator. CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license. CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator. CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license. CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator. CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n#### **REMIND THAT…**\n\nyou want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n**CC LICENSE CAN'T BE USED FOR …** fair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n**ALSO FOR …** the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n**NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.\n\nmore open »\n\n« more restrictive\n\nyou can share, remix, & commercialize\n\nyou can share & remix only\n\nyou can share only",
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- "source_file": "Understanding_Creative_Commons_license_(infographic).pdf"
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- "text": "[\"The great growling engine of change - technology.](https://www.flickr.com/photos/8489692@N03/5621362129) [Alvin Toffler\" by katerha is licensed under CC BY 2.0.](https://creativecommons.org/licenses/by/2.0/?ref=openverse)\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n##### **In 2023, we [launched the Open](https://creativecommons.org/support-cc/open-infrastructure-circle/) [Infrastructure Circle](https://creativecommons.org/support-cc/open-infrastructure-circle/) ( [OIC](https://creativecommons.org/support-cc/open-infrastructure-circle/) ) to ensure consistent funding for this work.**\n\nWe’re grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n### **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **[six CC Licenses](https://creativecommons.org/share-your-work/cclicenses/)** and two public domain tools, setting a global standard for sharing.\n\n##### **We’ve estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**",
- "page_start": 3,
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- "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf"
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- "text": "Creative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n**[Except where otherwise noted, “Annual Report 2023” by Creative Commons ](https://creativecommons.org/mission/) [is licensed under CC BY 4.0. ](https://creativecommons.org/licenses/by/4.0/deed.en)**\n\n[\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.](https://creativecommons.org/publicdomain/mark/1.0/?ref=openverse)\n\n### **About Us**\n\n#### **Board of Directors**\n\nMarta Belcher Glenn Otis Brown [Delia Browne](https://creativecommons.org/person/deliabrowne/) [James Grimmelmann](https://creativecommons.org/person/jamesgrimmelmann-net/) Lawrence Lessig * *Emeritus*\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\n**Chief Executive Officer** Anna Tumadóttir\n\n**General Counsel** Kat Walsh",
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- "text": "[In 2023, we convened hundreds via](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [roundtables, community conferences](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [(e.g. ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[MozFest](https://creativecommons.org/2023/05/04/generative-ai-opportunities-concerns-solutions-from-mozfest-2023/)** , **[Wikimania](https://creativecommons.org/2024/02/07/dispatches-from-wikimania-values-for-shaping-ai-towards-a-better-internet/)** [), and public](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [events (e.g. symposium on ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[Generative](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [AI & Creativity](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/)** [)to debate copyright law,](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [the ethics of open sharing, and other](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [relevant areas that touch AI. ](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/)\n\n[At our CC Global Summit, participants](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [drafted ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[community-driven principles](https://creativecommons.org/2023/10/07/making-ai-work-for-creators-and-the-commons/)** [on AI that are a valuable input and will](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [help inform the organization’s thinking](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [as we determine CC’s exact role in the AI](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) space.\n\n[“The Pillars of Creation” by ](https://openverse.org/image/8de72efd-e12b-49eb-8210-1046bcd71847?q=Pillars%20of%20Creation) [James Webb Space Telescope ](https://www.flickr.com/photos/50785054@N03) [is licensed under CC BY 2.0. ](https://creativecommons.org/licenses/by/2.0/?ref=openverse)\n\n### **Areas of Exploration**\n\n####### **Support for Creators in the Time of Artificial Intelligence**",
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- "text": "[This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and Glenn](https://www.linkedin.com/in/gotisbrown/) [Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open](https://creativecommons.org/licenses/by/4.0/) and public domain works. View full licensing and attribution information about all works included in the [video on Flickr.](https://www.flickr.com/photos/creativecommons/52543574218/)\n\n####### **Creative Commons**\n\nPO Box 1866 Mountain View CA 94042 USA\n\n+1 415 429 6753 info@creativecommons.org",
- "page_start": 11,
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- "text": "**19 Workshops & Trainings** with institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n**[2 Week-Long CC Certificate Bootcamps ](https://creativecommons.org/2023/12/21/more-california-community-colleges-get-cc-certified/)** [for California Community Colleges.](https://creativecommons.org/2023/12/21/more-california-community-colleges-get-cc-certified/)\n\n**27 Webinars** on topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n**12 CC Legal Open Office Hours** hosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.\n\n##### **In 2023, we greatly expanded our CC Licenses training and education offerings:**\n\n### **Training in how to use CC Licenses is key to their adoption.**\n\nWe offer a ten-week **[CC Certificate](https://certificates.creativecommons.org/)** program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and **[available in 10 languages](https://certificates.creativecommons.org/about/translations/)** .\n\nAs of 2023, we’ve certified:\n\n**65 Countries 1,705 Graduates**\n\n**across**",
- "page_start": 4,
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- "text": "### **Our Impact**\n\nCC believes that opening up knowledge is key to addressing the world’s most pressing challenges. Today, we steer campaigns, programming, and training in many areas:\n\n2023 was quite a year for the CC Open Culture Program, thanks to generous funding from **[Arcadia](https://www.arcadiafund.org.uk/)** . We grew our Open Culture team from one to two and a half staff, rolling out new initiatives like TAROC (Towards a Recommendation on Open Culture) and **[Open Culture Live:](https://creativecommons.org/tag/open-culture-live/) [A Webinar Series](https://creativecommons.org/tag/open-culture-live/)** . We invite you to read “ **[What did Creative](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/) [Commons do for Open Culture](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/) [in 2023?](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/)** ” to learn more.\n\n###### **Open Culture**\n\nWe delivered workshops and presentations on CC Licenses and Open Educational Resources at over 16 conferences and events. The CC Open Education Platform [also funded six global projects,](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) **[including work to advance the](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) [UNESCO Recommendation on](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) [OER](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) [.](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/)**\n\n###### **Open Education**\n\nThanks to generous funding from the **[John D. and Catherine T.](https://www.macfound.org/) [MacArthur Foundation](https://www.macfound.org/)** , CC hosted its very first Open Journalism track at the CC Global Summit, including eight presentations, lightning talks, panel discussions, and workshops as well as a **[keynote](https://creativecommons.org/2023/09/06/anya-kamenetz-to-keynote-cc-global-summit-2023/) [by Anya Kamenetz](https://creativecommons.org/2023/09/06/anya-kamenetz-to-keynote-cc-global-summit-2023/)** .\n\nRepresentatives from 33 news outlets and digital rights-focused organizations attended the CC Summit sessions. The Open Journalism track built on **[numerous collaborations and](https://creativecommons.org/2023/06/05/a-journalists-guide-to-creative-commons-2023/) [workshops](https://creativecommons.org/2023/06/05/a-journalists-guide-to-creative-commons-2023/)** throughout 2023.\n\n###### **Open Journalism**\n\n[\"Follow the Color Brick Road\" by Bert Kaufmann is](https://www.flickr.com/photos/22746515@N02) [licensed under CC BY-SA 2.0.](https://creativecommons.org/licenses/by-sa/2.0/?ref=openverse)",
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- "text": "2023 was a busy year at Creative Commons. Our **[Open Culture](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/)** program and **[Open Climate Campaign](https://creativecommons.org/2023/10/23/a-year-in-the-open-climate-campaign/?utm_source=rss&utm_medium=rss&utm_campaign=a-year-in-the-open-climate-campaign)** entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our **[Open](https://creativecommons.org/support-cc/open-infrastructure-circle/) [Infrastructure Circle](https://creativecommons.org/support-cc/open-infrastructure-circle/)** in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC’s permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on **[the critical work that](https://creativecommons.org/2024/03/01/what-lies-ahead-in-2024/) [awaits us in 2024](https://creativecommons.org/2024/03/01/what-lies-ahead-in-2024/)** .\n\nCC staff photos are licensed [under CC BY 4.0. ](https://creativecommons.org/licenses/by/4.0/)\n\n### **A Note from Leadership**\n\n**Anna Tumadóttir, CEO**",
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- "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most\n\nare not actively managed by their rightsholders. There is no official registry of copyrighted\n\nworks and their owners, and existing datasets can be incomplete or erroneous. 16\n\nAs a result, there may be no way to license the vast majority of in-copyright books, especially\n\nthose that have or have had limited commercial value. Put differently, the barrier to using 17\n\nmost books is not simply to pay publishers; even if one had significant financial resources,\n\nlicensing would not enable access to most works.\n\n**Permissively licensed works**\n\nThere are books that have been permissively licensed in an easily identifiable way, such as\n\nworks placed under Creative Commons (CC) licenses. Such works explicitly allow particular\n\nuses of works subject to various responsibilities (e.g., requiring attribution by the user in their\n\nfollow-on use).\n\nWhile such works could be candidates for inclusion in a books data commons, their inclusion\n\ndepends on whether the license’s terms can be complied with in the context of AI training.\n\nFor instance, in the context of CC licensed works, there are requirements for proper\n\nattribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public\n\nDomain Mark (PDM) are not licenses and do not require attribution). 18\n\nSee e.g. Heald, Paul J. “How Copyright Makes Books and Music Disappear (and How Secondary 16\n\nLiability Rules Help Resurrect Old Songs).” Illinois Program in Law, Behavior and Social Science Paper\n\nNo. LBSS14-07 Illinois Public Law Research Paper No. 13-54 https://doi.org/10.2139/ssrn.2290181 .\n\nAccessed 4 Jan. 2020, at [https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2290181](https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2290181) ; Rosen,\n\nRebecca J. “Why Are so Few Books from the 20th Century Available as Ebooks?” *The Atlantic* , 18 Mar.\n\n2014, www.theatlantic.com/business/archive/2014/03/why-are-so-few-books-from-the-20th-century-\n\navailable-as-ebooks/284486/ . See also “Google Book Search Settlement and Access to Out of Print\n\nBooks.” *Google Public Policy Blog* , [publicpolicy.googleblog.com/2009/06/google-book-search-](http://publicpolicy.googleblog.com/2009/06/google-book-search-settlement-and.html)\n\n[settlement-and.html](http://publicpolicy.googleblog.com/2009/06/google-book-search-settlement-and.html) . Accessed 20 Mar. 2024 (discussing this issue in the context of the failed class-\n\naction settlement between Google, the Authors Guild, and the Association of American Publishers).\n\nGoogle’s final brief in the settlement proceedings notes the “prohibitive transaction costs of identifying\n\nand locating individual Rightsholders of these largely older, out-of-print books” — see this brief at [https://](https://web.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/google_final_approval_support.pdf)\n\n[web.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/](https://web.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/google_final_approval_support.pdf)\n\n[google_final_approval_support.pdf](https://web.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/google_final_approval_support.pdf) . The Authors Guild and Association of American Publishers also\n\njustified the settlement’s terms in light of the fact that “the transaction costs involved in finding\n\ncopyright owners and clearing the rights are too high”; while they argued that most works are not truly\n\n“orphans,” they note that total transaction costs as a whole (including, for example, determining whether\n\nthe author or publisher holds the rights and then negotiating rates) are so high as to block uses of out-\n\nof-print works anyway — see this brief at [https://web.archive.org/web/20130112060213/http://](https://web.archive.org/web/20130112060213/http://thepublicindex.org/docs/amended_settlement/Supplemental_memorandum_of_law.pdf)\n\n[thepublicindex.org/docs/amended_settlement/Supplemental_memorandum_of_law.pdf](https://web.archive.org/web/20130112060213/http://thepublicindex.org/docs/amended_settlement/Supplemental_memorandum_of_law.pdf) .\n\nIn the EU, the 2019 Copyright Directive introduced specific provisions on the \"use of out-of-commerce 17\n\nworks and other subject matter by cultural heritage institutions\" (Articles 8-11 CDSMD). These\n\nprovisions allow cultural heritage institutions to \"make available, for non-commercial purposes, out-of-\n\ncommerce works or other subject matter permanently in their collections\". The limitation to non-\n\ncommercial purposes means that works made available under these provisions would be of limited use\n\nin building a books data commons.\n\nFor one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\n\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation:\n\nCopyright and the Generative AI Supply Chain. Forthcoming, *Journal of the Copyright Society* 2024.\n\nhttps://doi.org/10.2139/ssrn.4523551 .",
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- "query": "What is Creative Commons ?",
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- "target_passage": " Creative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.",
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- "text": "### Understanding Creative Commons license\n\nbefore licensing your work\n\n#### **THREE-LAYER DESIGN**\n\n\"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court. \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms. \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\nCreative Commons (CC) license has three layers:\n\n**FOUR ELEMENTS** BY (\"Attribution\"): users must credit the author of the work they are using. SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license. NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes. ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\nBY\n\nSA\n\nNC\n\nND\n\n**SIX LICENSES** CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator. CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license. CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator. CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license. CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator. CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n#### **REMIND THAT…**\n\nyou want to give others permissions to freely copy and redistribute your work, and you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n**CC LICENSE CAN'T BE USED FOR …** fair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n**ALSO FOR …** the work that is already in the Public Domain. For those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n**NOW, SHARE YOUR WORK!** https://creativecommons.org/choose/\n\nTexts are adapted from CC Certification for Educators. CC BY license. BY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies. 3-layer design of CC license image is taken from CC Certification for Educators. CC BY license. Line, icons, and gradients are from Canva, and subject to their policies.\n\nmore open »\n\n« more restrictive\n\nyou can share, remix, & commercialize\n\nyou can share & remix only\n\nyou can share only",
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- "source_file": "Understanding_Creative_Commons_license_(infographic).pdf"
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- "text": "Creative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n**[Except where otherwise noted, “Annual Report 2023” by Creative Commons ](https://creativecommons.org/mission/) [is licensed under CC BY 4.0. ](https://creativecommons.org/licenses/by/4.0/deed.en)**\n\n[\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.](https://creativecommons.org/publicdomain/mark/1.0/?ref=openverse)\n\n### **About Us**\n\n#### **Board of Directors**\n\nMarta Belcher Glenn Otis Brown [Delia Browne](https://creativecommons.org/person/deliabrowne/) [James Grimmelmann](https://creativecommons.org/person/jamesgrimmelmann-net/) Lawrence Lessig * *Emeritus*\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\n**Chief Executive Officer** Anna Tumadóttir\n\n**General Counsel** Kat Walsh",
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- "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf"
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- "text": "## Guide to using public domain tools\n\nCreative Commons makes sharing easy\n\n### What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization\n\ndedicated to supporting an open and accessible Internet\n\nthat is enriched with free knowledge and creative resources\n\nfor people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way\n\nto give the public permission to share and use your creative\n\nwork — on conditions of your choice. CC licenses let you\n\nchange your copyright terms from the default of “all rights\n\nreserved” to “some rights reserved.”\n\nMillions of people use CC licenses on some of the world’s\n\nmost popular platforms for user-generated content. When\n\nyou use a CC license to share your photos, videos, or blog,\n\nyour creation joins a globally accessible pool of resources\n\nthat includes the work of artists, educators, scientists, and\n\ngovernments.\n\nCreative Commons has waived all copyright and\n\nrelated or neighboring rights to this guide using the\n\nCC0 Public Domain Dedication.\n\n#### What is the difference between CC0 and the Public Domain Mark?\n\nCC0 (“CC Zero”) is intended for use only\n\nby authors or holders of copyright and\n\nrelated rights (including database rights), in connection\n\nwith works that are still subject to those rights in one or\n\nmore countries.\n\nWhen CC0 is applied to a work, copyright and related\n\nrights are relinquished worldwide, making the work free\n\nfrom those restrictions to the greatest extent possible.\n\nThe Public Domain Mark (PDM) is used\n\nto label works that are already free of\n\nknown copyright restrictions. Unlike CC0, PDM doesn’t\n\nchange the copyright status of a work.\n\nPDM can be used by anyone, and is intended for use\n\nwith works that are already free of known copyright\n\nrestrictions throughout the world.\n\n##### Public domain works are valuable because anyone\n\n##### can freely build upon, enhance, and reuse them for\n\n##### any purposes without restriction under copyright\n\n##### or database law.\n\nThat’s why it’s important for creators to have a clear and\n\nlegally robust way to place their works in the public domain as\n\ncompletely as possible, and it’s also important for publishers\n\nand archives to have a standardized way to identify works that\n\nare already in the public domain.\n\nCreative Commons supports two distinct public domain tools,\n\nthe CC0 Public Domain Dedication and the Public Domain\n\nMark . Creative Commons copyright licenses help authors\n\nmanage their copyright on terms they choose. Conversely, CC0\n\nenables authors and copyright owners who want to dedicate\n\ntheir works to the worldwide public domain to do so, and PDM\n\nfacilitates the labeling and discovery of works that are already\n\nfree of known copyright restrictions.\n\nWhere public domain tools fit in the copyright spectrum\n\nSome rights\n\nreserved\n\nAll rights\n\nreserved\n\nPDM\n\nNo known\n\ncopyright\n\nCC0\n\nPublic\n\ndomain\n\n### The CC0 Public Domain Dedication\n\n**Use this universal tool if you are a holder of copyright or database**\n\n**rights, and wish to waive all your rights to the work worldwide.**\n\nBy using CC0, you waive all copyright and related rights\n\ntogether with all associated claims and causes of action with\n\nrespect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser\n\n( http://creativecommons.org/choose/zero ) which will lead you\n\nthrough the process. When completed, you will be provided\n\nwith HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work,\n\neven for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been\n\nidentified as being free of known restrictions under copyright\n\nlaw, including all related and neighboring rights. Anyone can\n\ncopy, modify, distribute, and perform such works, even for\n\ncommercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM\n\nchooser ( http://creativecommons.org/choose/mark ) which\n\nwill lead you through the proces. When completed, you will be\n\nprovided with the HTML code that you can copy and paste into\n\nyour website.\n\nCreative Commons does not recommend this tool for works that\n\nare restricted by copyright laws in one or more jurisdictions.\n\nConsult with your legal advisor if you are unsure whether you\n\nshould use the PDM for a certain work.\n\n### Public Domain Mark\n\n**Use this tool if you have identified a work that is free of known**\n\n**copyright restrictions.**",
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- "text": "[In 2023, we convened hundreds via](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [roundtables, community conferences](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [(e.g. ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[MozFest](https://creativecommons.org/2023/05/04/generative-ai-opportunities-concerns-solutions-from-mozfest-2023/)** , **[Wikimania](https://creativecommons.org/2024/02/07/dispatches-from-wikimania-values-for-shaping-ai-towards-a-better-internet/)** [), and public](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [events (e.g. symposium on ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[Generative](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [AI & Creativity](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/)** [)to debate copyright law,](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [the ethics of open sharing, and other](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/) [relevant areas that touch AI. ](https://creativecommons.org/2023/09/15/generative-ai-and-creativity-new-considerations-emerge-at-cc-convenings/)\n\n[At our CC Global Summit, participants](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [drafted ](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) **[community-driven principles](https://creativecommons.org/2023/10/07/making-ai-work-for-creators-and-the-commons/)** [on AI that are a valuable input and will](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [help inform the organization’s thinking](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) [as we determine CC’s exact role in the AI](https://creativecommons.org/2023/01/11/2022-in-review-a-look-at-creative-commons-open-culture-program/) space.\n\n[“The Pillars of Creation” by ](https://openverse.org/image/8de72efd-e12b-49eb-8210-1046bcd71847?q=Pillars%20of%20Creation) [James Webb Space Telescope ](https://www.flickr.com/photos/50785054@N03) [is licensed under CC BY 2.0. ](https://creativecommons.org/licenses/by/2.0/?ref=openverse)\n\n### **Areas of Exploration**\n\n####### **Support for Creators in the Time of Artificial Intelligence**",
- "page_start": 8,
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- "text": "[\"The great growling engine of change - technology.](https://www.flickr.com/photos/8489692@N03/5621362129) [Alvin Toffler\" by katerha is licensed under CC BY 2.0.](https://creativecommons.org/licenses/by/2.0/?ref=openverse)\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n##### **In 2023, we [launched the Open](https://creativecommons.org/support-cc/open-infrastructure-circle/) [Infrastructure Circle](https://creativecommons.org/support-cc/open-infrastructure-circle/) ( [OIC](https://creativecommons.org/support-cc/open-infrastructure-circle/) ) to ensure consistent funding for this work.**\n\nWe’re grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n### **Licenses and Public Domain Tools**\n\nThe first CC License was created in 2002. Today, we boast **[six CC Licenses](https://creativecommons.org/share-your-work/cclicenses/)** and two public domain tools, setting a global standard for sharing.\n\n##### **We’ve estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.**",
- "page_start": 3,
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- "text": "2023 was a busy year at Creative Commons. Our **[Open Culture](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/)** program and **[Open Climate Campaign](https://creativecommons.org/2023/10/23/a-year-in-the-open-climate-campaign/?utm_source=rss&utm_medium=rss&utm_campaign=a-year-in-the-open-climate-campaign)** entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our **[Open](https://creativecommons.org/support-cc/open-infrastructure-circle/) [Infrastructure Circle](https://creativecommons.org/support-cc/open-infrastructure-circle/)** in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC’s permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on **[the critical work that](https://creativecommons.org/2024/03/01/what-lies-ahead-in-2024/) [awaits us in 2024](https://creativecommons.org/2024/03/01/what-lies-ahead-in-2024/)** .\n\nCC staff photos are licensed [under CC BY 4.0. ](https://creativecommons.org/licenses/by/4.0/)\n\n### **A Note from Leadership**\n\n**Anna Tumadóttir, CEO**",
- "page_start": 2,
- "page_end": 2,
- "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf"
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- "text": "### **Our Impact**\n\nCC believes that opening up knowledge is key to addressing the world’s most pressing challenges. Today, we steer campaigns, programming, and training in many areas:\n\n2023 was quite a year for the CC Open Culture Program, thanks to generous funding from **[Arcadia](https://www.arcadiafund.org.uk/)** . We grew our Open Culture team from one to two and a half staff, rolling out new initiatives like TAROC (Towards a Recommendation on Open Culture) and **[Open Culture Live:](https://creativecommons.org/tag/open-culture-live/) [A Webinar Series](https://creativecommons.org/tag/open-culture-live/)** . We invite you to read “ **[What did Creative](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/) [Commons do for Open Culture](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/) [in 2023?](https://creativecommons.org/2024/01/24/what-did-creative-commons-do-for-open-culture-in-2023/)** ” to learn more.\n\n###### **Open Culture**\n\nWe delivered workshops and presentations on CC Licenses and Open Educational Resources at over 16 conferences and events. The CC Open Education Platform [also funded six global projects,](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) **[including work to advance the](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) [UNESCO Recommendation on](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) [OER](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/) [.](https://creativecommons.org/2023/08/02/cc-open-education-platform-activities-2023/)**\n\n###### **Open Education**\n\nThanks to generous funding from the **[John D. and Catherine T.](https://www.macfound.org/) [MacArthur Foundation](https://www.macfound.org/)** , CC hosted its very first Open Journalism track at the CC Global Summit, including eight presentations, lightning talks, panel discussions, and workshops as well as a **[keynote](https://creativecommons.org/2023/09/06/anya-kamenetz-to-keynote-cc-global-summit-2023/) [by Anya Kamenetz](https://creativecommons.org/2023/09/06/anya-kamenetz-to-keynote-cc-global-summit-2023/)** .\n\nRepresentatives from 33 news outlets and digital rights-focused organizations attended the CC Summit sessions. The Open Journalism track built on **[numerous collaborations and](https://creativecommons.org/2023/06/05/a-journalists-guide-to-creative-commons-2023/) [workshops](https://creativecommons.org/2023/06/05/a-journalists-guide-to-creative-commons-2023/)** throughout 2023.\n\n###### **Open Journalism**\n\n[\"Follow the Color Brick Road\" by Bert Kaufmann is](https://www.flickr.com/photos/22746515@N02) [licensed under CC BY-SA 2.0.](https://creativecommons.org/licenses/by-sa/2.0/?ref=openverse)",
- "page_start": 6,
- "page_end": 6,
- "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf"
- },
- {
- "text": "**19 Workshops & Trainings** with institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n**[2 Week-Long CC Certificate Bootcamps ](https://creativecommons.org/2023/12/21/more-california-community-colleges-get-cc-certified/)** [for California Community Colleges.](https://creativecommons.org/2023/12/21/more-california-community-colleges-get-cc-certified/)\n\n**27 Webinars** on topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n**12 CC Legal Open Office Hours** hosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.\n\n##### **In 2023, we greatly expanded our CC Licenses training and education offerings:**\n\n### **Training in how to use CC Licenses is key to their adoption.**\n\nWe offer a ten-week **[CC Certificate](https://certificates.creativecommons.org/)** program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and **[available in 10 languages](https://certificates.creativecommons.org/about/translations/)** .\n\nAs of 2023, we’ve certified:\n\n**65 Countries 1,705 Graduates**\n\n**across**",
- "page_start": 4,
- "page_end": 4,
- "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf"
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- {
- "text": "[This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and Glenn](https://www.linkedin.com/in/gotisbrown/) [Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open](https://creativecommons.org/licenses/by/4.0/) and public domain works. View full licensing and attribution information about all works included in the [video on Flickr.](https://www.flickr.com/photos/creativecommons/52543574218/)\n\n####### **Creative Commons**\n\nPO Box 1866 Mountain View CA 94042 USA\n\n+1 415 429 6753 info@creativecommons.org",
- "page_start": 11,
- "page_end": 11,
- "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf"
- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "Publicdomain.pdf",
- "query": "How to apply the PDM to my work ?",
- "target_page": 1,
- "target_passage": "Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.",
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- "text": "Designed and Produced by **APM Graphics Management** > 1800 806 930",
- "page_start": 118,
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- "source_file": "ASX_KCN_2013.pdf"
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- "text": "STEP 2 - FILL IN YOUR STUDENT DETAILS\n\nTo complete this section, you need to provide us with your personal\n\ndetails:\n\n**E-mail address**\n\nPlease provide a valid e-mail address that you check on a regular\n\nbasis, as we’ll be using this address to communicate with you\n\nthroughout your studies. **Occupation**\n\nRefers to your current job (if you are employed). If you are\n\nunemployed, you can simply write “unemployed” or “not applicable”. **Delivery address**\n\nRefers to the address at which you want your study material to be\n\ndelivered. The reason why we prefer you to select your work address\n\nis so that there will always be someone available to receive your\n\nstudy material, even if you are not there when the courier arrives.",
- "page_start": 22,
- "page_end": 22,
- "source_file": "basic-english-language-skills.PDF"
- },
- {
- "text": "*PURPOSE*\n\n*PRODUCT*\n\n*PERFORMANCE*\n\n*PEOPLE*",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NYSE_AIT_2012.pdf"
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- "text": "Appendix A. Sample lab: Deployment and Pod management **207**\n\n2. In the Information window, click **Next** , as shown in Figure A-5.\n\n*Figure A-5 Information window*",
- "page_start": 222,
- "page_end": 222,
- "source_file": "sg248459.pdf"
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- "text": "19. You cannot use a dictionary when summarising your study material.\n\n20. Plagiarism is not a serious offence.\n\n21. When writing an exam, you should always answer the questions in\n\nnumerical order.\n\n22. E-mail etiquette is important in the workplace.\n\n23. Mind maps help you to understand the relationships between con\n\ncepts.\n\n24. When you answer an essay question, you should try to include as\n\nmuch information as possible.\n\nDo the following:\n\n25. Create a mind map to summarise Chapter 7 (How to Ask for Help\n\nfrom Your Tutor). (5)\n\n26. List 3 things you need to do if you want to earn good marks for your\n\nwritten assignments. (3)\n\n27. List 5 important things to keep in mind when writing a cover letter.\n\n(5)\n\n28. List 5 of the things that you should include in a resignation letter.\n\n(5)\n\n29. List 3 methods you can use to summarise your study material. (3)\n\n30. Give 2 examples of how good language skills can benefit your ca\n\nreer. (2)\n\n31. Complete the following sentence:\n\nSummarising your study material gives you the opportunity to",
- "page_start": 57,
- "page_end": 57,
- "source_file": "basic-english-language-skills.PDF"
- },
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- "text": "5. In the next window, you can add change volumes, as shown in Figure 11-119. Click\n\n**Finish** .\n\n*Figure 11-119 Add Change Volumes*",
- "page_start": 597,
- "page_end": 597,
- "source_file": "sg247938.pdf"
- },
- {
- "text": "## *Figure 8 - Error message dialog.*",
- "page_start": 41,
- "page_end": 41,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "Figure 5.2 Adding a new view to the Individuals by class tab",
- "page_start": 51,
- "page_end": 51,
- "source_file": "Protege5NewOWLPizzaTutorialV3.pdf"
- },
- {
- "text": "by which you would like to receive your study material. In the example\n\nabove, the student has indicated that they would like to receive their\n\nstudy material via registered post.\n\nSTEP 3 - SELECT YOUR DELIVERY OPTION",
- "page_start": 24,
- "page_end": 24,
- "source_file": "basic-english-language-skills.PDF"
- },
- {
- "text": "PLEASE REMEMBER TO ATTACH THE FOLLOWING\n\nDOCUMENTS TO YOUR REGISTRATION FORM:\n\nA copy of your ID\n\nProof of your highest grade passed\n\nProof of any other relevant qualifications you have obtained In this section, you need to place a cross in the box next to the method",
- "page_start": 23,
- "page_end": 23,
- "source_file": "basic-english-language-skills.PDF"
- }
- ]
- },
- {
- "references": {
- "source_file": "wikipedia4.pdf",
- "query": "Which rivers flow through Lyon?",
- "target_page": 1,
- "target_passage": "It is located at the confluence of the rivers Rhône and Saône, ",
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- "text": "Map of the City of Lyon\n\ndivided into 9\n\n[arrondissements](https://en.wikipedia.org/wiki/Arrondissements_of_Lyon)\n\n[The lion, symbol of the city, on](https://en.wikipedia.org/wiki/Lion)\n\ndisplay at Maison des avocats\n\n[2nd arrondissement: Cordeliers, Bellecour, Ainay, Perrache, Confluence, Sainte-](https://en.wikipedia.org/wiki/Perrache_(quarter))\n\nBlandine\n\n[3rd arrondissement: Guillotière (north), Préfecture, Part-Dieu, Villette,](https://en.wikipedia.org/wiki/3rd_arrondissement_of_Lyon)\n\nDauphiné/Sans Souci, Montchat, Grange Blanche (north), Monplaisir (north)\n\n[4th arrondissement: Plateau de la Croix-Rousse, Serin](https://en.wikipedia.org/wiki/4th_arrondissement_of_Lyon)\n\n[5th arrondissement: Vieux Lyon (Saint-Paul, Saint-Jean, Saint-Georges), Saint-Just,](https://en.wikipedia.org/wiki/Saint-Just_(Lyon))\n\nSaint-Irénée, [44] Fourvière, Point du Jour, Ménival, Battières, Champvert (south)\n\n[6th arrondissement: Brotteaux, Bellecombe, Parc de la Tête d'or, Cité Internationale](https://en.wikipedia.org/wiki/Les_Brotteaux)\n\n[7th arrondissement: Guillotière (south), Jean Macé, Gerland](https://en.wikipedia.org/wiki/7th_arrondissement_of_Lyon)\n\n[8th arrondissement: Monplaisir (south), Bachut, États-Unis, Grand Trou/Moulin à](https://en.wikipedia.org/wiki/Le_Bachut)\n\n[Vent, Grange Blanche (south), Laënnec, Mermoz, Monplaisir-la-Plaine](https://en.wikipedia.org/wiki/La%C3%ABnnec)\n\n[9th arrondissement: Vaise, Duchère, Rochecardon, St-Rambert-l'Île-Barbe, Gorge](https://en.wikipedia.org/wiki/Vaise)\n\nde Loup, Observance, Champvert (north)\n\nGeographically, Lyon's two main rivers, the Saône and the Rhône, divide the arrondissements into three groups:\n\nTo the west of the Saône, the fifth arrondissement covers the old city of Vieux Lyon, Fourvière hill and the\n\nplateau beyond. The 9th is immediately to the north, and stretches from Gorge de Loup, through Vaise to the\n\nneighbouring suburbs of Écully, Champagne-au-Mont-d'Or, Saint-Didier-au-Mont-d'Or, Saint-Cyr-au-Mont-d'Or\n\nand Collonges-au-Mont-d'Or.\n\nBetween the two rivers, on the Presqu'île, are the second, first, and fourth arrondissements. The second\n\nincludes most of the city centre, Bellecour and Perrache railway station, and reaches as far as the confluence\n\nof the two rivers. The first is directly to the north of the second and covers part of the city centre (including the\n\n[Hôtel de Ville) and the slopes of La Croix-Rousse. To the north of the Boulevard is the fourth arrondissement,](https://en.wikipedia.org/wiki/H%C3%B4tel_de_Ville,_Lyon)\n\nwhich covers the Plateau of La Croix-Rousse, up to its boundary with the commune of Caluire-et-Cuire.\n\nTo the east of the Rhône, are the third, sixth, seventh, and eighth arrondissements.\n\nThis is a list of mayors of the commune of Lyon since the end of the 19th century.\n\n##### **Mayors**",
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- {
- "text": "| Coordinates: 45°46′N 4°50′E Lyon Lyon |\n|:---|\n| Country France Region Auvergne-Rhône-Alpes Metropolis Lyon Metropolis Arrondissement Lyon |\n| Subdivisions 9 arrondissements |\n| Government - Mayor (2020- 2026) Grégory Doucet [2] (EELV) |\n| Area 1 47.87 km 2 (18.48 sq mi) - Urban (2020 [3] ) 1,141.4 km 2 (440.7 sq mi) - Metro (2020 [4] ) 4,605.8 km 2 (1,778.3 sq mi) |\n\n**Population** (2022) [5] 520,774\n\n**- Rank** [3rd in France](https://en.wikipedia.org/wiki/List_of_communes_in_France_with_over_20,000_inhabitants)\n\n**- Density** 11,000/km 2\n\n(28,000/sq mi)\n\n**[ - Urban](https://en.wikipedia.org/wiki/Urban_area)** (Jan.\n\n2021 [6] )\n\n1,702,921\n\n**- Urban density** 1,500/km 2 (3,900/sq mi)\n\n**[ - Metro](https://en.wikipedia.org/wiki/Metropolitan_area)** (Jan.\n\n2021 [7] )\n\n2,308,818\n\nThe name of the city has taken the forms *Lugdon* , *Luon* , and since the\n\n13th century, *Lyon* . The Gallic *Lugdun* or *Lugdunon* that was Latinized\n\n[in Roman as Lugdunum is composed of two words. The first may be the](https://en.wikipedia.org/wiki/Lugdunum)\n\n[name of the Celtic god Lug (in charge of order and law), or the derived](https://en.wikipedia.org/wiki/Lugh)\n\nword *lugon* , meaning \"crow\" (the crow being the messenger of Lug), but\n\nmight also be another word *lug* , meaning \"light\". The second is *dunos*\n\n[('fortress', 'hill'). The name thus may designate the hill of Fourvière, on](https://en.wikipedia.org/wiki/Fourvi%C3%A8re)\n\nwhich the ancient city of Lyon is founded, but could mean \"hill of the\n\ngod Lug\", \"hill of the crows\" or \"shining hill\". [21] [22]\n\n[Alternatively Julius Pokorny associates the first part of the word with](https://en.wikipedia.org/wiki/Julius_Pokorny)\n\nthe Indo-European radical * *lūg* ('dark, black, swamp'), the basis of the\n\n[toponyms Ludza in Latvia, Lusatia in Germany (from Sorbian ](https://en.wikipedia.org/wiki/Sorbian_language) *Łužica* ),\n\nand several places in the Czech Republic named Lužice; [23] it could then\n\n[also be compared to Luze in Franche-Comté and various hydronyms](https://en.wikipedia.org/wiki/Luze,_Haute-Sa%C3%B4ne)\n\n[such as Louge.](https://en.wikipedia.org/wiki/Louge)\n\nFurther down, in the current Saint-Vincent district, was the Gallic\n\nvillage of Condate, probably a simple hamlet of sailors or fishermen\n\nliving on the banks of the Saône. *Condate* is a Gallic word meaning\n\n\"confluence\", from which the Confluence district gets its name.\n\n[In Roman times the city was called ](https://en.wikipedia.org/wiki/History_of_Lyon#Antiquity) *Caput Galliæ* , meaning \"capital of\n\n[the Gauls\". As an homage to this title, the Archbishop of Lyon is still](https://en.wikipedia.org/wiki/Roman_Catholic_Archdiocese_of_Lyon)\n\ncalled the Primate of Gaul.\n\nDuring the revolutionary period, Lyon was renamed *Commune-*\n\n*Affranchie* [ (\"Emancipated Commune\") on 12 October 1793 by a decree](https://en.wikipedia.org/wiki/Commune_(France))\n\n[of the Convention Nationale. It resumed its name in 1794, after the end](https://en.wikipedia.org/wiki/National_Convention)\n\n[of the Terror.](https://en.wikipedia.org/wiki/Reign_of_Terror)\n\nLyon is called *Liyon* [ in Franco-Provençal.](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al) [24]\n\n[According to the historian Dio Cassius, in 43 BC, the Roman Senate](https://en.wikipedia.org/wiki/Roman_Senate)\n\nordered the creation of a settlement for Roman refugees of war with the\n\n[Allobroges. These refugees had been expelled from Vienne and were](https://en.wikipedia.org/wiki/Vienne,_Isere)\n\n[now encamped at the confluence of the Saône and Rhône rivers. The](https://en.wikipedia.org/wiki/Rh%C3%B4ne)\n\nfoundation was built on Fourvière hill and officially called *Colonia*\n\n*Copia Felix Munatia* , a name invoking prosperity and the blessing of the\n\ngods. The city became increasingly referred to as *Lugdunum* (and\n\noccasionally *Lugudunum* [25] ). [26] The earliest translation of this Gaulish\n\nplace-name as \"Desired Mountain\" is offered by the 9th-century\n\n*[Endlicher Glossary](https://en.wikipedia.org/w/index.php?title=Endlicher_Glossary&action=edit&redlink=1)* . [27] In contrast, some modern scholars have\n\n[proposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god](https://en.wikipedia.org/wiki/Celtic_mythology)\n\n[Lugus (cognate with Old Irish ](https://en.wikipedia.org/wiki/Irish_language) *Lugh* , Modern Irish *Lú* ), and *dúnon* (hill-\n\nfort).\n\nThe Romans recognised that Lugdunum's strategic location at the\n\nconvergence of two navigable rivers made it a natural communications\n\n[hub. The city became the starting point of main Roman roads in the](https://en.wikipedia.org/wiki/Roman_roads)\n\n[area, and it quickly became the capital of the province, Gallia](https://en.wikipedia.org/wiki/Gallia_Lugdunensis)\n\n[Lugdunensis. Two Emperors were born in this city: Claudius, whose](https://en.wikipedia.org/wiki/Claudius)\n\n[speech is preserved in the Lyon Tablet in which he justifies the](https://en.wikipedia.org/wiki/Lyon_Tablet)\n\n[nomination of Gallic Senators, and Caracalla.](https://en.wikipedia.org/wiki/Caracalla)\n\n#### **Ancient Lyon**",
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- "text": "| Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 16.3 (61.3) | 21.4 (70.5) | 25.7 (78.3) | 28.0 (82.4) | 29.4 (84.9) | 34.4 (93.9) | 39.8 (103.6) | 37.1 (98.8) | 33.8 (92.8) | 28.4 (83.1) | 22.6 (72.7) | 20.2 (68.4) | 39.8 (103.6) |\n| Mean maximum °C (°F) | 10.2 (50.4) | 14.4 (57.9) | 15.9 (60.6) | 18.6 (65.5) | 23.1 (73.6) | 28.8 (83.8) | 32.8 (91.0) | 28.1 (82.6) | 27.3 (81.1) | 19.7 (67.5) | 14.1 (57.4) | 9.5 (49.1) | 32.8 (91.0) |\n| Mean daily maximum °C (°F) | 6.1 (43.0) | 8.2 (46.8) | 11.6 (52.9) | 15.2 (59.4) | 19.1 (66.4) | 22.9 (73.2) | 26.1 (79.0) | 26.0 (78.8) | 22.4 (72.3) | 17.1 (62.8) | 10.0 (50.0) | 6.4 (43.5) | 15.9 (60.7) |\n| Daily mean °C (°F) | 3.0 (37.4) | 4.9 (40.8) | 7.4 (45.3) | 10.2 (50.4) | 14.0 (57.2) | 17.6 (63.7) | 20.6 (69.1) | 20.0 (68.0) | 17.1 (62.8) | 12.7 (54.9) | 6.7 (44.1) | 3.9 (39.0) | 11.5 (52.7) |\n| Mean daily minimum °C (°F) | 0.2 (32.4) | 1.4 (34.5) | 2.9 (37.2) | 5.2 (41.4) | 9.1 (48.4) | 12.5 (54.5) | 14.8 (58.6) | 14.4 (57.9) | 11.7 (53.1) | 8.3 (46.9) | 3.5 (38.3) | 0.7 (33.3) | 7.1 (44.7) |\n| Mean minimum °C (°F) | −7.0 (19.4) | −4.7 (23.5) | −1.4 (29.5) | 3.2 (37.8) | 7.6 (45.7) | 10.9 (51.6) | 13.1 (55.6) | 12.9 (55.2) | 8.1 (46.6) | 4.5 (40.1) | 1.0 (33.8) | −4.7 (23.5) | −7.0 (19.4) |\n| Record low °C (°F) | −23.0 (−9.4) | −19.3 (−2.7) | −10.5 (13.1) | −3.2 (26.2) | −0.3 (31.5) | 3.6 (38.5) | 6.1 (43.0) | 5.2 (41.4) | 1.9 (35.4) | −3.2 (26.2) | −7.1 (19.2) | −16.0 (3.2) | −23.0 (−9.4) |\n| Average precipitation mm (inches) | 54.0 (2.13) | 53.8 (2.12) | 72.2 (2.84) | 56.1 (2.21) | 72.6 (2.86) | 73.2 (2.88) | 54.5 (2.15) | 71.6 (2.82) | 53.2 (2.09) | 56.2 (2.21) | 68.0 (2.68) | 55.8 (2.20) | 741.2 (29.19) |\n| Average precipitation days (≥ 1.0 mm) | 10.4 | 9.3 | 9.7 | 9.6 | 10.9 | 8.2 | 6.8 | 8.2 | 7.3 | 8.5 | 8.9 | 9.8 | 107.6 |\n| Average snowy days | 5.5 | 3.9 | 2.5 | 1.1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 2.0 | 4.6 | 19.6 |\n| Average relative humidity (%) | 84 | 80 | 74 | 71 | 72 | 70 | 65 | 70 | 76 | 82 | 84 | 86 | 76 |\n| Mean monthly sunshine hours | 62.6 | 89.8 | 147.5 | 184.2 | 215.9 | 250.9 | 292.6 | 259.0 | 208.1 | 134.3 | 75.3 | 55.4 | 1,975.6 |\n| Percent possible sunshine | 23 | 31 | 41 | 46 | 47 | 54 | 62 | 60 | 56 | 40 | 27 | 21 | 42 |\n| Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] |\n| Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] |\n\n[Like Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each](https://en.wikipedia.org/wiki/Municipal_arrondissements_of_France)\n\nof which is identified by a number and has its own council and town hall. Five arrondissements were originally created in\n\n[1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between](https://en.wikipedia.org/wiki/Neighbourhood)\n\n1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three\n\ntimes, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to\n\nLyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th - and, to date, final -\n\narrondissement. Within each arrondissement, the recognisable *quartiers* or neighbourhoods are:\n\n[1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent](https://en.wikipedia.org/wiki/Place_des_Terreaux)\n\n### **Administration**\n\n#### **Commune**",
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- "text": "| Lyon Liyon (Arpitan) |\n|:---|\n| Prefecture and commune |\n| Skyline of Lyon in La Part-Dieu Basilica of Notre- Dame de Fourvière Place des Terreaux with the Fontaine Bartholdi Parc de la Tête d'or Confluence District Vieux Lyon Pont Lafayette |\n| Flag Coat of arms |\n\nMotto(s): *Avant, avant, Lion le melhor*\n\n[(old Franco-Provençal for \"Forward, forward,](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al_language)\n\nLyon the best\") [a]\n\n*Virtute duce, comite fortuna*\n\n(\"With virtue as guide and fortune as\n\ncompanion\") [b]\n\n**Location of Lyon**\n\n## **Lyon**\n\n**Lyon** [c] [ (Franco-Provençal: ](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al) *Liyon* [) is the second-largest city in France](https://en.wikipedia.org/wiki/France)\n\nby urban area and the third largest by city limits. [14] It is located at the\n\n[confluence of the rivers Rhône and Saône, to the northwest of the](https://en.wikipedia.org/wiki/Sa%C3%B4ne)\n\n[French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north](https://en.wikipedia.org/wiki/Paris)\n\n[of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km](https://en.wikipedia.org/wiki/Geneva)\n\n[(36 mi) northeast of Saint-Étienne.](https://en.wikipedia.org/wiki/Saint-%C3%89tienne)\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census\n\nwithin its small municipal territory of 48 km 2 (19 sq mi), [15] but\n\n[together with its suburbs and exurbs the Lyon metropolitan area had a](https://en.wikipedia.org/wiki/Functional_area_(France))\n\npopulation of 2,308,818 that same year, [7] the second most populated in\n\nFrance. Lyon and 58 suburban municipalities have formed since 2015\n\n[the Metropolis of Lyon, a directly elected metropolitan authority now in](https://en.wikipedia.org/wiki/Lyon_Metropolis)\n\ncharge of most urban issues, with a population of 1,424,069 in 2021. [16]\n\n[Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of](https://en.wikipedia.org/wiki/Regions_of_France)\n\n[the Departmental Council of Rhône (whose jurisdiction, however, no](https://en.wikipedia.org/wiki/Rh%C3%B4ne_(department))\n\nlonger extends over the Metropolis of Lyon since 2015).\n\n[The capital of the Gauls during the Roman Empire, Lyon is the seat of](https://en.wikipedia.org/wiki/Roman_Empire)\n\n[an archbishopric whose holder bears the title of Primate of the Gauls.](https://en.wikipedia.org/wiki/Roman_Catholic_Archdiocese_of_Lyon)\n\n[Lyon became a major economic hub during the Renaissance. The city is](https://en.wikipedia.org/wiki/French_Renaissance)\n\n[recognised for its cuisine and gastronomy, as well as historical and](https://en.wikipedia.org/wiki/Gastronomy)\n\n[architectural landmarks; as such, the districts of Old Lyon, the Fourvière](https://en.wikipedia.org/wiki/Fourvi%C3%A8re)\n\n[hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on](https://en.wikipedia.org/wiki/La_Croix-Rousse)\n\n[the UNESCO World Heritage List. Lyon was historically an important](https://en.wikipedia.org/wiki/World_Heritage_Site)\n\narea for the production and weaving of silk. Lyon played a significant\n\n[role in the history of cinema since Auguste and Louis Lumière invented](https://en.wikipedia.org/wiki/Auguste_and_Louis_Lumi%C3%A8re)\n\n[the cinematograph there. The city is also known for its light festival, the](https://en.wikipedia.org/wiki/Cinematograph)\n\n[Fête des lumières, which begins every 8 December and lasts for four](https://en.wikipedia.org/wiki/Festival_of_Lights_(Lyon))\n\ndays, earning Lyon the title of \"Capital of Lights\".\n\n[Economically, Lyon is a major centre for banking, chemical,](https://en.wikipedia.org/wiki/Chemical)\n\n[pharmaceutical and biotech industries. The city contains a significant](https://en.wikipedia.org/wiki/Biotechnology)\n\nsoftware industry with a particular focus on video games; in recent years\n\nit has fostered a growing local start-up sector. [17] The home of renowned\n\nuniversities and higher education schools, Lyon is the second-largest\n\nstudent city in France, with a university population of nearly 200,000\n\nstudents within the Metropolis of Lyon. [18] Lyon hosts the international\n\n[headquarters of Interpol, the International Agency for Research on](https://en.wikipedia.org/wiki/International_Agency_for_Research_on_Cancer)\n\n[Cancer, as well as Euronews. According to the Globalization and World](https://en.wikipedia.org/wiki/Globalization_and_World_Cities_Research_Network)\n\n[Rankings Research Institute, Lyon is considered a Beta city, as of](https://en.wikipedia.org/wiki/Global_city)\n\n2018. [19] It ranked second in France and 40th globally in Mercer's 2019\n\n[liveability rankings.](https://en.wikipedia.org/wiki/List_of_cities_by_quality_of_living) [20]\n\n### **History**\n\n#### **Toponymy**",
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- },
- {
- "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 19.1 (66.4) | 21.9 (71.4) | 26.0 (78.8) | 30.1 (86.2) | 34.2 (93.6) | 38.4 (101.1) | 40.4 (104.7) | 41.4 (106.5) | 35.8 (96.4) | 28.4 (83.1) | 23.0 (73.4) | 20.2 (68.4) | 41.4 (106.5) |\n| Mean daily maximum °C (°F) | 7.1 (44.8) | 9.0 (48.2) | 13.8 (56.8) | 17.4 (63.3) | 21.5 (70.7) | 25.6 (78.1) | 28.2 (82.8) | 28.0 (82.4) | 23.1 (73.6) | 17.7 (63.9) | 11.4 (52.5) | 7.7 (45.9) | 17.5 (63.5) |\n| Daily mean °C (°F) | 4.1 (39.4) | 5.2 (41.4) | 9.0 (48.2) | 12.3 (54.1) | 16.3 (61.3) | 20.3 (68.5) | 22.6 (72.7) | 22.3 (72.1) | 17.9 (64.2) | 13.7 (56.7) | 8.1 (46.6) | 4.8 (40.6) | 13.0 (55.4) |\n| Mean daily minimum °C (°F) | 1.1 (34.0) | 1.4 (34.5) | 4.2 (39.6) | 7.2 (45.0) | 11.2 (52.2) | 15.0 (59.0) | 17.0 (62.6) | 16.6 (61.9) | 12.8 (55.0) | 9.6 (49.3) | 4.9 (40.8) | 2.0 (35.6) | 8.6 (47.5) |\n| Record low °C (°F) | −23.0 (−9.4) | −22.5 (−8.5) | −10.5 (13.1) | −4.4 (24.1) | −3.8 (25.2) | 2.3 (36.1) | 6.1 (43.0) | 4.6 (40.3) | 0.2 (32.4) | −4.5 (23.9) | −9.4 (15.1) | −24.6 (−12.3) | −24.6 (−12.3) |\n| Average precipitation mm (inches) | 49.8 (1.96) | 41.6 (1.64) | 49.4 (1.94) | 68.9 (2.71) | 80.9 (3.19) | 74.1 (2.92) | 67.4 (2.65) | 65.5 (2.58) | 82.5 (3.25) | 99.8 (3.93) | 87.2 (3.43) | 53.7 (2.11) | 820.8 (32.31) |\n| Average precipitation days (≥ 1.0 mm) | 8.1 | 7.9 | 8.4 | 9.0 | 10.3 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| Mean monthly sunshine hours | 71.1 | 102.4 | 173.7 | 197.7 | 223.8 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] |\n| Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] |",
- "page_start": 5,
- "page_end": 5,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "[6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-loc](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12)\n\n[ales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12).](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12)\n\nRetrieved 12 July 2024.\n\n[7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://sta](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[tistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[3). Retrieved 12 July 2024.](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[8. Wells, John C. (2008). ](https://en.wikipedia.org/wiki/John_C._Wells) *Longman Pronunciation Dictionary* [ (3rd ed.). Longman. ISBN 978-1-4058-8118-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-4058-8118-0)\n\n[9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). ](https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons) *[Lexico UK](https://en.wikipedia.org/wiki/Lexico)*\n\n*English Dictionary* [. Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons)](http://www.lexico.com/definition/Lyons)\n\non 24 January 2020.\n\n[10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). ](https://en.wikipedia.org/wiki/John_Esling) *[Cambridge English Pronouncing](https://en.wikipedia.org/wiki/English_Pronouncing_Dictionary)*\n\n*[Dictionary](https://en.wikipedia.org/wiki/English_Pronouncing_Dictionary)* [ (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-521-15255-6)\n\n[11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). ](https://www.merriam-webster.com/dictionary/Lyon) *[Merriam-Webster.com Dictionary](https://en.wikipedia.org/wiki/Merriam-Webster)* . Merriam-\n\nWebster. Retrieved 8 August 2018.\n\n[12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). ](https://www.collinsdictionary.com/amp/english/lyons) *[Collins English Dictionary](https://en.wikipedia.org/wiki/Collins_English_Dictionary)* [. HarperCollins.](https://en.wikipedia.org/wiki/HarperCollins)\n\nRetrieved 8 August 2018.\n\n[13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). ](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar) *locongres.org* . Retrieved 1 April 2022.\n\n[14. https://about-france.com/tourism/main-towns-cities.htm](https://about-france.com/tourism/main-towns-cities.htm)\n\n[15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.inse](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=691](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[23&t=A01&view=map1) (in French). Retrieved 12 July 2024.](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statis](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4)\n\n[tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=202](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4)\n\n[1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.](https://en.wikipedia.org/wiki/INSEE)\n\n[17. \"Lyon entrepreneurship, Lyon company, Invest Lyon - Greater Lyon\" (https://web.archive.org/web/201003081](https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&](https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines](http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.](http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite](https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146)\n\n[s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved](https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146)\n\n8 April 2022.\n\n[19. \"GaWC - The World According to GaWC 2018\" (https://www.lboro.ac.uk/gawc/world2018t.html).](https://www.lboro.ac.uk/gawc/world2018t.html)\n\n*www.lboro.ac.uk* .\n\n[20. \"Quality of Living City Ranking | Mercer\" (https://mobilityexchange.mercer.com/Insights/quality-of-living-rankin](https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings)\n\n[gs). ](https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings) *mobilityexchange.mercer.com* .\n\n21. Mailhes, François; Piot, Cyrille; Rapini, Jean-Louis (2021). *Les Miscellanées des Lyonnais* [ (https://poutan.fr/si](https://poutan.fr/site/)\n\n[te/). éditions du poutan.](https://poutan.fr/site/)\n\n[22. \"Lyon, d'où vient ton nom ?\" (https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/3700](https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php)\n\n[3-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php). ](https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php) *Le Figaro* (in French). 30 March 2017. Retrieved\n\n8 September 2023.\n\n23. Pokorny, Julius (1959). *Indogermanisches Etymologisches Wörterbuch* (in German). French & European\n\nPublications, Inc.\n\n24. Stich, Domenico (2003). *Dictionnaire francoprovençal-français et français-francoprovençal* (in French). Le\n\n[Carré. p. 189. ISBN 978-2908150155.](https://en.wikipedia.org/wiki/Special:BookSources/978-2908150155)\n\n25. Cassius Dio, *Roman History* , Book 46: *Lepidus and Lucius Plancus [...] founded the town called Lugudunum,*\n\n*now known as Lugdunum*\n\n26. Louis, Jaucourt de chevalier (1765). \"Lyon\". *Encyclopedia of Diderot & d'Alembert - Collaborative Translation*\n\n*Project* [. hdl:2027/spo.did2222.0000.159 (https://hdl.handle.net/2027%2Fspo.did2222.0000.159).](https://hdl.handle.net/2027%2Fspo.did2222.0000.159)\n\n[27. \"Endlichers Glossar/Endlicher's Glossary\" (http://www.maryjones.us/ctexts/endlicher_glossary.html).](http://www.maryjones.us/ctexts/endlicher_glossary.html)\n\n*www.maryjones.us* . n.d. Retrieved 7 November 2021. \" *Lugduno - desiderato monte: dunum enim montem*\n\nLugduno: \"mountain of yearning\"; dunum of course is mountain.\"\n\nwww.maryjones.us/ctexts/endlicher_glossary.html\n\n28. Patrick Boucheron, et al., eds. *France in the World: A New Global History* (2019) pp 63-68.\n\n[29. \"Saint Irenaeus\" (http://sanctoral.com/en/saints/saint_irenaeus.html). ](http://sanctoral.com/en/saints/saint_irenaeus.html) *Sanctoral.com* . Magnificat.\n\n[30. \"2847-Primat des Gaules\" (https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/284](https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/2847-Primat-des-Gaules.html)\n\n[7-Primat-des-Gaules.html). ](https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/2847-Primat-des-Gaules.html) *France-catholique.fr* [. 13 September 2002. Archived from the original (https://www.f](https://www.france-catholique.fr/2847-Primat-des-Gaules.html)\n\n[rance-catholique.fr/2847-Primat-des-Gaules.html) on 30 October 2019. Retrieved 20 December 2017.](https://www.france-catholique.fr/2847-Primat-des-Gaules.html)",
- "page_start": 21,
- "page_end": 21,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "**- Metro density** 500/km 2 (1,300/sq mi)\n\n| Time zone UTC+01:00 (CET) - Summer (DST) UTC+02:00 (CEST) |\n|:---|\n| INSEE/Postal code 69123 (https://www.inse e.fr/fr/statistiques/14055 99?geo=COM-69123) /69001-69009 |\n| Elevation 162- 349 m (531- 1,145 ft) |\n| Website lyon.fr (https://www.lyon. fr/) |\n| 1 French Land Register data, which excludes lakes, ponds, glaciers > 1 km 2 (0.386 sq mi or 247 acres) and river estuaries. |\n\n**Timeline of Lyon**\n\n**Historical affiliations**\n\n[ Roman Empire (Gallia Lugdunensis), 43](https://en.wikipedia.org/wiki/Roman_Empire)\n\nBC-286\n\nWestern [Roman ](https://en.wikipedia.org/wiki/Western_Roman_Empire) Empire (Gallia\n\nLugdunensis), 286-411\n\n[ Kingdom of the Burgundians, 411- 534](https://en.wikipedia.org/wiki/Kingdom_of_the_Burgundians)\n\n[ Francia, 534- 843](https://en.wikipedia.org/wiki/Francia)\n\n[ Middle Francia, 843- 855](https://en.wikipedia.org/wiki/Middle_Francia)\n\n[ Lotharingia, 855- 879](https://en.wikipedia.org/wiki/Lotharingia)\n\n[ Lower Burgundy, 879-933](https://en.wikipedia.org/wiki/Lower_Burgundy)\n\n[ Kingdom of Arles, 933- 1312](https://en.wikipedia.org/wiki/Kingdom_of_Arles)\n\n[ Kingdom of France (Lyonnais), 1312- ](https://en.wikipedia.org/wiki/Lyonnais)\n\n1792\n\n[ French First Republic, 1792- 1793](https://en.wikipedia.org/wiki/French_First_Republic)\n\n[ Counter-revolutionary, 1793](https://en.wikipedia.org/wiki/Revolt_of_Lyon_against_the_National_Convention)\n\n[ French First Republic, 1793- 1804](https://en.wikipedia.org/wiki/French_First_Republic)\n\n[ First French Empire, 1804- 1814](https://en.wikipedia.org/wiki/First_French_Empire)\n\n[ Kingdom of France, 1814- 1815](https://en.wikipedia.org/wiki/Bourbon_Restoration_in_France)\n\n[ First French Empire, 1815](https://en.wikipedia.org/wiki/First_French_Empire)\n\n[ Kingdom of France, 1815- 1830](https://en.wikipedia.org/wiki/Bourbon_Restoration_in_France)\n\n[ Kingdom of France, 1830- 1848](https://en.wikipedia.org/wiki/July_Monarchy)\n\n[ French Second Republic, 1848- 1852](https://en.wikipedia.org/wiki/French_Second_Republic)\n\n[ Second French Empire, 1852- 1870](https://en.wikipedia.org/wiki/Second_French_Empire)\n\n[ French Third Republic, 1870- 1940](https://en.wikipedia.org/wiki/French_Third_Republic)\n\n[ Vichy France, 1940- 1944](https://en.wikipedia.org/wiki/Vichy_France)\n\n[ French Fourth Republic, 1944- 1958](https://en.wikipedia.org/wiki/French_Fourth_Republic)\n\n[ France, 1958- present](https://en.wikipedia.org/wiki/France)\n\n[The Roman-era Theatre on the](https://en.wikipedia.org/wiki/Ancient_Theatre_of_Fourvi%C3%A8re)\n\nFourvière Hill\n\nLyon under siege in 1793\n\n[Early Christians in Lyon were martyred for their beliefs under the reigns](https://en.wikipedia.org/wiki/Early_Christians)\n\n[of various Roman emperors, most notably Marcus Aurelius and](https://en.wikipedia.org/wiki/Marcus_Aurelius)\n\n[Septimius Severus.](https://en.wikipedia.org/wiki/Septimius_Severus) [28] [ Local saints from this period include Blandina,](https://en.wikipedia.org/wiki/Blandina)\n\n[Pothinus, and Epipodius, among others. The Greek Irenaeus was the](https://en.wikipedia.org/wiki/Irenaeus)\n\nsecond bishop of Lyon during the latter part of the second century. [29]\n\nTo this day, the archbishop of Lyon is still referred to as \" *[Primat des](https://en.wikipedia.org/wiki/Primate_(bishop))*\n\n*[Gaules](https://en.wikipedia.org/wiki/Primate_(bishop))* \". [30]\n\n[Burgundians fleeing the destruction of Worms by the Huns in 437 were](https://en.wikipedia.org/wiki/Huns)\n\nre-settled in eastern Gaul. In 443 the Romans established the Kingdom\n\nof the Burgundians, and Lugdunum became its capital in 461. In 843,\n\n[under the Treaty of Verdun, Lyon went to the Holy Roman Emperor](https://en.wikipedia.org/wiki/Holy_Roman_Emperor)\n\n[Lothair I. It later was made part of the Kingdom of Arles which was](https://en.wikipedia.org/wiki/Lothair_I)\n\n[incorporated into the Holy Roman Empire in 1033. Lyon did not come](https://en.wikipedia.org/wiki/Holy_Roman_Empire)\n\nunder French control until the\n\n14th century.\n\nFernand [Braudel ](https://en.wikipedia.org/wiki/Fernand_Braudel) remarked,\n\n\"Historians of Lyon are not\n\nsufficiently aware of the bi-\n\npolarity between Paris and Lyon,\n\nwhich is a constant structure in\n\nFrench development...from the\n\n[late Middle Ages to the Industrial](https://en.wikipedia.org/wiki/Industrial_Revolution)\n\n[Revolution\".](https://en.wikipedia.org/wiki/Industrial_Revolution) [31] [ In the late 15th century, the fairs introduced by Italian](https://en.wikipedia.org/wiki/Fairs)\n\n[merchants made Lyon the economic counting house of France. Even the](https://en.wikipedia.org/wiki/Counting_house)\n\n*Bourse* (treasury), built in 1749, resembled a public bazaar where\n\naccounts were settled in the open air. When international banking moved\n\n[to Genoa, then Amsterdam, Lyon remained the banking centre of](https://en.wikipedia.org/wiki/Amsterdam)\n\nFrance.\n\n[During the Renaissance, the city's development was driven by the silk](https://en.wikipedia.org/wiki/Silk_trade)\n\n[trade, which strengthened its ties to Italy. Italian influence on Lyon's](https://en.wikipedia.org/wiki/Silk_trade)\n\narchitecture is still visible among historic buildings. [32] In the late 1400s\n\nand 1500s Lyon was also a key centre of literary activity and book\n\n[publishing, both of French writers (such as Maurice Scève, Antoine](https://en.wikipedia.org/wiki/Antoine_Heroet)\n\n[Heroet, and Louise Labé) and of Italians in exile (such as Luigi](https://en.wikipedia.org/wiki/Luigi_Alamanni)\n\n[Alamanni and Gian Giorgio Trissino).](https://en.wikipedia.org/wiki/Gian_Giorgio_Trissino)\n\nIn 1572, Lyon was a scene of mass violence by Catholics against\n\n[Protestant Huguenots in the St. Bartholomew's Day Massacre. Two](https://en.wikipedia.org/wiki/St._Bartholomew%27s_Day_Massacre)\n\n[centuries later, Lyon was again convulsed by violence during the French](https://en.wikipedia.org/wiki/French_Revolution)\n\n[Revolution, when the citizenry rose up against the National Convention](https://en.wikipedia.org/wiki/French_Revolution)\n\n[and supported the Girondins. The city was besieged by Revolutionary armies for over](https://en.wikipedia.org/wiki/Girondins)\n\ntwo months before it surrendered in October 1793. Many buildings were destroyed,\n\n[especially around the Place Bellecour, and Jean-Marie Collot d'Herbois and Joseph](https://en.wikipedia.org/wiki/Joseph_Fouch%C3%A9)\n\n[Fouché administered the execution of more than 2,000 people. The Convention](https://en.wikipedia.org/wiki/Joseph_Fouch%C3%A9)\n\nordered that its name be changed to \"Liberated City\", and a plaque was erected that\n\nproclaimed \"Lyons made war on Liberty; Lyons no longer exists\". A decade later,\n\n[Napoleon ordered the reconstruction of all the buildings demolished during that](https://en.wikipedia.org/wiki/Napoleon)\n\nperiod.\n\n#### **Modern Lyon**",
- "page_start": 2,
- "page_end": 2,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "Ice on the Saône, 2012\n\nPanorama of the inner city of Lyon, taken from the basilica of Notre-Dame de Fourvière's roof\n\n[Lyon has a humid subtropical climate (Köppen: ](https://en.wikipedia.org/wiki/K%C3%B6ppen_climate_classification) *Cfa* [), bordering an oceanic climate](https://en.wikipedia.org/wiki/Oceanic_climate)\n\n( *Köppen* : *Cfb* [, Trewartha: ](https://en.wikipedia.org/wiki/Trewartha_climate_classification) *Do* ). [38] The mean temperature in Lyon in the coldest month\n\nis 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F).\n\nPrecipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter\n\nmonths are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13\n\nAugust 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22\n\nDecember 1938. [39]\n\n#### **Climate**",
- "page_start": 4,
- "page_end": 4,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "C3 trolleybus in the third district\n\nC3 trolleybus in Old Lyon\n\nVelo'v, Ennemond Fousseret square\n\n(Old Lyon)\n\n[Lyon is served by the Eurolines intercity coach organisation. Its Lyon terminal is](https://en.wikipedia.org/wiki/Eurolines)\n\nlocated at the city's Perrache railway station, which serves as an intermodal\n\ntransportation hub for tramways, local and regional trains and buses, the terminus of\n\nMetro line A, of the Tramway T2, the bicycle service Vélo'v, and taxis. [77]\n\n[The Transports en commun lyonnais (TCL), Lyon's public transit system, consisting](https://en.wikipedia.org/wiki/Transports_en_commun_lyonnais)\n\nof metro, tramways and buses, serves 62 communes of the Lyon metropolis. [78][79]\n\n[The metro network has four lines (A, B, C and D), 42 stations, and runs with a](https://en.wikipedia.org/wiki/Lyon_Metro_Line_D)\n\n[frequency of up to a train every 2 minutes. There are eight Lyon tram lines since](https://en.wikipedia.org/wiki/Lyon_tramway)\n\nnovember 2020: T1 from *Debourg* in the south to *IUT-Feyssine* in the north, Tram T2\n\nfrom *Hôtel de région Montrochet* [ to Saint-Priest in the south-east, Tram T3 from Part-](https://en.wikipedia.org/wiki/Saint-Priest,_Rh%C3%B4ne)\n\n[Dieu to Meyzieu, Tram T4 from 'Hôptial Feyzin Venissieux' to La Doua Gaston](https://en.wikipedia.org/wiki/Meyzieu)\n\nBerger. Tram T5 from Grange Blanche, in the south-east to Eurexpo in the south-west.\n\nTram T6 from Debourg, in the south to Hôpitaux Est-Pinel in the east. Tram T7 from\n\nVaux-en-Velin la soie, in the north-east to Décines - OL Vallée in the east. [79] And\n\nRhône Express tramline from Part-Dieu to Lyon- Saint-Exupéry Airport. [80][81] The\n\n[Lyon bus network consists of the Lyon trolleybus system, motorbuses, and coaches](https://en.wikipedia.org/wiki/Motorbuses)\n\nfor areas outside the centre. There are also two funicular lines from Vieux Lyon to\n\nSaint-Just and Fourvière. The ticketing system is relatively simple as the city has only\n\none public transport operator, the SYTRAL.\n\nThe public transit system was complemented in 2005 by *[Vélo'v](https://en.wikipedia.org/wiki/V%C3%A9lo%27v)* , a bicycle network\n\nproviding a low-cost bicycle-hire service made up of 340 stations throughout the city.\n\nBorrowing a bicycle for less than 30 minutes is free. Free rental time can be extended\n\nfor another 30 minutes at any station. Lyon was the first city in France to introduce\n\n[this bicycle renting system. In 2011 the Auto'lib car rental service was introduced; it](https://en.wikipedia.org/wiki/Autolib%27)\n\nworks much the same way as the Velo'v but for cars.\n\nThe average amount of time people spend commuting with public transit in Lyon on a\n\nweekday is 45 minutes. The average amount of time people wait at a stop or station\n\nfor public transit is 11 min, while 17% of riders wait for over 20 minutes on average\n\nevery day. The average distance people usually ride in a single trip with public transit\n\nis 4.7 km, while 4% travel for over 12 km in a single direction. [82]\n\nNetwork of\n\nhighways around\n\nLyon\n\nPublic transport map\n\nLyon is a pilot city of the Council of Europe and the European Commission \"Intercultural cities\" program. [83] Lyon is\n\n[twinned with:](https://en.wikipedia.org/wiki/Twin_towns_and_sister_cities) [84]\n\n[Addis Ababa, Ethiopia](https://en.wikipedia.org/wiki/Addis_Ababa)\n\n[Bamako, Mali](https://en.wikipedia.org/wiki/Bamako)\n\n[Barcelona, Spain](https://en.wikipedia.org/wiki/Barcelona)\n\n[Beersheba, Israel](https://en.wikipedia.org/wiki/Beersheba)\n\n[Birmingham, England, United Kingdom](https://en.wikipedia.org/wiki/Birmingham)\n\n[Boston, United States](https://en.wikipedia.org/wiki/Boston)\n\n[Craiova, Romania](https://en.wikipedia.org/wiki/Craiova)\n\n[Curitiba, Brazil](https://en.wikipedia.org/wiki/Curitiba)\n\n#### **Maps**\n\n### **International relations**",
- "page_start": 19,
- "page_end": 19,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "31. Braudel 1984 p. 327\n\n[32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde](https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01](https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f011](http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[50.htm) on 19 January 2011. Retrieved 3 April 2011.](http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli](https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)\n\n[sh_1). ](https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1) *Chrd.lyon.fr* [. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)](http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)\n\non 24 January 2011. Retrieved 21 December 2017.\n\n[34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal.](http://www.digitaljournal.com/article/273644)\n\n[com/article/273644). ](http://www.digitaljournal.com/article/273644) *Digitaljournal.com* .\n\n35. (in French) Georges Duby (ed), *Histoire de la France : Dynasties et révolutions, de 1348 à 1852* (vol. 2),\n\n[Larousse, 1999 p. 53 ISBN 2-03-505047-2](https://en.wikipedia.org/wiki/Special:BookSources/2-03-505047-2)\n\n[36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g](http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/getting-around/local-transport)\n\n[etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.](https://en.wikipedia.org/wiki/Lonely_Planet)\n\n[37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). ](https://whc.unesco.org/en/list/872/) *unesco.org* . UNESCO World Heritage Centre.\n\nRetrieved 31 July 2015.\n\n[38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http](https://www.jstor.org/stable/25636095)\n\n[s://www.jstor.org/stable/25636095).” ](https://www.jstor.org/stable/25636095) *Erdkunde* , vol. 8, no. 4, 1954, pp. 246- 252. *[JSTOR.](https://en.wikipedia.org/wiki/JSTOR)*\n\n[39. \"Données climatiques de la station de Lyon: Relevés de 2016 - Lyon\" (https://web.archive.org/web/20161004](https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n[055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France.](https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n[Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October](http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n2016. Retrieved 2 October 2016.\n\n[40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF).](https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf)\n\n*Fiche Climatologique: Statistiques 1991- 2020 et records* (in French). Meteo France. Retrieved 14 July 2022.\n\n[41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). ](https://www.meteo-lyon.net/records/mois/aout) *meteo-lyon.net*\n\n(in French). Météo Villes. Retrieved 7 September 2023.\n\n[42. \"Lyon- Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE](ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/REG_VI/FR/07480.TXT)\n\n[G_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm](https://archive.org/details/19611990NormalsNOAALyonBron)\n\n[alsNOAALyonBron) 8 February 2019, at the Wayback Machine](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n[43. \"Normes et records 1961- 1990: Lyon-Bron (69) - altitude 198m\" (https://web.archive.org/web/201603032035](https://web.archive.org/web/20160303203526/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n[26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the](http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n[original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February](http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n2019.\n\n[44. \"St-Irénée - France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). ](http://www.sacred-destinations.com/france/lyon-eglise-st-irenee) *sacred-*\n\n*destinations.com* .\n\n[45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcin](https://www.museeminiatureetcinema.fr/en/)\n\n[ema.fr/en/). ](https://www.museeminiatureetcinema.fr/en/) *Musée Miniature et Cinéma* .\n\n[46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved](https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY)\n\n16 January 2023.\n\n[47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.](https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). ](https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html) *Le Monde* . France.\n\n[Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-viral](http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[e_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.](http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2](https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2315.0.html)\n\n[315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html)](http://www.grandlyon.com/La-Part-Dieu.2315.0.html)\n\non 24 April 2010. Retrieved 3 April 2011.\n\n49. Jean-Baptiste Onofrio : *Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais* , Lyon 1864\n\n[50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives.](https://web.archive.org/web/20100124093221/http://pa-muet.com/archives.htm)\n\n[htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24](http://pa-muet.com/archives.htm)\n\nJanuary 2010. Retrieved 25 January 2010.\n\n[51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_af](https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[fichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroER](http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[A_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.](http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-ly](https://web.archive.org/web/20090219232752/http://musee-africain-lyon.org/)\n\n[on.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19](http://www.musee-africain-lyon.org/)\n\nFebruary 2009. Retrieved 5 February 2009.\n\n[53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinem](http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinemondial)\n\n[ondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/co](https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/copy_of_patrimoine/a_patrimoinemondial)\n\n[py_of_patrimoine/a_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website.](https://en.wikipedia.org/wiki/Wayback_Machine)\n\nRetrieved 26 November 2009.",
- "page_start": 22,
- "page_end": 22,
- "source_file": "wikipedia4.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "wikipedia4.pdf",
- "query": "How big was Lyon's population in 2022? ",
- "target_page": 2,
- "target_passage": "Population (2022) 520,774",
- "chunk_present": {
- "presence": true,
- "index": 3
- }
- },
- "top_chunk": [
- {
- "text": "[6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-loc](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12)\n\n[ales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12).](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12)\n\nRetrieved 12 July 2024.\n\n[7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://sta](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[tistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[3). Retrieved 12 July 2024.](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[8. Wells, John C. (2008). ](https://en.wikipedia.org/wiki/John_C._Wells) *Longman Pronunciation Dictionary* [ (3rd ed.). Longman. ISBN 978-1-4058-8118-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-4058-8118-0)\n\n[9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). ](https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons) *[Lexico UK](https://en.wikipedia.org/wiki/Lexico)*\n\n*English Dictionary* [. Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons)](http://www.lexico.com/definition/Lyons)\n\non 24 January 2020.\n\n[10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). ](https://en.wikipedia.org/wiki/John_Esling) *[Cambridge English Pronouncing](https://en.wikipedia.org/wiki/English_Pronouncing_Dictionary)*\n\n*[Dictionary](https://en.wikipedia.org/wiki/English_Pronouncing_Dictionary)* [ (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-521-15255-6)\n\n[11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). ](https://www.merriam-webster.com/dictionary/Lyon) *[Merriam-Webster.com Dictionary](https://en.wikipedia.org/wiki/Merriam-Webster)* . Merriam-\n\nWebster. Retrieved 8 August 2018.\n\n[12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). ](https://www.collinsdictionary.com/amp/english/lyons) *[Collins English Dictionary](https://en.wikipedia.org/wiki/Collins_English_Dictionary)* [. HarperCollins.](https://en.wikipedia.org/wiki/HarperCollins)\n\nRetrieved 8 August 2018.\n\n[13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). ](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar) *locongres.org* . Retrieved 1 April 2022.\n\n[14. https://about-france.com/tourism/main-towns-cities.htm](https://about-france.com/tourism/main-towns-cities.htm)\n\n[15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.inse](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=691](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[23&t=A01&view=map1) (in French). Retrieved 12 July 2024.](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statis](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4)\n\n[tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=202](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4)\n\n[1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.](https://en.wikipedia.org/wiki/INSEE)\n\n[17. \"Lyon entrepreneurship, Lyon company, Invest Lyon - Greater Lyon\" (https://web.archive.org/web/201003081](https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&](https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines](http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.](http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite](https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146)\n\n[s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved](https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146)\n\n8 April 2022.\n\n[19. \"GaWC - The World According to GaWC 2018\" (https://www.lboro.ac.uk/gawc/world2018t.html).](https://www.lboro.ac.uk/gawc/world2018t.html)\n\n*www.lboro.ac.uk* .\n\n[20. \"Quality of Living City Ranking | Mercer\" (https://mobilityexchange.mercer.com/Insights/quality-of-living-rankin](https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings)\n\n[gs). ](https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings) *mobilityexchange.mercer.com* .\n\n21. Mailhes, François; Piot, Cyrille; Rapini, Jean-Louis (2021). *Les Miscellanées des Lyonnais* [ (https://poutan.fr/si](https://poutan.fr/site/)\n\n[te/). éditions du poutan.](https://poutan.fr/site/)\n\n[22. \"Lyon, d'où vient ton nom ?\" (https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/3700](https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php)\n\n[3-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php). ](https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php) *Le Figaro* (in French). 30 March 2017. Retrieved\n\n8 September 2023.\n\n23. Pokorny, Julius (1959). *Indogermanisches Etymologisches Wörterbuch* (in German). French & European\n\nPublications, Inc.\n\n24. Stich, Domenico (2003). *Dictionnaire francoprovençal-français et français-francoprovençal* (in French). Le\n\n[Carré. p. 189. ISBN 978-2908150155.](https://en.wikipedia.org/wiki/Special:BookSources/978-2908150155)\n\n25. Cassius Dio, *Roman History* , Book 46: *Lepidus and Lucius Plancus [...] founded the town called Lugudunum,*\n\n*now known as Lugdunum*\n\n26. Louis, Jaucourt de chevalier (1765). \"Lyon\". *Encyclopedia of Diderot & d'Alembert - Collaborative Translation*\n\n*Project* [. hdl:2027/spo.did2222.0000.159 (https://hdl.handle.net/2027%2Fspo.did2222.0000.159).](https://hdl.handle.net/2027%2Fspo.did2222.0000.159)\n\n[27. \"Endlichers Glossar/Endlicher's Glossary\" (http://www.maryjones.us/ctexts/endlicher_glossary.html).](http://www.maryjones.us/ctexts/endlicher_glossary.html)\n\n*www.maryjones.us* . n.d. Retrieved 7 November 2021. \" *Lugduno - desiderato monte: dunum enim montem*\n\nLugduno: \"mountain of yearning\"; dunum of course is mountain.\"\n\nwww.maryjones.us/ctexts/endlicher_glossary.html\n\n28. Patrick Boucheron, et al., eds. *France in the World: A New Global History* (2019) pp 63-68.\n\n[29. \"Saint Irenaeus\" (http://sanctoral.com/en/saints/saint_irenaeus.html). ](http://sanctoral.com/en/saints/saint_irenaeus.html) *Sanctoral.com* . Magnificat.\n\n[30. \"2847-Primat des Gaules\" (https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/284](https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/2847-Primat-des-Gaules.html)\n\n[7-Primat-des-Gaules.html). ](https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/2847-Primat-des-Gaules.html) *France-catholique.fr* [. 13 September 2002. Archived from the original (https://www.f](https://www.france-catholique.fr/2847-Primat-des-Gaules.html)\n\n[rance-catholique.fr/2847-Primat-des-Gaules.html) on 30 October 2019. Retrieved 20 December 2017.](https://www.france-catholique.fr/2847-Primat-des-Gaules.html)",
- "page_start": 21,
- "page_end": 21,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "[Stade de Gerland](https://en.wikipedia.org/wiki/Stade_de_Gerland)\n\n[Lyon is also home to the Lyon Hockey Club, an ice hockey team that competes in](https://en.wikipedia.org/wiki/Ice_hockey)\n\n[France's national ice hockey league. The Patinoire Charlemagne is the seat of Club](https://en.wikipedia.org/wiki/Patinoire_Charlemagne)\n\n[des Sports de Glace de Lyon, the club of Olympic ice dancing champions Marina](https://en.wikipedia.org/wiki/Marina_Anissina)\n\n[Anissina and Gwendal Peizerat, and world champions Isabelle Delobel and Olivier](https://en.wikipedia.org/wiki/Olivier_Shoenfelder)\n\n[Shoenfelder.](https://en.wikipedia.org/wiki/Olivier_Shoenfelder) [65] [ Lyon-Villeurbanne also has a basketball team, ASVEL, that plays at](https://en.wikipedia.org/wiki/ASVEL_Basket)\n\n[the Astroballe arena.](https://en.wikipedia.org/wiki/Astroballe)\n\n[Since 2000, Birdy Kids, a group of graffiti artists from the city, has decorated several](https://en.wikipedia.org/wiki/Birdy_Kids)\n\nrandom buildings and walls along the Lyon ring road. In 2012, the artist collective\n\nwas chosen to represent the city as its cultural ambassadors. [66]\n\nThe population of the city (commune) of Lyon proper was 522,250 at the January 2021 census. [15] As of 2011, 14% of its\n\npopulation was born outside Metropolitan France. [67]\n\n| Population of Lyon (commune) (within 2020 borders) Year Pop. ±% p.a. 1801 101,760 — 1806 114,643 +2.41% 1821 149,611 +1.79% 1831 182,668 +2.02% 1836 198,683 +1.60% 1841 206,670 +0.79% 1846 238,466 +2.86% 1851 259,220 +1.68% 1856 293,743 +2.66% 1861 320,326 +1.72% 1866 325,219 +0.30% 1872 324,590 −0.03% Year Pop. ±% p.a. 1876 344,513 +1.33% 1881 378,581 +1.84% 1886 404,172 +1.45% 1891 440,315 +1.78% 1896 468,311 +1.25% 1901 461,687 −0.29% 1906 474,652 +0.56% 1911 462,248 −0.53% 1921 462,446 +0.00% 1926 463,125 +0.03% 1931 463,647 +0.02% 1936 463,061 −0.03% Year Pop. ±% p.a. 1946 464,104 +0.02% 1954 475,343 +0.29% 1962 535,746 +1.54% 1968 527,800 −0.25% 1975 456,716 −2.06% 1982 413,095 −1.42% 1990 415,487 +0.07% 1999 445,452 +0.78% 2010 484,344 +0.78% 2015 513,275 +1.17% 2021 522,250 +0.29% |\n|:---|\n| All figures come from population censuses. Figures from 1911 to 1936 (incl.) are the redressed figures calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at the time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and remain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is the one published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate was smaller than 10,000. Source: EHESS [69] and INSEE [15] |\n\nThe city of Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected\n\nmetropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021. [16]\n\n##### **Population of Lyon (metropolis)**\n\n**(59 communes, within 2020 borders)**\n\n##### **Year Pop. ±% p.a.**\n\n**1861** 418,515 —\n\n**1866** 427,522 +0.43%\n\n**1872** 426,552 −0.04%\n\n**1876** 453,540 +1.37%\n\n**1881** 493,778 +1.66%\n\n**1886** 527,621 +1.47%\n\n**1891** 566,115 +1.46%\n\n**1896** 600,881 +1.21%\n\n**1901** 608,856 +0.26%\n\n##### **Year Pop. ±% p.a.**\n\n**1906** 627,073 +0.60%\n\n**1911** 629,931 +0.09%\n\n**1921** 659,007 +0.45%\n\n**1926** 691,446 +0.97%\n\n**1931** 743,297 +1.46%\n\n**1936** 738,220 −0.14%\n\n**1946** 746,062 +0.11%\n\n**1954** 790,662 +0.71%\n\n**1962** 947,569 +2.34%\n\n##### **Year Pop. ±% p.a.**\n\n**1968** 1,077,794 +2.17%\n\n**1975** 1,153,402 +0.98%\n\n**1982** 1,138,718 −0.18%\n\n**1990** 1,166,797 +0.30%\n\n**1999** 1,199,589 +0.31%\n\n**2010** 1,296,166 +0.72%\n\n**2015** 1,370,678 +1.12%\n\n**2021** 1,424,069 +0.64%\n\n#### **Street art**\n\n### **Demographics**",
- "page_start": 16,
- "page_end": 16,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "Foreign-born population in Lyon by\n\ncountry of birth [72]\n\n| Country of birth | Population (2020) |\n|:---|:---|\n| Algeria | 14,779 |\n| Morocco | 5,245 |\n| Tunisia | 4,879 |\n| Italy | 3,351 |\n| Portugal | 3,068 |\n| Spain | 2,064 |\n| DR Congo | 1,520 |\n| China | 1,429 |\n| Cameroon | 1,364 |\n| Senegal | 1,198 |\n\n[ENS Lyon: René Descartes](https://en.wikipedia.org/wiki/ENS_Lyon)\n\ncampus\n\n[Lyon 3: Manufacture des Tabacs](https://en.wikipedia.org/wiki/Jean_Moulin_University)\n\ncampus\n\nAll figures come from population censuses. Figures from 1911 to 1936 (incl.) are computed using the redressed figures for the\n\n[commune of Lyon calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at](https://en.wikipedia.org/wiki/INSEE)\n\nthe time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and\n\nremain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is computed using the figure for the commune of\n\nLyon published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate\n\nwas smaller than 10,000.\n\nSource: EHESS [70] and INSEE [71]\n\n[École Centrale de Lyon;](https://en.wikipedia.org/wiki/%C3%89cole_centrale_de_Lyon)\n\n[École Normale Supérieure de Lyon](https://en.wikipedia.org/wiki/%C3%89cole_Normale_Sup%C3%A9rieure_de_Lyon)\n\n[EM Lyon (École de Management de Lyon);](https://en.wikipedia.org/wiki/%C3%89cole_de_management_de_Lyon)\n\nECE Lyon (École de Commerce Européenne de Lyon);\n\n[Institut d'études politiques de Lyon (Sciences Po Lyon);](https://en.wikipedia.org/wiki/Institut_d%27%C3%A9tudes_politiques_de_Lyon)\n\n[CPE Lyon;](https://en.wikipedia.org/wiki/%C3%89cole_sup%C3%A9rieure_de_chimie_physique_%C3%A9lectronique_de_Lyon)\n\n[CNSMD (Conservatoire national supérieur de musique et de danse de](https://en.wikipedia.org/wiki/Conservatoire_national_sup%C3%A9rieur_de_musique_et_de_danse_de_Lyon)\n\nLyon)\n\n[ECAM Lyon (École Catholique d'Arts et Métiers de Lyon);](https://en.wikipedia.org/wiki/%C3%89cole_Catholique_des_Arts_et_M%C3%A9tiers)\n\n[EPITECH;](https://en.wikipedia.org/wiki/EPITECH)\n\n[EPITA;](https://en.wikipedia.org/wiki/EPITA)\n\n[ENTPE (École Nationale des Travaux Publiques de l'État);](https://en.wikipedia.org/wiki/%C3%89cole_nationale_des_travaux_publics_de_l%27%C3%89tat)\n\n[École nationale vétérinaire de Lyon (ENVL);](https://en.wikipedia.org/wiki/%C3%89cole_nationale_v%C3%A9t%C3%A9rinaire_de_Lyon)\n\n[ESME-Sudria;](https://en.wikipedia.org/wiki/ESME-Sudria)\n\n[École des Beaux-Arts;](https://en.wikipedia.org/wiki/%C3%89cole_des_Beaux-Arts)\n\n[E-Artsup;](https://en.wikipedia.org/wiki/E-Artsup)\n\n[INSA Lyon (Institut National des Sciences Appliquées de Lyon);](https://en.wikipedia.org/wiki/Institut_national_des_sciences_appliqu%C3%A9es_de_Lyon)\n\n[Polytech Lyon;](https://en.wikipedia.org/wiki/%C3%89cole_polytechnique_universitaire_de_l%27universit%C3%A9_Lyon-I)\n\n[Institut supérieur européen de gestion group;](https://en.wikipedia.org/wiki/Institut_sup%C3%A9rieur_europ%C3%A9en_de_gestion_group)\n\n[ISARA (Institut Supérieur d'Agriculture Rhône Alpes);](https://en.wikipedia.org/wiki/Institut_sup%C3%A9rieur_d%27agriculture_Rh%C3%B4ne-Alpes)\n\n[Institution des Chartreux;](https://en.wikipedia.org/wiki/Institution_des_Chartreux)\n\n[Institut polytechnique des sciences avancées;](https://en.wikipedia.org/wiki/Institut_polytechnique_des_sciences_avanc%C3%A9es)\n\n[Université Claude Bernard (Lyon 1);](https://en.wikipedia.org/wiki/Claude_Bernard_University_Lyon_1)\n\n[Université Lumière (Lyon 2);](https://en.wikipedia.org/wiki/Lumi%C3%A8re_University_Lyon_2)\n\n[Université Jean Moulin (Lyon 3);](https://en.wikipedia.org/wiki/Jean_Moulin_University_Lyon_3)\n\n[IAE (Institut d'Administration des Entreprises de Lyon);](https://en.wikipedia.org/wiki/IAE_Jean_Moulin_University_Lyon_3)\n\n[Institut Sup'Biotech de Paris;](https://en.wikipedia.org/wiki/Institut_Sup%27Biotech_de_Paris)\n\n[Catholic University of Lyon;](https://en.wikipedia.org/wiki/Catholic_University_of_Lyon)\n\n[ESDES Business School;](https://en.wikipedia.org/wiki/ESDES)\n\nIDRAC (International School of Management);\n\n[Wesford Graduate Business School;](https://en.wikipedia.org/wiki/Wesford)\n\nIFAG (Business Management School);\n\n[Institut supérieur européen de formation par l'action;](https://en.wikipedia.org/wiki/Institut_sup%C3%A9rieur_europ%C3%A9en_de_formation_par_l%27action)\n\n[Le Lycée du Parc;](https://en.wikipedia.org/wiki/Lyc%C3%A9e_du_Parc)\n\n[La Martinière Lyon;](https://en.wikipedia.org/wiki/La_Martini%C3%A8re_Lyon)\n\n[Web@cademie;](https://en.wikipedia.org/wiki/Web@cademie)\n\nCEESO (Centre Européen d'Enseignement Supérieur de l'Ostéopathie);\n\n#### **Foreign-born**\n\n### **Education**\n\n#### **Universities and tertiary education**",
- "page_start": 17,
- "page_end": 17,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "| Coordinates: 45°46′N 4°50′E Lyon Lyon |\n|:---|\n| Country France Region Auvergne-Rhône-Alpes Metropolis Lyon Metropolis Arrondissement Lyon |\n| Subdivisions 9 arrondissements |\n| Government - Mayor (2020- 2026) Grégory Doucet [2] (EELV) |\n| Area 1 47.87 km 2 (18.48 sq mi) - Urban (2020 [3] ) 1,141.4 km 2 (440.7 sq mi) - Metro (2020 [4] ) 4,605.8 km 2 (1,778.3 sq mi) |\n\n**Population** (2022) [5] 520,774\n\n**- Rank** [3rd in France](https://en.wikipedia.org/wiki/List_of_communes_in_France_with_over_20,000_inhabitants)\n\n**- Density** 11,000/km 2\n\n(28,000/sq mi)\n\n**[ - Urban](https://en.wikipedia.org/wiki/Urban_area)** (Jan.\n\n2021 [6] )\n\n1,702,921\n\n**- Urban density** 1,500/km 2 (3,900/sq mi)\n\n**[ - Metro](https://en.wikipedia.org/wiki/Metropolitan_area)** (Jan.\n\n2021 [7] )\n\n2,308,818\n\nThe name of the city has taken the forms *Lugdon* , *Luon* , and since the\n\n13th century, *Lyon* . The Gallic *Lugdun* or *Lugdunon* that was Latinized\n\n[in Roman as Lugdunum is composed of two words. The first may be the](https://en.wikipedia.org/wiki/Lugdunum)\n\n[name of the Celtic god Lug (in charge of order and law), or the derived](https://en.wikipedia.org/wiki/Lugh)\n\nword *lugon* , meaning \"crow\" (the crow being the messenger of Lug), but\n\nmight also be another word *lug* , meaning \"light\". The second is *dunos*\n\n[('fortress', 'hill'). The name thus may designate the hill of Fourvière, on](https://en.wikipedia.org/wiki/Fourvi%C3%A8re)\n\nwhich the ancient city of Lyon is founded, but could mean \"hill of the\n\ngod Lug\", \"hill of the crows\" or \"shining hill\". [21] [22]\n\n[Alternatively Julius Pokorny associates the first part of the word with](https://en.wikipedia.org/wiki/Julius_Pokorny)\n\nthe Indo-European radical * *lūg* ('dark, black, swamp'), the basis of the\n\n[toponyms Ludza in Latvia, Lusatia in Germany (from Sorbian ](https://en.wikipedia.org/wiki/Sorbian_language) *Łužica* ),\n\nand several places in the Czech Republic named Lužice; [23] it could then\n\n[also be compared to Luze in Franche-Comté and various hydronyms](https://en.wikipedia.org/wiki/Luze,_Haute-Sa%C3%B4ne)\n\n[such as Louge.](https://en.wikipedia.org/wiki/Louge)\n\nFurther down, in the current Saint-Vincent district, was the Gallic\n\nvillage of Condate, probably a simple hamlet of sailors or fishermen\n\nliving on the banks of the Saône. *Condate* is a Gallic word meaning\n\n\"confluence\", from which the Confluence district gets its name.\n\n[In Roman times the city was called ](https://en.wikipedia.org/wiki/History_of_Lyon#Antiquity) *Caput Galliæ* , meaning \"capital of\n\n[the Gauls\". As an homage to this title, the Archbishop of Lyon is still](https://en.wikipedia.org/wiki/Roman_Catholic_Archdiocese_of_Lyon)\n\ncalled the Primate of Gaul.\n\nDuring the revolutionary period, Lyon was renamed *Commune-*\n\n*Affranchie* [ (\"Emancipated Commune\") on 12 October 1793 by a decree](https://en.wikipedia.org/wiki/Commune_(France))\n\n[of the Convention Nationale. It resumed its name in 1794, after the end](https://en.wikipedia.org/wiki/National_Convention)\n\n[of the Terror.](https://en.wikipedia.org/wiki/Reign_of_Terror)\n\nLyon is called *Liyon* [ in Franco-Provençal.](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al) [24]\n\n[According to the historian Dio Cassius, in 43 BC, the Roman Senate](https://en.wikipedia.org/wiki/Roman_Senate)\n\nordered the creation of a settlement for Roman refugees of war with the\n\n[Allobroges. These refugees had been expelled from Vienne and were](https://en.wikipedia.org/wiki/Vienne,_Isere)\n\n[now encamped at the confluence of the Saône and Rhône rivers. The](https://en.wikipedia.org/wiki/Rh%C3%B4ne)\n\nfoundation was built on Fourvière hill and officially called *Colonia*\n\n*Copia Felix Munatia* , a name invoking prosperity and the blessing of the\n\ngods. The city became increasingly referred to as *Lugdunum* (and\n\noccasionally *Lugudunum* [25] ). [26] The earliest translation of this Gaulish\n\nplace-name as \"Desired Mountain\" is offered by the 9th-century\n\n*[Endlicher Glossary](https://en.wikipedia.org/w/index.php?title=Endlicher_Glossary&action=edit&redlink=1)* . [27] In contrast, some modern scholars have\n\n[proposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god](https://en.wikipedia.org/wiki/Celtic_mythology)\n\n[Lugus (cognate with Old Irish ](https://en.wikipedia.org/wiki/Irish_language) *Lugh* , Modern Irish *Lú* ), and *dúnon* (hill-\n\nfort).\n\nThe Romans recognised that Lugdunum's strategic location at the\n\nconvergence of two navigable rivers made it a natural communications\n\n[hub. The city became the starting point of main Roman roads in the](https://en.wikipedia.org/wiki/Roman_roads)\n\n[area, and it quickly became the capital of the province, Gallia](https://en.wikipedia.org/wiki/Gallia_Lugdunensis)\n\n[Lugdunensis. Two Emperors were born in this city: Claudius, whose](https://en.wikipedia.org/wiki/Claudius)\n\n[speech is preserved in the Lyon Tablet in which he justifies the](https://en.wikipedia.org/wiki/Lyon_Tablet)\n\n[nomination of Gallic Senators, and Caracalla.](https://en.wikipedia.org/wiki/Caracalla)\n\n#### **Ancient Lyon**",
- "page_start": 1,
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- },
- {
- "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 19.1 (66.4) | 21.9 (71.4) | 26.0 (78.8) | 30.1 (86.2) | 34.2 (93.6) | 38.4 (101.1) | 40.4 (104.7) | 41.4 (106.5) | 35.8 (96.4) | 28.4 (83.1) | 23.0 (73.4) | 20.2 (68.4) | 41.4 (106.5) |\n| Mean daily maximum °C (°F) | 7.1 (44.8) | 9.0 (48.2) | 13.8 (56.8) | 17.4 (63.3) | 21.5 (70.7) | 25.6 (78.1) | 28.2 (82.8) | 28.0 (82.4) | 23.1 (73.6) | 17.7 (63.9) | 11.4 (52.5) | 7.7 (45.9) | 17.5 (63.5) |\n| Daily mean °C (°F) | 4.1 (39.4) | 5.2 (41.4) | 9.0 (48.2) | 12.3 (54.1) | 16.3 (61.3) | 20.3 (68.5) | 22.6 (72.7) | 22.3 (72.1) | 17.9 (64.2) | 13.7 (56.7) | 8.1 (46.6) | 4.8 (40.6) | 13.0 (55.4) |\n| Mean daily minimum °C (°F) | 1.1 (34.0) | 1.4 (34.5) | 4.2 (39.6) | 7.2 (45.0) | 11.2 (52.2) | 15.0 (59.0) | 17.0 (62.6) | 16.6 (61.9) | 12.8 (55.0) | 9.6 (49.3) | 4.9 (40.8) | 2.0 (35.6) | 8.6 (47.5) |\n| Record low °C (°F) | −23.0 (−9.4) | −22.5 (−8.5) | −10.5 (13.1) | −4.4 (24.1) | −3.8 (25.2) | 2.3 (36.1) | 6.1 (43.0) | 4.6 (40.3) | 0.2 (32.4) | −4.5 (23.9) | −9.4 (15.1) | −24.6 (−12.3) | −24.6 (−12.3) |\n| Average precipitation mm (inches) | 49.8 (1.96) | 41.6 (1.64) | 49.4 (1.94) | 68.9 (2.71) | 80.9 (3.19) | 74.1 (2.92) | 67.4 (2.65) | 65.5 (2.58) | 82.5 (3.25) | 99.8 (3.93) | 87.2 (3.43) | 53.7 (2.11) | 820.8 (32.31) |\n| Average precipitation days (≥ 1.0 mm) | 8.1 | 7.9 | 8.4 | 9.0 | 10.3 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| Mean monthly sunshine hours | 71.1 | 102.4 | 173.7 | 197.7 | 223.8 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] |\n| Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] |",
- "page_start": 5,
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- "text": "| Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 16.3 (61.3) | 21.4 (70.5) | 25.7 (78.3) | 28.0 (82.4) | 29.4 (84.9) | 34.4 (93.9) | 39.8 (103.6) | 37.1 (98.8) | 33.8 (92.8) | 28.4 (83.1) | 22.6 (72.7) | 20.2 (68.4) | 39.8 (103.6) |\n| Mean maximum °C (°F) | 10.2 (50.4) | 14.4 (57.9) | 15.9 (60.6) | 18.6 (65.5) | 23.1 (73.6) | 28.8 (83.8) | 32.8 (91.0) | 28.1 (82.6) | 27.3 (81.1) | 19.7 (67.5) | 14.1 (57.4) | 9.5 (49.1) | 32.8 (91.0) |\n| Mean daily maximum °C (°F) | 6.1 (43.0) | 8.2 (46.8) | 11.6 (52.9) | 15.2 (59.4) | 19.1 (66.4) | 22.9 (73.2) | 26.1 (79.0) | 26.0 (78.8) | 22.4 (72.3) | 17.1 (62.8) | 10.0 (50.0) | 6.4 (43.5) | 15.9 (60.7) |\n| Daily mean °C (°F) | 3.0 (37.4) | 4.9 (40.8) | 7.4 (45.3) | 10.2 (50.4) | 14.0 (57.2) | 17.6 (63.7) | 20.6 (69.1) | 20.0 (68.0) | 17.1 (62.8) | 12.7 (54.9) | 6.7 (44.1) | 3.9 (39.0) | 11.5 (52.7) |\n| Mean daily minimum °C (°F) | 0.2 (32.4) | 1.4 (34.5) | 2.9 (37.2) | 5.2 (41.4) | 9.1 (48.4) | 12.5 (54.5) | 14.8 (58.6) | 14.4 (57.9) | 11.7 (53.1) | 8.3 (46.9) | 3.5 (38.3) | 0.7 (33.3) | 7.1 (44.7) |\n| Mean minimum °C (°F) | −7.0 (19.4) | −4.7 (23.5) | −1.4 (29.5) | 3.2 (37.8) | 7.6 (45.7) | 10.9 (51.6) | 13.1 (55.6) | 12.9 (55.2) | 8.1 (46.6) | 4.5 (40.1) | 1.0 (33.8) | −4.7 (23.5) | −7.0 (19.4) |\n| Record low °C (°F) | −23.0 (−9.4) | −19.3 (−2.7) | −10.5 (13.1) | −3.2 (26.2) | −0.3 (31.5) | 3.6 (38.5) | 6.1 (43.0) | 5.2 (41.4) | 1.9 (35.4) | −3.2 (26.2) | −7.1 (19.2) | −16.0 (3.2) | −23.0 (−9.4) |\n| Average precipitation mm (inches) | 54.0 (2.13) | 53.8 (2.12) | 72.2 (2.84) | 56.1 (2.21) | 72.6 (2.86) | 73.2 (2.88) | 54.5 (2.15) | 71.6 (2.82) | 53.2 (2.09) | 56.2 (2.21) | 68.0 (2.68) | 55.8 (2.20) | 741.2 (29.19) |\n| Average precipitation days (≥ 1.0 mm) | 10.4 | 9.3 | 9.7 | 9.6 | 10.9 | 8.2 | 6.8 | 8.2 | 7.3 | 8.5 | 8.9 | 9.8 | 107.6 |\n| Average snowy days | 5.5 | 3.9 | 2.5 | 1.1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 2.0 | 4.6 | 19.6 |\n| Average relative humidity (%) | 84 | 80 | 74 | 71 | 72 | 70 | 65 | 70 | 76 | 82 | 84 | 86 | 76 |\n| Mean monthly sunshine hours | 62.6 | 89.8 | 147.5 | 184.2 | 215.9 | 250.9 | 292.6 | 259.0 | 208.1 | 134.3 | 75.3 | 55.4 | 1,975.6 |\n| Percent possible sunshine | 23 | 31 | 41 | 46 | 47 | 54 | 62 | 60 | 56 | 40 | 27 | 21 | 42 |\n| Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] |\n| Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] |\n\n[Like Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each](https://en.wikipedia.org/wiki/Municipal_arrondissements_of_France)\n\nof which is identified by a number and has its own council and town hall. Five arrondissements were originally created in\n\n[1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between](https://en.wikipedia.org/wiki/Neighbourhood)\n\n1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three\n\ntimes, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to\n\nLyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th - and, to date, final -\n\narrondissement. Within each arrondissement, the recognisable *quartiers* or neighbourhoods are:\n\n[1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent](https://en.wikipedia.org/wiki/Place_des_Terreaux)\n\n### **Administration**\n\n#### **Commune**",
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- "text": "| Lyon Liyon (Arpitan) |\n|:---|\n| Prefecture and commune |\n| Skyline of Lyon in La Part-Dieu Basilica of Notre- Dame de Fourvière Place des Terreaux with the Fontaine Bartholdi Parc de la Tête d'or Confluence District Vieux Lyon Pont Lafayette |\n| Flag Coat of arms |\n\nMotto(s): *Avant, avant, Lion le melhor*\n\n[(old Franco-Provençal for \"Forward, forward,](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al_language)\n\nLyon the best\") [a]\n\n*Virtute duce, comite fortuna*\n\n(\"With virtue as guide and fortune as\n\ncompanion\") [b]\n\n**Location of Lyon**\n\n## **Lyon**\n\n**Lyon** [c] [ (Franco-Provençal: ](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al) *Liyon* [) is the second-largest city in France](https://en.wikipedia.org/wiki/France)\n\nby urban area and the third largest by city limits. [14] It is located at the\n\n[confluence of the rivers Rhône and Saône, to the northwest of the](https://en.wikipedia.org/wiki/Sa%C3%B4ne)\n\n[French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north](https://en.wikipedia.org/wiki/Paris)\n\n[of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km](https://en.wikipedia.org/wiki/Geneva)\n\n[(36 mi) northeast of Saint-Étienne.](https://en.wikipedia.org/wiki/Saint-%C3%89tienne)\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census\n\nwithin its small municipal territory of 48 km 2 (19 sq mi), [15] but\n\n[together with its suburbs and exurbs the Lyon metropolitan area had a](https://en.wikipedia.org/wiki/Functional_area_(France))\n\npopulation of 2,308,818 that same year, [7] the second most populated in\n\nFrance. Lyon and 58 suburban municipalities have formed since 2015\n\n[the Metropolis of Lyon, a directly elected metropolitan authority now in](https://en.wikipedia.org/wiki/Lyon_Metropolis)\n\ncharge of most urban issues, with a population of 1,424,069 in 2021. [16]\n\n[Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of](https://en.wikipedia.org/wiki/Regions_of_France)\n\n[the Departmental Council of Rhône (whose jurisdiction, however, no](https://en.wikipedia.org/wiki/Rh%C3%B4ne_(department))\n\nlonger extends over the Metropolis of Lyon since 2015).\n\n[The capital of the Gauls during the Roman Empire, Lyon is the seat of](https://en.wikipedia.org/wiki/Roman_Empire)\n\n[an archbishopric whose holder bears the title of Primate of the Gauls.](https://en.wikipedia.org/wiki/Roman_Catholic_Archdiocese_of_Lyon)\n\n[Lyon became a major economic hub during the Renaissance. The city is](https://en.wikipedia.org/wiki/French_Renaissance)\n\n[recognised for its cuisine and gastronomy, as well as historical and](https://en.wikipedia.org/wiki/Gastronomy)\n\n[architectural landmarks; as such, the districts of Old Lyon, the Fourvière](https://en.wikipedia.org/wiki/Fourvi%C3%A8re)\n\n[hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on](https://en.wikipedia.org/wiki/La_Croix-Rousse)\n\n[the UNESCO World Heritage List. Lyon was historically an important](https://en.wikipedia.org/wiki/World_Heritage_Site)\n\narea for the production and weaving of silk. Lyon played a significant\n\n[role in the history of cinema since Auguste and Louis Lumière invented](https://en.wikipedia.org/wiki/Auguste_and_Louis_Lumi%C3%A8re)\n\n[the cinematograph there. The city is also known for its light festival, the](https://en.wikipedia.org/wiki/Cinematograph)\n\n[Fête des lumières, which begins every 8 December and lasts for four](https://en.wikipedia.org/wiki/Festival_of_Lights_(Lyon))\n\ndays, earning Lyon the title of \"Capital of Lights\".\n\n[Economically, Lyon is a major centre for banking, chemical,](https://en.wikipedia.org/wiki/Chemical)\n\n[pharmaceutical and biotech industries. The city contains a significant](https://en.wikipedia.org/wiki/Biotechnology)\n\nsoftware industry with a particular focus on video games; in recent years\n\nit has fostered a growing local start-up sector. [17] The home of renowned\n\nuniversities and higher education schools, Lyon is the second-largest\n\nstudent city in France, with a university population of nearly 200,000\n\nstudents within the Metropolis of Lyon. [18] Lyon hosts the international\n\n[headquarters of Interpol, the International Agency for Research on](https://en.wikipedia.org/wiki/International_Agency_for_Research_on_Cancer)\n\n[Cancer, as well as Euronews. According to the Globalization and World](https://en.wikipedia.org/wiki/Globalization_and_World_Cities_Research_Network)\n\n[Rankings Research Institute, Lyon is considered a Beta city, as of](https://en.wikipedia.org/wiki/Global_city)\n\n2018. [19] It ranked second in France and 40th globally in Mercer's 2019\n\n[liveability rankings.](https://en.wikipedia.org/wiki/List_of_cities_by_quality_of_living) [20]\n\n### **History**\n\n#### **Toponymy**",
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- },
- {
- "text": "[Frankfurt, Germany, since 1960](https://en.wikipedia.org/wiki/Frankfurt)\n\n[Gothenburg, Sweden](https://en.wikipedia.org/wiki/Gothenburg_Municipality)\n\n[Guangzhou, China, since 1988](https://en.wikipedia.org/wiki/Guangzhou)\n\n[Haute Matsiatra, Madagascar](https://en.wikipedia.org/wiki/Haute_Matsiatra)\n\n[Ho Chi Minh City, Vietnam, since 1997](https://en.wikipedia.org/wiki/Ho_Chi_Minh_City)\n\n[Jericho, Palestine](https://en.wikipedia.org/wiki/Jericho)\n\n[Leipzig, Germany, since 1981](https://en.wikipedia.org/wiki/Leipzig)\n\n[Łódź, Poland, since 1991](https://en.wikipedia.org/wiki/%C5%81%C3%B3d%C5%BA)\n\n[Melbourne, Australia](https://en.wikipedia.org/wiki/Melbourne)\n\n[Milan, Italy, since 1966](https://en.wikipedia.org/wiki/Milan)\n\n[Montreal, Canada, since 1979](https://en.wikipedia.org/wiki/Montreal)\n\n[Oran, Algeria](https://en.wikipedia.org/wiki/Oran)\n\n[Osaka, Japan, since 1984](https://en.wikipedia.org/wiki/Osaka)\n\n[Ouagadougou, Burkina Faso](https://en.wikipedia.org/wiki/Ouagadougou)\n\n[Porto-Novo, Benin](https://en.wikipedia.org/wiki/Porto-Novo)\n\n[Rabat, Morocco](https://en.wikipedia.org/wiki/Rabat)\n\n[St. Louis, United States](https://en.wikipedia.org/wiki/St._Louis) [85]\n\n[Saint Petersburg, Russia](https://en.wikipedia.org/wiki/Saint_Petersburg)\n\n[Sétif, Algeria](https://en.wikipedia.org/wiki/S%C3%A9tif)\n\n[Tinca, Romania](https://en.wikipedia.org/wiki/Tinca)\n\n[Turin, Italy](https://en.wikipedia.org/wiki/Turin)\n\n[Yerevan, Armenia, since 1992](https://en.wikipedia.org/wiki/Yerevan)\n\n[Yokohama, Japan, since 1959](https://en.wikipedia.org/wiki/Yokohama)\n\n* **[Geography portal](https://en.wikipedia.org/wiki/Portal:Geography)** *\n\n* **[Europe portal](https://en.wikipedia.org/wiki/Portal:Europe)** *\n\n* **[European Union](https://en.wikipedia.org/wiki/Portal:European_Union)** *\n\n* **[portal](https://en.wikipedia.org/wiki/Portal:European_Union)** *\n\n* **[France portal](https://en.wikipedia.org/wiki/Portal:France)** *\n\n[List of films set in Lyon](https://en.wikipedia.org/wiki/List_of_films_set_in_Lyon)\n\n[List of streets and squares in Lyon](https://en.wikipedia.org/wiki/List_of_streets_and_squares_in_Lyon)\n\n[Mères of France](https://en.wikipedia.org/wiki/M%C3%A8res_of_France)\n\n[Montchat](https://en.wikipedia.org/wiki/Montchat)\n\n[Occupation of Saint-Nizier church by Lyon prostitutes](https://en.wikipedia.org/wiki/Occupation_of_Saint-Nizier_church_by_Lyon_prostitutes)\n\na. A war cry from 1269, spelt in modern Franco-Provençal as *Avant, Avant, Liyon lo mèlyor* .\n\n[b. Quote from a letter of Cicero to Lucius Munatius Plancus, founder of the city.](https://en.wikipedia.org/wiki/Cicero) [1]\n\n[c. Pronunciation: UK: /](https://en.wikipedia.org/wiki/British_English) ˈ li [ːɒ̃](https://en.wikipedia.org/wiki/Help:IPA/English) /, [8][9] [ US: /li](https://en.wikipedia.org/wiki/Help:IPA/English) ˈ o ʊ n/ *[lee-](https://en.wikipedia.org/wiki/Help:Pronunciation_respelling_key)* *OHN* ; [10][11] French: [lj [ɔ̃](https://en.wikipedia.org/wiki/Help:IPA/French) [] ](https://upload.wikimedia.org/wikipedia/commons/transcoded/3/3b/Fr-Lyon.ogg/Fr-Lyon.ogg.mp3) [ⓘ](https://en.wikipedia.org/wiki/File:Fr-Lyon.ogg) ; formerly spelled in English as\n\n*Lyons* (/ ˈ la [ɪə](https://en.wikipedia.org/wiki/Help:IPA/English) nz/ *[LY](https://en.wikipedia.org/wiki/Help:Pronunciation_respelling_key)* *-* ə *nz* ). [11][12] [ Arpitan: ](https://en.wikipedia.org/wiki/Arpitan_language) *Liyon* [ ʎ j [ɔ̃](https://en.wikipedia.org/wiki/Help:IPA/Franco-Proven%C3%A7al) []; Occitan: ](https://en.wikipedia.org/wiki/Occitan_language) *Lion* , hist. *Lionés* . [13]\n\n[d. Constant PPP US dollars, base year 2015.](https://en.wikipedia.org/wiki/Purchasing_power_parity)\n\n[1. \"Cicero\" (http://www.thelatinlibrary.com/cicero/fam10.shtml#3). ](http://www.thelatinlibrary.com/cicero/fam10.shtml#3) *Epistulae ad familiares, X.3* . Retrieved\n\n2 January 2020.\n\n[2. \"Répertoire national des élus: les maires\" (https://www.data.gouv.fr/fr/datasets/r/2876a346-d50c-4911-934e-1](https://www.data.gouv.fr/fr/datasets/r/2876a346-d50c-4911-934e-19ee07b0e503)\n\n[9ee07b0e503) (in French). data.gouv.fr, Plateforme ouverte des données publiques françaises. 13 September](https://www.data.gouv.fr/fr/datasets/r/2876a346-d50c-4911-934e-19ee07b0e503)\n\n2022.\n\n[3. \"Comparateur de territoire - Unité urbaine 2020 de Lyon (00760)\" (https://www.insee.fr/fr/statistiques/140559](https://www.insee.fr/fr/statistiques/1405599?geo=UU2020-00760)\n\n[9?geo=UU2020-00760). INSEE. Retrieved 3 April 2022.](https://en.wikipedia.org/wiki/INSEE)\n\n[4. \"Comparateur de territoire - Aire d'attraction des villes 2020 de Lyon (002)\" (https://www.insee.fr/fr/statistique](https://www.insee.fr/fr/statistiques/1405599?geo=AAV2020-002)\n\n[s/1405599?geo=AAV2020-002). INSEE. Retrieved 16 January 2023.](https://en.wikipedia.org/wiki/INSEE)\n\n[5. \"Populations de référence 2022\" (https://www.insee.fr/fr/statistiques/8288323?geo=COM-69123) (in French).](https://www.insee.fr/fr/statistiques/8288323?geo=COM-69123)\n\n[The National Institute of Statistics and Economic Studies. 19 December 2024.](https://en.wikipedia.org/wiki/Institut_national_de_la_statistique_et_des_%C3%A9tudes_%C3%A9conomiques)\n\n### **Notable people**\n\n### **See also**\n\n### **Notes**\n\n### **References**",
- "page_start": 20,
- "page_end": 20,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "**- Metro density** 500/km 2 (1,300/sq mi)\n\n| Time zone UTC+01:00 (CET) - Summer (DST) UTC+02:00 (CEST) |\n|:---|\n| INSEE/Postal code 69123 (https://www.inse e.fr/fr/statistiques/14055 99?geo=COM-69123) /69001-69009 |\n| Elevation 162- 349 m (531- 1,145 ft) |\n| Website lyon.fr (https://www.lyon. fr/) |\n| 1 French Land Register data, which excludes lakes, ponds, glaciers > 1 km 2 (0.386 sq mi or 247 acres) and river estuaries. |\n\n**Timeline of Lyon**\n\n**Historical affiliations**\n\n[ Roman Empire (Gallia Lugdunensis), 43](https://en.wikipedia.org/wiki/Roman_Empire)\n\nBC-286\n\nWestern [Roman ](https://en.wikipedia.org/wiki/Western_Roman_Empire) Empire (Gallia\n\nLugdunensis), 286-411\n\n[ Kingdom of the Burgundians, 411- 534](https://en.wikipedia.org/wiki/Kingdom_of_the_Burgundians)\n\n[ Francia, 534- 843](https://en.wikipedia.org/wiki/Francia)\n\n[ Middle Francia, 843- 855](https://en.wikipedia.org/wiki/Middle_Francia)\n\n[ Lotharingia, 855- 879](https://en.wikipedia.org/wiki/Lotharingia)\n\n[ Lower Burgundy, 879-933](https://en.wikipedia.org/wiki/Lower_Burgundy)\n\n[ Kingdom of Arles, 933- 1312](https://en.wikipedia.org/wiki/Kingdom_of_Arles)\n\n[ Kingdom of France (Lyonnais), 1312- ](https://en.wikipedia.org/wiki/Lyonnais)\n\n1792\n\n[ French First Republic, 1792- 1793](https://en.wikipedia.org/wiki/French_First_Republic)\n\n[ Counter-revolutionary, 1793](https://en.wikipedia.org/wiki/Revolt_of_Lyon_against_the_National_Convention)\n\n[ French First Republic, 1793- 1804](https://en.wikipedia.org/wiki/French_First_Republic)\n\n[ First French Empire, 1804- 1814](https://en.wikipedia.org/wiki/First_French_Empire)\n\n[ Kingdom of France, 1814- 1815](https://en.wikipedia.org/wiki/Bourbon_Restoration_in_France)\n\n[ First French Empire, 1815](https://en.wikipedia.org/wiki/First_French_Empire)\n\n[ Kingdom of France, 1815- 1830](https://en.wikipedia.org/wiki/Bourbon_Restoration_in_France)\n\n[ Kingdom of France, 1830- 1848](https://en.wikipedia.org/wiki/July_Monarchy)\n\n[ French Second Republic, 1848- 1852](https://en.wikipedia.org/wiki/French_Second_Republic)\n\n[ Second French Empire, 1852- 1870](https://en.wikipedia.org/wiki/Second_French_Empire)\n\n[ French Third Republic, 1870- 1940](https://en.wikipedia.org/wiki/French_Third_Republic)\n\n[ Vichy France, 1940- 1944](https://en.wikipedia.org/wiki/Vichy_France)\n\n[ French Fourth Republic, 1944- 1958](https://en.wikipedia.org/wiki/French_Fourth_Republic)\n\n[ France, 1958- present](https://en.wikipedia.org/wiki/France)\n\n[The Roman-era Theatre on the](https://en.wikipedia.org/wiki/Ancient_Theatre_of_Fourvi%C3%A8re)\n\nFourvière Hill\n\nLyon under siege in 1793\n\n[Early Christians in Lyon were martyred for their beliefs under the reigns](https://en.wikipedia.org/wiki/Early_Christians)\n\n[of various Roman emperors, most notably Marcus Aurelius and](https://en.wikipedia.org/wiki/Marcus_Aurelius)\n\n[Septimius Severus.](https://en.wikipedia.org/wiki/Septimius_Severus) [28] [ Local saints from this period include Blandina,](https://en.wikipedia.org/wiki/Blandina)\n\n[Pothinus, and Epipodius, among others. The Greek Irenaeus was the](https://en.wikipedia.org/wiki/Irenaeus)\n\nsecond bishop of Lyon during the latter part of the second century. [29]\n\nTo this day, the archbishop of Lyon is still referred to as \" *[Primat des](https://en.wikipedia.org/wiki/Primate_(bishop))*\n\n*[Gaules](https://en.wikipedia.org/wiki/Primate_(bishop))* \". [30]\n\n[Burgundians fleeing the destruction of Worms by the Huns in 437 were](https://en.wikipedia.org/wiki/Huns)\n\nre-settled in eastern Gaul. In 443 the Romans established the Kingdom\n\nof the Burgundians, and Lugdunum became its capital in 461. In 843,\n\n[under the Treaty of Verdun, Lyon went to the Holy Roman Emperor](https://en.wikipedia.org/wiki/Holy_Roman_Emperor)\n\n[Lothair I. It later was made part of the Kingdom of Arles which was](https://en.wikipedia.org/wiki/Lothair_I)\n\n[incorporated into the Holy Roman Empire in 1033. Lyon did not come](https://en.wikipedia.org/wiki/Holy_Roman_Empire)\n\nunder French control until the\n\n14th century.\n\nFernand [Braudel ](https://en.wikipedia.org/wiki/Fernand_Braudel) remarked,\n\n\"Historians of Lyon are not\n\nsufficiently aware of the bi-\n\npolarity between Paris and Lyon,\n\nwhich is a constant structure in\n\nFrench development...from the\n\n[late Middle Ages to the Industrial](https://en.wikipedia.org/wiki/Industrial_Revolution)\n\n[Revolution\".](https://en.wikipedia.org/wiki/Industrial_Revolution) [31] [ In the late 15th century, the fairs introduced by Italian](https://en.wikipedia.org/wiki/Fairs)\n\n[merchants made Lyon the economic counting house of France. Even the](https://en.wikipedia.org/wiki/Counting_house)\n\n*Bourse* (treasury), built in 1749, resembled a public bazaar where\n\naccounts were settled in the open air. When international banking moved\n\n[to Genoa, then Amsterdam, Lyon remained the banking centre of](https://en.wikipedia.org/wiki/Amsterdam)\n\nFrance.\n\n[During the Renaissance, the city's development was driven by the silk](https://en.wikipedia.org/wiki/Silk_trade)\n\n[trade, which strengthened its ties to Italy. Italian influence on Lyon's](https://en.wikipedia.org/wiki/Silk_trade)\n\narchitecture is still visible among historic buildings. [32] In the late 1400s\n\nand 1500s Lyon was also a key centre of literary activity and book\n\n[publishing, both of French writers (such as Maurice Scève, Antoine](https://en.wikipedia.org/wiki/Antoine_Heroet)\n\n[Heroet, and Louise Labé) and of Italians in exile (such as Luigi](https://en.wikipedia.org/wiki/Luigi_Alamanni)\n\n[Alamanni and Gian Giorgio Trissino).](https://en.wikipedia.org/wiki/Gian_Giorgio_Trissino)\n\nIn 1572, Lyon was a scene of mass violence by Catholics against\n\n[Protestant Huguenots in the St. Bartholomew's Day Massacre. Two](https://en.wikipedia.org/wiki/St._Bartholomew%27s_Day_Massacre)\n\n[centuries later, Lyon was again convulsed by violence during the French](https://en.wikipedia.org/wiki/French_Revolution)\n\n[Revolution, when the citizenry rose up against the National Convention](https://en.wikipedia.org/wiki/French_Revolution)\n\n[and supported the Girondins. The city was besieged by Revolutionary armies for over](https://en.wikipedia.org/wiki/Girondins)\n\ntwo months before it surrendered in October 1793. Many buildings were destroyed,\n\n[especially around the Place Bellecour, and Jean-Marie Collot d'Herbois and Joseph](https://en.wikipedia.org/wiki/Joseph_Fouch%C3%A9)\n\n[Fouché administered the execution of more than 2,000 people. The Convention](https://en.wikipedia.org/wiki/Joseph_Fouch%C3%A9)\n\nordered that its name be changed to \"Liberated City\", and a plaque was erected that\n\nproclaimed \"Lyons made war on Liberty; Lyons no longer exists\". A decade later,\n\n[Napoleon ordered the reconstruction of all the buildings demolished during that](https://en.wikipedia.org/wiki/Napoleon)\n\nperiod.\n\n#### **Modern Lyon**",
- "page_start": 2,
- "page_end": 2,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "31. Braudel 1984 p. 327\n\n[32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde](https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01](https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f011](http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[50.htm) on 19 January 2011. Retrieved 3 April 2011.](http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli](https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)\n\n[sh_1). ](https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1) *Chrd.lyon.fr* [. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)](http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)\n\non 24 January 2011. Retrieved 21 December 2017.\n\n[34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal.](http://www.digitaljournal.com/article/273644)\n\n[com/article/273644). ](http://www.digitaljournal.com/article/273644) *Digitaljournal.com* .\n\n35. (in French) Georges Duby (ed), *Histoire de la France : Dynasties et révolutions, de 1348 à 1852* (vol. 2),\n\n[Larousse, 1999 p. 53 ISBN 2-03-505047-2](https://en.wikipedia.org/wiki/Special:BookSources/2-03-505047-2)\n\n[36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g](http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/getting-around/local-transport)\n\n[etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.](https://en.wikipedia.org/wiki/Lonely_Planet)\n\n[37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). ](https://whc.unesco.org/en/list/872/) *unesco.org* . UNESCO World Heritage Centre.\n\nRetrieved 31 July 2015.\n\n[38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http](https://www.jstor.org/stable/25636095)\n\n[s://www.jstor.org/stable/25636095).” ](https://www.jstor.org/stable/25636095) *Erdkunde* , vol. 8, no. 4, 1954, pp. 246- 252. *[JSTOR.](https://en.wikipedia.org/wiki/JSTOR)*\n\n[39. \"Données climatiques de la station de Lyon: Relevés de 2016 - Lyon\" (https://web.archive.org/web/20161004](https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n[055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France.](https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n[Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October](http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n2016. Retrieved 2 October 2016.\n\n[40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF).](https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf)\n\n*Fiche Climatologique: Statistiques 1991- 2020 et records* (in French). Meteo France. Retrieved 14 July 2022.\n\n[41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). ](https://www.meteo-lyon.net/records/mois/aout) *meteo-lyon.net*\n\n(in French). Météo Villes. Retrieved 7 September 2023.\n\n[42. \"Lyon- Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE](ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/REG_VI/FR/07480.TXT)\n\n[G_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm](https://archive.org/details/19611990NormalsNOAALyonBron)\n\n[alsNOAALyonBron) 8 February 2019, at the Wayback Machine](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n[43. \"Normes et records 1961- 1990: Lyon-Bron (69) - altitude 198m\" (https://web.archive.org/web/201603032035](https://web.archive.org/web/20160303203526/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n[26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the](http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n[original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February](http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n2019.\n\n[44. \"St-Irénée - France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). ](http://www.sacred-destinations.com/france/lyon-eglise-st-irenee) *sacred-*\n\n*destinations.com* .\n\n[45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcin](https://www.museeminiatureetcinema.fr/en/)\n\n[ema.fr/en/). ](https://www.museeminiatureetcinema.fr/en/) *Musée Miniature et Cinéma* .\n\n[46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved](https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY)\n\n16 January 2023.\n\n[47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.](https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). ](https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html) *Le Monde* . France.\n\n[Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-viral](http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[e_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.](http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2](https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2315.0.html)\n\n[315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html)](http://www.grandlyon.com/La-Part-Dieu.2315.0.html)\n\non 24 April 2010. Retrieved 3 April 2011.\n\n49. Jean-Baptiste Onofrio : *Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais* , Lyon 1864\n\n[50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives.](https://web.archive.org/web/20100124093221/http://pa-muet.com/archives.htm)\n\n[htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24](http://pa-muet.com/archives.htm)\n\nJanuary 2010. Retrieved 25 January 2010.\n\n[51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_af](https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[fichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroER](http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[A_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.](http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-ly](https://web.archive.org/web/20090219232752/http://musee-africain-lyon.org/)\n\n[on.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19](http://www.musee-africain-lyon.org/)\n\nFebruary 2009. Retrieved 5 February 2009.\n\n[53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinem](http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinemondial)\n\n[ondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/co](https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/copy_of_patrimoine/a_patrimoinemondial)\n\n[py_of_patrimoine/a_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website.](https://en.wikipedia.org/wiki/Wayback_Machine)\n\nRetrieved 26 November 2009.",
- "page_start": 22,
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- "source_file": "wikipedia4.pdf",
- "query": "What is the climate in Lyon ?",
- "target_page": 5,
- "target_passage": " Lyon has a humid subtropical climate ( Köppen: Cfa), bordering an oceanic climate (Köppen: Cfb, Trewartha: Do).",
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- "text": "| Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes | Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 16.3 (61.3) | 21.4 (70.5) | 25.7 (78.3) | 28.0 (82.4) | 29.4 (84.9) | 34.4 (93.9) | 39.8 (103.6) | 37.1 (98.8) | 33.8 (92.8) | 28.4 (83.1) | 22.6 (72.7) | 20.2 (68.4) | 39.8 (103.6) |\n| Mean maximum °C (°F) | 10.2 (50.4) | 14.4 (57.9) | 15.9 (60.6) | 18.6 (65.5) | 23.1 (73.6) | 28.8 (83.8) | 32.8 (91.0) | 28.1 (82.6) | 27.3 (81.1) | 19.7 (67.5) | 14.1 (57.4) | 9.5 (49.1) | 32.8 (91.0) |\n| Mean daily maximum °C (°F) | 6.1 (43.0) | 8.2 (46.8) | 11.6 (52.9) | 15.2 (59.4) | 19.1 (66.4) | 22.9 (73.2) | 26.1 (79.0) | 26.0 (78.8) | 22.4 (72.3) | 17.1 (62.8) | 10.0 (50.0) | 6.4 (43.5) | 15.9 (60.7) |\n| Daily mean °C (°F) | 3.0 (37.4) | 4.9 (40.8) | 7.4 (45.3) | 10.2 (50.4) | 14.0 (57.2) | 17.6 (63.7) | 20.6 (69.1) | 20.0 (68.0) | 17.1 (62.8) | 12.7 (54.9) | 6.7 (44.1) | 3.9 (39.0) | 11.5 (52.7) |\n| Mean daily minimum °C (°F) | 0.2 (32.4) | 1.4 (34.5) | 2.9 (37.2) | 5.2 (41.4) | 9.1 (48.4) | 12.5 (54.5) | 14.8 (58.6) | 14.4 (57.9) | 11.7 (53.1) | 8.3 (46.9) | 3.5 (38.3) | 0.7 (33.3) | 7.1 (44.7) |\n| Mean minimum °C (°F) | −7.0 (19.4) | −4.7 (23.5) | −1.4 (29.5) | 3.2 (37.8) | 7.6 (45.7) | 10.9 (51.6) | 13.1 (55.6) | 12.9 (55.2) | 8.1 (46.6) | 4.5 (40.1) | 1.0 (33.8) | −4.7 (23.5) | −7.0 (19.4) |\n| Record low °C (°F) | −23.0 (−9.4) | −19.3 (−2.7) | −10.5 (13.1) | −3.2 (26.2) | −0.3 (31.5) | 3.6 (38.5) | 6.1 (43.0) | 5.2 (41.4) | 1.9 (35.4) | −3.2 (26.2) | −7.1 (19.2) | −16.0 (3.2) | −23.0 (−9.4) |\n| Average precipitation mm (inches) | 54.0 (2.13) | 53.8 (2.12) | 72.2 (2.84) | 56.1 (2.21) | 72.6 (2.86) | 73.2 (2.88) | 54.5 (2.15) | 71.6 (2.82) | 53.2 (2.09) | 56.2 (2.21) | 68.0 (2.68) | 55.8 (2.20) | 741.2 (29.19) |\n| Average precipitation days (≥ 1.0 mm) | 10.4 | 9.3 | 9.7 | 9.6 | 10.9 | 8.2 | 6.8 | 8.2 | 7.3 | 8.5 | 8.9 | 9.8 | 107.6 |\n| Average snowy days | 5.5 | 3.9 | 2.5 | 1.1 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 2.0 | 4.6 | 19.6 |\n| Average relative humidity (%) | 84 | 80 | 74 | 71 | 72 | 70 | 65 | 70 | 76 | 82 | 84 | 86 | 76 |\n| Mean monthly sunshine hours | 62.6 | 89.8 | 147.5 | 184.2 | 215.9 | 250.9 | 292.6 | 259.0 | 208.1 | 134.3 | 75.3 | 55.4 | 1,975.6 |\n| Percent possible sunshine | 23 | 31 | 41 | 46 | 47 | 54 | 62 | 60 | 56 | 40 | 27 | 21 | 42 |\n| Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] | Source 1: NOAA [42] |\n| Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] | Source 2: Infoclimat.fr (humidity) [43] |\n\n[Like Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each](https://en.wikipedia.org/wiki/Municipal_arrondissements_of_France)\n\nof which is identified by a number and has its own council and town hall. Five arrondissements were originally created in\n\n[1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between](https://en.wikipedia.org/wiki/Neighbourhood)\n\n1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three\n\ntimes, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to\n\nLyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th - and, to date, final -\n\narrondissement. Within each arrondissement, the recognisable *quartiers* or neighbourhoods are:\n\n[1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent](https://en.wikipedia.org/wiki/Place_des_Terreaux)\n\n### **Administration**\n\n#### **Commune**",
- "page_start": 6,
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- },
- {
- "text": "Ice on the Saône, 2012\n\nPanorama of the inner city of Lyon, taken from the basilica of Notre-Dame de Fourvière's roof\n\n[Lyon has a humid subtropical climate (Köppen: ](https://en.wikipedia.org/wiki/K%C3%B6ppen_climate_classification) *Cfa* [), bordering an oceanic climate](https://en.wikipedia.org/wiki/Oceanic_climate)\n\n( *Köppen* : *Cfb* [, Trewartha: ](https://en.wikipedia.org/wiki/Trewartha_climate_classification) *Do* ). [38] The mean temperature in Lyon in the coldest month\n\nis 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F).\n\nPrecipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter\n\nmonths are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13\n\nAugust 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22\n\nDecember 1938. [39]\n\n#### **Climate**",
- "page_start": 4,
- "page_end": 4,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "| Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present | Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991- 2020 normals, extremes 1920- present |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n| Record high °C (°F) | 19.1 (66.4) | 21.9 (71.4) | 26.0 (78.8) | 30.1 (86.2) | 34.2 (93.6) | 38.4 (101.1) | 40.4 (104.7) | 41.4 (106.5) | 35.8 (96.4) | 28.4 (83.1) | 23.0 (73.4) | 20.2 (68.4) | 41.4 (106.5) |\n| Mean daily maximum °C (°F) | 7.1 (44.8) | 9.0 (48.2) | 13.8 (56.8) | 17.4 (63.3) | 21.5 (70.7) | 25.6 (78.1) | 28.2 (82.8) | 28.0 (82.4) | 23.1 (73.6) | 17.7 (63.9) | 11.4 (52.5) | 7.7 (45.9) | 17.5 (63.5) |\n| Daily mean °C (°F) | 4.1 (39.4) | 5.2 (41.4) | 9.0 (48.2) | 12.3 (54.1) | 16.3 (61.3) | 20.3 (68.5) | 22.6 (72.7) | 22.3 (72.1) | 17.9 (64.2) | 13.7 (56.7) | 8.1 (46.6) | 4.8 (40.6) | 13.0 (55.4) |\n| Mean daily minimum °C (°F) | 1.1 (34.0) | 1.4 (34.5) | 4.2 (39.6) | 7.2 (45.0) | 11.2 (52.2) | 15.0 (59.0) | 17.0 (62.6) | 16.6 (61.9) | 12.8 (55.0) | 9.6 (49.3) | 4.9 (40.8) | 2.0 (35.6) | 8.6 (47.5) |\n| Record low °C (°F) | −23.0 (−9.4) | −22.5 (−8.5) | −10.5 (13.1) | −4.4 (24.1) | −3.8 (25.2) | 2.3 (36.1) | 6.1 (43.0) | 4.6 (40.3) | 0.2 (32.4) | −4.5 (23.9) | −9.4 (15.1) | −24.6 (−12.3) | −24.6 (−12.3) |\n| Average precipitation mm (inches) | 49.8 (1.96) | 41.6 (1.64) | 49.4 (1.94) | 68.9 (2.71) | 80.9 (3.19) | 74.1 (2.92) | 67.4 (2.65) | 65.5 (2.58) | 82.5 (3.25) | 99.8 (3.93) | 87.2 (3.43) | 53.7 (2.11) | 820.8 (32.31) |\n| Average precipitation days (≥ 1.0 mm) | 8.1 | 7.9 | 8.4 | 9.0 | 10.3 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| Mean monthly sunshine hours | 71.1 | 102.4 | 173.7 | 197.7 | 223.8 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n| Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] | Source 1: Meteo France [40] |\n| Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] | Source 2: Meteo Lyon [41] |",
- "page_start": 5,
- "page_end": 5,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "31. Braudel 1984 p. 327\n\n[32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde](https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01](https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f011](http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[50.htm) on 19 January 2011. Retrieved 3 April 2011.](http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm)\n\n[33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli](https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)\n\n[sh_1). ](https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1) *Chrd.lyon.fr* [. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)](http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)\n\non 24 January 2011. Retrieved 21 December 2017.\n\n[34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal.](http://www.digitaljournal.com/article/273644)\n\n[com/article/273644). ](http://www.digitaljournal.com/article/273644) *Digitaljournal.com* .\n\n35. (in French) Georges Duby (ed), *Histoire de la France : Dynasties et révolutions, de 1348 à 1852* (vol. 2),\n\n[Larousse, 1999 p. 53 ISBN 2-03-505047-2](https://en.wikipedia.org/wiki/Special:BookSources/2-03-505047-2)\n\n[36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g](http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/getting-around/local-transport)\n\n[etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.](https://en.wikipedia.org/wiki/Lonely_Planet)\n\n[37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). ](https://whc.unesco.org/en/list/872/) *unesco.org* . UNESCO World Heritage Centre.\n\nRetrieved 31 July 2015.\n\n[38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http](https://www.jstor.org/stable/25636095)\n\n[s://www.jstor.org/stable/25636095).” ](https://www.jstor.org/stable/25636095) *Erdkunde* , vol. 8, no. 4, 1954, pp. 246- 252. *[JSTOR.](https://en.wikipedia.org/wiki/JSTOR)*\n\n[39. \"Données climatiques de la station de Lyon: Relevés de 2016 - Lyon\" (https://web.archive.org/web/20161004](https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n[055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France.](https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n[Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October](http://www.meteofrance.com/climat/france/lyon/69029001/releves)\n\n2016. Retrieved 2 October 2016.\n\n[40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF).](https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf)\n\n*Fiche Climatologique: Statistiques 1991- 2020 et records* (in French). Meteo France. Retrieved 14 July 2022.\n\n[41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). ](https://www.meteo-lyon.net/records/mois/aout) *meteo-lyon.net*\n\n(in French). Météo Villes. Retrieved 7 September 2023.\n\n[42. \"Lyon- Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE](ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/REG_VI/FR/07480.TXT)\n\n[G_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm](https://archive.org/details/19611990NormalsNOAALyonBron)\n\n[alsNOAALyonBron) 8 February 2019, at the Wayback Machine](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n[43. \"Normes et records 1961- 1990: Lyon-Bron (69) - altitude 198m\" (https://web.archive.org/web/201603032035](https://web.archive.org/web/20160303203526/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n[26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the](http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n[original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February](http://www.infoclimat.fr/climatologie-07480-lyon-bron.html)\n\n2019.\n\n[44. \"St-Irénée - France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). ](http://www.sacred-destinations.com/france/lyon-eglise-st-irenee) *sacred-*\n\n*destinations.com* .\n\n[45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcin](https://www.museeminiatureetcinema.fr/en/)\n\n[ema.fr/en/). ](https://www.museeminiatureetcinema.fr/en/) *Musée Miniature et Cinéma* .\n\n[46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved](https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY)\n\n16 January 2023.\n\n[47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.](https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). ](https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html) *Le Monde* . France.\n\n[Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-viral](http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[e_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.](http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html)\n\n[48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2](https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2315.0.html)\n\n[315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html)](http://www.grandlyon.com/La-Part-Dieu.2315.0.html)\n\non 24 April 2010. Retrieved 3 April 2011.\n\n49. Jean-Baptiste Onofrio : *Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais* , Lyon 1864\n\n[50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives.](https://web.archive.org/web/20100124093221/http://pa-muet.com/archives.htm)\n\n[htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24](http://pa-muet.com/archives.htm)\n\nJanuary 2010. Retrieved 25 January 2010.\n\n[51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_af](https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[fichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroER](http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[A_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.](http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262)\n\n[52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-ly](https://web.archive.org/web/20090219232752/http://musee-africain-lyon.org/)\n\n[on.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19](http://www.musee-africain-lyon.org/)\n\nFebruary 2009. Retrieved 5 February 2009.\n\n[53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinem](http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinemondial)\n\n[ondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/co](https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/copy_of_patrimoine/a_patrimoinemondial)\n\n[py_of_patrimoine/a_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website.](https://en.wikipedia.org/wiki/Wayback_Machine)\n\nRetrieved 26 November 2009.",
- "page_start": 22,
- "page_end": 22,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "| Lyon Liyon (Arpitan) |\n|:---|\n| Prefecture and commune |\n| Skyline of Lyon in La Part-Dieu Basilica of Notre- Dame de Fourvière Place des Terreaux with the Fontaine Bartholdi Parc de la Tête d'or Confluence District Vieux Lyon Pont Lafayette |\n| Flag Coat of arms |\n\nMotto(s): *Avant, avant, Lion le melhor*\n\n[(old Franco-Provençal for \"Forward, forward,](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al_language)\n\nLyon the best\") [a]\n\n*Virtute duce, comite fortuna*\n\n(\"With virtue as guide and fortune as\n\ncompanion\") [b]\n\n**Location of Lyon**\n\n## **Lyon**\n\n**Lyon** [c] [ (Franco-Provençal: ](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al) *Liyon* [) is the second-largest city in France](https://en.wikipedia.org/wiki/France)\n\nby urban area and the third largest by city limits. [14] It is located at the\n\n[confluence of the rivers Rhône and Saône, to the northwest of the](https://en.wikipedia.org/wiki/Sa%C3%B4ne)\n\n[French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north](https://en.wikipedia.org/wiki/Paris)\n\n[of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km](https://en.wikipedia.org/wiki/Geneva)\n\n[(36 mi) northeast of Saint-Étienne.](https://en.wikipedia.org/wiki/Saint-%C3%89tienne)\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census\n\nwithin its small municipal territory of 48 km 2 (19 sq mi), [15] but\n\n[together with its suburbs and exurbs the Lyon metropolitan area had a](https://en.wikipedia.org/wiki/Functional_area_(France))\n\npopulation of 2,308,818 that same year, [7] the second most populated in\n\nFrance. Lyon and 58 suburban municipalities have formed since 2015\n\n[the Metropolis of Lyon, a directly elected metropolitan authority now in](https://en.wikipedia.org/wiki/Lyon_Metropolis)\n\ncharge of most urban issues, with a population of 1,424,069 in 2021. [16]\n\n[Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of](https://en.wikipedia.org/wiki/Regions_of_France)\n\n[the Departmental Council of Rhône (whose jurisdiction, however, no](https://en.wikipedia.org/wiki/Rh%C3%B4ne_(department))\n\nlonger extends over the Metropolis of Lyon since 2015).\n\n[The capital of the Gauls during the Roman Empire, Lyon is the seat of](https://en.wikipedia.org/wiki/Roman_Empire)\n\n[an archbishopric whose holder bears the title of Primate of the Gauls.](https://en.wikipedia.org/wiki/Roman_Catholic_Archdiocese_of_Lyon)\n\n[Lyon became a major economic hub during the Renaissance. The city is](https://en.wikipedia.org/wiki/French_Renaissance)\n\n[recognised for its cuisine and gastronomy, as well as historical and](https://en.wikipedia.org/wiki/Gastronomy)\n\n[architectural landmarks; as such, the districts of Old Lyon, the Fourvière](https://en.wikipedia.org/wiki/Fourvi%C3%A8re)\n\n[hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on](https://en.wikipedia.org/wiki/La_Croix-Rousse)\n\n[the UNESCO World Heritage List. Lyon was historically an important](https://en.wikipedia.org/wiki/World_Heritage_Site)\n\narea for the production and weaving of silk. Lyon played a significant\n\n[role in the history of cinema since Auguste and Louis Lumière invented](https://en.wikipedia.org/wiki/Auguste_and_Louis_Lumi%C3%A8re)\n\n[the cinematograph there. The city is also known for its light festival, the](https://en.wikipedia.org/wiki/Cinematograph)\n\n[Fête des lumières, which begins every 8 December and lasts for four](https://en.wikipedia.org/wiki/Festival_of_Lights_(Lyon))\n\ndays, earning Lyon the title of \"Capital of Lights\".\n\n[Economically, Lyon is a major centre for banking, chemical,](https://en.wikipedia.org/wiki/Chemical)\n\n[pharmaceutical and biotech industries. The city contains a significant](https://en.wikipedia.org/wiki/Biotechnology)\n\nsoftware industry with a particular focus on video games; in recent years\n\nit has fostered a growing local start-up sector. [17] The home of renowned\n\nuniversities and higher education schools, Lyon is the second-largest\n\nstudent city in France, with a university population of nearly 200,000\n\nstudents within the Metropolis of Lyon. [18] Lyon hosts the international\n\n[headquarters of Interpol, the International Agency for Research on](https://en.wikipedia.org/wiki/International_Agency_for_Research_on_Cancer)\n\n[Cancer, as well as Euronews. According to the Globalization and World](https://en.wikipedia.org/wiki/Globalization_and_World_Cities_Research_Network)\n\n[Rankings Research Institute, Lyon is considered a Beta city, as of](https://en.wikipedia.org/wiki/Global_city)\n\n2018. [19] It ranked second in France and 40th globally in Mercer's 2019\n\n[liveability rankings.](https://en.wikipedia.org/wiki/List_of_cities_by_quality_of_living) [20]\n\n### **History**\n\n#### **Toponymy**",
- "page_start": 0,
- "page_end": 0,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "| Coordinates: 45°46′N 4°50′E Lyon Lyon |\n|:---|\n| Country France Region Auvergne-Rhône-Alpes Metropolis Lyon Metropolis Arrondissement Lyon |\n| Subdivisions 9 arrondissements |\n| Government - Mayor (2020- 2026) Grégory Doucet [2] (EELV) |\n| Area 1 47.87 km 2 (18.48 sq mi) - Urban (2020 [3] ) 1,141.4 km 2 (440.7 sq mi) - Metro (2020 [4] ) 4,605.8 km 2 (1,778.3 sq mi) |\n\n**Population** (2022) [5] 520,774\n\n**- Rank** [3rd in France](https://en.wikipedia.org/wiki/List_of_communes_in_France_with_over_20,000_inhabitants)\n\n**- Density** 11,000/km 2\n\n(28,000/sq mi)\n\n**[ - Urban](https://en.wikipedia.org/wiki/Urban_area)** (Jan.\n\n2021 [6] )\n\n1,702,921\n\n**- Urban density** 1,500/km 2 (3,900/sq mi)\n\n**[ - Metro](https://en.wikipedia.org/wiki/Metropolitan_area)** (Jan.\n\n2021 [7] )\n\n2,308,818\n\nThe name of the city has taken the forms *Lugdon* , *Luon* , and since the\n\n13th century, *Lyon* . The Gallic *Lugdun* or *Lugdunon* that was Latinized\n\n[in Roman as Lugdunum is composed of two words. The first may be the](https://en.wikipedia.org/wiki/Lugdunum)\n\n[name of the Celtic god Lug (in charge of order and law), or the derived](https://en.wikipedia.org/wiki/Lugh)\n\nword *lugon* , meaning \"crow\" (the crow being the messenger of Lug), but\n\nmight also be another word *lug* , meaning \"light\". The second is *dunos*\n\n[('fortress', 'hill'). The name thus may designate the hill of Fourvière, on](https://en.wikipedia.org/wiki/Fourvi%C3%A8re)\n\nwhich the ancient city of Lyon is founded, but could mean \"hill of the\n\ngod Lug\", \"hill of the crows\" or \"shining hill\". [21] [22]\n\n[Alternatively Julius Pokorny associates the first part of the word with](https://en.wikipedia.org/wiki/Julius_Pokorny)\n\nthe Indo-European radical * *lūg* ('dark, black, swamp'), the basis of the\n\n[toponyms Ludza in Latvia, Lusatia in Germany (from Sorbian ](https://en.wikipedia.org/wiki/Sorbian_language) *Łužica* ),\n\nand several places in the Czech Republic named Lužice; [23] it could then\n\n[also be compared to Luze in Franche-Comté and various hydronyms](https://en.wikipedia.org/wiki/Luze,_Haute-Sa%C3%B4ne)\n\n[such as Louge.](https://en.wikipedia.org/wiki/Louge)\n\nFurther down, in the current Saint-Vincent district, was the Gallic\n\nvillage of Condate, probably a simple hamlet of sailors or fishermen\n\nliving on the banks of the Saône. *Condate* is a Gallic word meaning\n\n\"confluence\", from which the Confluence district gets its name.\n\n[In Roman times the city was called ](https://en.wikipedia.org/wiki/History_of_Lyon#Antiquity) *Caput Galliæ* , meaning \"capital of\n\n[the Gauls\". As an homage to this title, the Archbishop of Lyon is still](https://en.wikipedia.org/wiki/Roman_Catholic_Archdiocese_of_Lyon)\n\ncalled the Primate of Gaul.\n\nDuring the revolutionary period, Lyon was renamed *Commune-*\n\n*Affranchie* [ (\"Emancipated Commune\") on 12 October 1793 by a decree](https://en.wikipedia.org/wiki/Commune_(France))\n\n[of the Convention Nationale. It resumed its name in 1794, after the end](https://en.wikipedia.org/wiki/National_Convention)\n\n[of the Terror.](https://en.wikipedia.org/wiki/Reign_of_Terror)\n\nLyon is called *Liyon* [ in Franco-Provençal.](https://en.wikipedia.org/wiki/Franco-Proven%C3%A7al) [24]\n\n[According to the historian Dio Cassius, in 43 BC, the Roman Senate](https://en.wikipedia.org/wiki/Roman_Senate)\n\nordered the creation of a settlement for Roman refugees of war with the\n\n[Allobroges. These refugees had been expelled from Vienne and were](https://en.wikipedia.org/wiki/Vienne,_Isere)\n\n[now encamped at the confluence of the Saône and Rhône rivers. The](https://en.wikipedia.org/wiki/Rh%C3%B4ne)\n\nfoundation was built on Fourvière hill and officially called *Colonia*\n\n*Copia Felix Munatia* , a name invoking prosperity and the blessing of the\n\ngods. The city became increasingly referred to as *Lugdunum* (and\n\noccasionally *Lugudunum* [25] ). [26] The earliest translation of this Gaulish\n\nplace-name as \"Desired Mountain\" is offered by the 9th-century\n\n*[Endlicher Glossary](https://en.wikipedia.org/w/index.php?title=Endlicher_Glossary&action=edit&redlink=1)* . [27] In contrast, some modern scholars have\n\n[proposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god](https://en.wikipedia.org/wiki/Celtic_mythology)\n\n[Lugus (cognate with Old Irish ](https://en.wikipedia.org/wiki/Irish_language) *Lugh* , Modern Irish *Lú* ), and *dúnon* (hill-\n\nfort).\n\nThe Romans recognised that Lugdunum's strategic location at the\n\nconvergence of two navigable rivers made it a natural communications\n\n[hub. The city became the starting point of main Roman roads in the](https://en.wikipedia.org/wiki/Roman_roads)\n\n[area, and it quickly became the capital of the province, Gallia](https://en.wikipedia.org/wiki/Gallia_Lugdunensis)\n\n[Lugdunensis. Two Emperors were born in this city: Claudius, whose](https://en.wikipedia.org/wiki/Claudius)\n\n[speech is preserved in the Lyon Tablet in which he justifies the](https://en.wikipedia.org/wiki/Lyon_Tablet)\n\n[nomination of Gallic Senators, and Caracalla.](https://en.wikipedia.org/wiki/Caracalla)\n\n#### **Ancient Lyon**",
- "page_start": 1,
- "page_end": 1,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "[6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-loc](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12)\n\n[ales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12).](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12)\n\nRetrieved 12 July 2024.\n\n[7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://sta](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[tistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[3). Retrieved 12 July 2024.](https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13)\n\n[8. Wells, John C. (2008). ](https://en.wikipedia.org/wiki/John_C._Wells) *Longman Pronunciation Dictionary* [ (3rd ed.). Longman. ISBN 978-1-4058-8118-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-4058-8118-0)\n\n[9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). ](https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons) *[Lexico UK](https://en.wikipedia.org/wiki/Lexico)*\n\n*English Dictionary* [. Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons)](http://www.lexico.com/definition/Lyons)\n\non 24 January 2020.\n\n[10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). ](https://en.wikipedia.org/wiki/John_Esling) *[Cambridge English Pronouncing](https://en.wikipedia.org/wiki/English_Pronouncing_Dictionary)*\n\n*[Dictionary](https://en.wikipedia.org/wiki/English_Pronouncing_Dictionary)* [ (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-521-15255-6)\n\n[11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). ](https://www.merriam-webster.com/dictionary/Lyon) *[Merriam-Webster.com Dictionary](https://en.wikipedia.org/wiki/Merriam-Webster)* . Merriam-\n\nWebster. Retrieved 8 August 2018.\n\n[12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). ](https://www.collinsdictionary.com/amp/english/lyons) *[Collins English Dictionary](https://en.wikipedia.org/wiki/Collins_English_Dictionary)* [. HarperCollins.](https://en.wikipedia.org/wiki/HarperCollins)\n\nRetrieved 8 August 2018.\n\n[13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar)\n\n[B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). ](https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar) *locongres.org* . Retrieved 1 April 2022.\n\n[14. https://about-france.com/tourism/main-towns-cities.htm](https://about-france.com/tourism/main-towns-cities.htm)\n\n[15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.inse](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=691](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[23&t=A01&view=map1) (in French). Retrieved 12 July 2024.](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1)\n\n[16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statis](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4)\n\n[tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=202](https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4)\n\n[1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.](https://en.wikipedia.org/wiki/INSEE)\n\n[17. \"Lyon entrepreneurship, Lyon company, Invest Lyon - Greater Lyon\" (https://web.archive.org/web/201003081](https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&](https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines](http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.](http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1)\n\n[18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite](https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146)\n\n[s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved](https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146)\n\n8 April 2022.\n\n[19. \"GaWC - The World According to GaWC 2018\" (https://www.lboro.ac.uk/gawc/world2018t.html).](https://www.lboro.ac.uk/gawc/world2018t.html)\n\n*www.lboro.ac.uk* .\n\n[20. \"Quality of Living City Ranking | Mercer\" (https://mobilityexchange.mercer.com/Insights/quality-of-living-rankin](https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings)\n\n[gs). ](https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings) *mobilityexchange.mercer.com* .\n\n21. Mailhes, François; Piot, Cyrille; Rapini, Jean-Louis (2021). *Les Miscellanées des Lyonnais* [ (https://poutan.fr/si](https://poutan.fr/site/)\n\n[te/). éditions du poutan.](https://poutan.fr/site/)\n\n[22. \"Lyon, d'où vient ton nom ?\" (https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/3700](https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php)\n\n[3-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php). ](https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php) *Le Figaro* (in French). 30 March 2017. Retrieved\n\n8 September 2023.\n\n23. Pokorny, Julius (1959). *Indogermanisches Etymologisches Wörterbuch* (in German). French & European\n\nPublications, Inc.\n\n24. Stich, Domenico (2003). *Dictionnaire francoprovençal-français et français-francoprovençal* (in French). Le\n\n[Carré. p. 189. ISBN 978-2908150155.](https://en.wikipedia.org/wiki/Special:BookSources/978-2908150155)\n\n25. Cassius Dio, *Roman History* , Book 46: *Lepidus and Lucius Plancus [...] founded the town called Lugudunum,*\n\n*now known as Lugdunum*\n\n26. Louis, Jaucourt de chevalier (1765). \"Lyon\". *Encyclopedia of Diderot & d'Alembert - Collaborative Translation*\n\n*Project* [. hdl:2027/spo.did2222.0000.159 (https://hdl.handle.net/2027%2Fspo.did2222.0000.159).](https://hdl.handle.net/2027%2Fspo.did2222.0000.159)\n\n[27. \"Endlichers Glossar/Endlicher's Glossary\" (http://www.maryjones.us/ctexts/endlicher_glossary.html).](http://www.maryjones.us/ctexts/endlicher_glossary.html)\n\n*www.maryjones.us* . n.d. Retrieved 7 November 2021. \" *Lugduno - desiderato monte: dunum enim montem*\n\nLugduno: \"mountain of yearning\"; dunum of course is mountain.\"\n\nwww.maryjones.us/ctexts/endlicher_glossary.html\n\n28. Patrick Boucheron, et al., eds. *France in the World: A New Global History* (2019) pp 63-68.\n\n[29. \"Saint Irenaeus\" (http://sanctoral.com/en/saints/saint_irenaeus.html). ](http://sanctoral.com/en/saints/saint_irenaeus.html) *Sanctoral.com* . Magnificat.\n\n[30. \"2847-Primat des Gaules\" (https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/284](https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/2847-Primat-des-Gaules.html)\n\n[7-Primat-des-Gaules.html). ](https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/2847-Primat-des-Gaules.html) *France-catholique.fr* [. 13 September 2002. Archived from the original (https://www.f](https://www.france-catholique.fr/2847-Primat-des-Gaules.html)\n\n[rance-catholique.fr/2847-Primat-des-Gaules.html) on 30 October 2019. Retrieved 20 December 2017.](https://www.france-catholique.fr/2847-Primat-des-Gaules.html)",
- "page_start": 21,
- "page_end": 21,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "Foreign-born population in Lyon by\n\ncountry of birth [72]\n\n| Country of birth | Population (2020) |\n|:---|:---|\n| Algeria | 14,779 |\n| Morocco | 5,245 |\n| Tunisia | 4,879 |\n| Italy | 3,351 |\n| Portugal | 3,068 |\n| Spain | 2,064 |\n| DR Congo | 1,520 |\n| China | 1,429 |\n| Cameroon | 1,364 |\n| Senegal | 1,198 |\n\n[ENS Lyon: René Descartes](https://en.wikipedia.org/wiki/ENS_Lyon)\n\ncampus\n\n[Lyon 3: Manufacture des Tabacs](https://en.wikipedia.org/wiki/Jean_Moulin_University)\n\ncampus\n\nAll figures come from population censuses. Figures from 1911 to 1936 (incl.) are computed using the redressed figures for the\n\n[commune of Lyon calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at](https://en.wikipedia.org/wiki/INSEE)\n\nthe time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and\n\nremain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is computed using the figure for the commune of\n\nLyon published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate\n\nwas smaller than 10,000.\n\nSource: EHESS [70] and INSEE [71]\n\n[École Centrale de Lyon;](https://en.wikipedia.org/wiki/%C3%89cole_centrale_de_Lyon)\n\n[École Normale Supérieure de Lyon](https://en.wikipedia.org/wiki/%C3%89cole_Normale_Sup%C3%A9rieure_de_Lyon)\n\n[EM Lyon (École de Management de Lyon);](https://en.wikipedia.org/wiki/%C3%89cole_de_management_de_Lyon)\n\nECE Lyon (École de Commerce Européenne de Lyon);\n\n[Institut d'études politiques de Lyon (Sciences Po Lyon);](https://en.wikipedia.org/wiki/Institut_d%27%C3%A9tudes_politiques_de_Lyon)\n\n[CPE Lyon;](https://en.wikipedia.org/wiki/%C3%89cole_sup%C3%A9rieure_de_chimie_physique_%C3%A9lectronique_de_Lyon)\n\n[CNSMD (Conservatoire national supérieur de musique et de danse de](https://en.wikipedia.org/wiki/Conservatoire_national_sup%C3%A9rieur_de_musique_et_de_danse_de_Lyon)\n\nLyon)\n\n[ECAM Lyon (École Catholique d'Arts et Métiers de Lyon);](https://en.wikipedia.org/wiki/%C3%89cole_Catholique_des_Arts_et_M%C3%A9tiers)\n\n[EPITECH;](https://en.wikipedia.org/wiki/EPITECH)\n\n[EPITA;](https://en.wikipedia.org/wiki/EPITA)\n\n[ENTPE (École Nationale des Travaux Publiques de l'État);](https://en.wikipedia.org/wiki/%C3%89cole_nationale_des_travaux_publics_de_l%27%C3%89tat)\n\n[École nationale vétérinaire de Lyon (ENVL);](https://en.wikipedia.org/wiki/%C3%89cole_nationale_v%C3%A9t%C3%A9rinaire_de_Lyon)\n\n[ESME-Sudria;](https://en.wikipedia.org/wiki/ESME-Sudria)\n\n[École des Beaux-Arts;](https://en.wikipedia.org/wiki/%C3%89cole_des_Beaux-Arts)\n\n[E-Artsup;](https://en.wikipedia.org/wiki/E-Artsup)\n\n[INSA Lyon (Institut National des Sciences Appliquées de Lyon);](https://en.wikipedia.org/wiki/Institut_national_des_sciences_appliqu%C3%A9es_de_Lyon)\n\n[Polytech Lyon;](https://en.wikipedia.org/wiki/%C3%89cole_polytechnique_universitaire_de_l%27universit%C3%A9_Lyon-I)\n\n[Institut supérieur européen de gestion group;](https://en.wikipedia.org/wiki/Institut_sup%C3%A9rieur_europ%C3%A9en_de_gestion_group)\n\n[ISARA (Institut Supérieur d'Agriculture Rhône Alpes);](https://en.wikipedia.org/wiki/Institut_sup%C3%A9rieur_d%27agriculture_Rh%C3%B4ne-Alpes)\n\n[Institution des Chartreux;](https://en.wikipedia.org/wiki/Institution_des_Chartreux)\n\n[Institut polytechnique des sciences avancées;](https://en.wikipedia.org/wiki/Institut_polytechnique_des_sciences_avanc%C3%A9es)\n\n[Université Claude Bernard (Lyon 1);](https://en.wikipedia.org/wiki/Claude_Bernard_University_Lyon_1)\n\n[Université Lumière (Lyon 2);](https://en.wikipedia.org/wiki/Lumi%C3%A8re_University_Lyon_2)\n\n[Université Jean Moulin (Lyon 3);](https://en.wikipedia.org/wiki/Jean_Moulin_University_Lyon_3)\n\n[IAE (Institut d'Administration des Entreprises de Lyon);](https://en.wikipedia.org/wiki/IAE_Jean_Moulin_University_Lyon_3)\n\n[Institut Sup'Biotech de Paris;](https://en.wikipedia.org/wiki/Institut_Sup%27Biotech_de_Paris)\n\n[Catholic University of Lyon;](https://en.wikipedia.org/wiki/Catholic_University_of_Lyon)\n\n[ESDES Business School;](https://en.wikipedia.org/wiki/ESDES)\n\nIDRAC (International School of Management);\n\n[Wesford Graduate Business School;](https://en.wikipedia.org/wiki/Wesford)\n\nIFAG (Business Management School);\n\n[Institut supérieur européen de formation par l'action;](https://en.wikipedia.org/wiki/Institut_sup%C3%A9rieur_europ%C3%A9en_de_formation_par_l%27action)\n\n[Le Lycée du Parc;](https://en.wikipedia.org/wiki/Lyc%C3%A9e_du_Parc)\n\n[La Martinière Lyon;](https://en.wikipedia.org/wiki/La_Martini%C3%A8re_Lyon)\n\n[Web@cademie;](https://en.wikipedia.org/wiki/Web@cademie)\n\nCEESO (Centre Européen d'Enseignement Supérieur de l'Ostéopathie);\n\n#### **Foreign-born**\n\n### **Education**\n\n#### **Universities and tertiary education**",
- "page_start": 17,
- "page_end": 17,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "**- Metro density** 500/km 2 (1,300/sq mi)\n\n| Time zone UTC+01:00 (CET) - Summer (DST) UTC+02:00 (CEST) |\n|:---|\n| INSEE/Postal code 69123 (https://www.inse e.fr/fr/statistiques/14055 99?geo=COM-69123) /69001-69009 |\n| Elevation 162- 349 m (531- 1,145 ft) |\n| Website lyon.fr (https://www.lyon. fr/) |\n| 1 French Land Register data, which excludes lakes, ponds, glaciers > 1 km 2 (0.386 sq mi or 247 acres) and river estuaries. |\n\n**Timeline of Lyon**\n\n**Historical affiliations**\n\n[ Roman Empire (Gallia Lugdunensis), 43](https://en.wikipedia.org/wiki/Roman_Empire)\n\nBC-286\n\nWestern [Roman ](https://en.wikipedia.org/wiki/Western_Roman_Empire) Empire (Gallia\n\nLugdunensis), 286-411\n\n[ Kingdom of the Burgundians, 411- 534](https://en.wikipedia.org/wiki/Kingdom_of_the_Burgundians)\n\n[ Francia, 534- 843](https://en.wikipedia.org/wiki/Francia)\n\n[ Middle Francia, 843- 855](https://en.wikipedia.org/wiki/Middle_Francia)\n\n[ Lotharingia, 855- 879](https://en.wikipedia.org/wiki/Lotharingia)\n\n[ Lower Burgundy, 879-933](https://en.wikipedia.org/wiki/Lower_Burgundy)\n\n[ Kingdom of Arles, 933- 1312](https://en.wikipedia.org/wiki/Kingdom_of_Arles)\n\n[ Kingdom of France (Lyonnais), 1312- ](https://en.wikipedia.org/wiki/Lyonnais)\n\n1792\n\n[ French First Republic, 1792- 1793](https://en.wikipedia.org/wiki/French_First_Republic)\n\n[ Counter-revolutionary, 1793](https://en.wikipedia.org/wiki/Revolt_of_Lyon_against_the_National_Convention)\n\n[ French First Republic, 1793- 1804](https://en.wikipedia.org/wiki/French_First_Republic)\n\n[ First French Empire, 1804- 1814](https://en.wikipedia.org/wiki/First_French_Empire)\n\n[ Kingdom of France, 1814- 1815](https://en.wikipedia.org/wiki/Bourbon_Restoration_in_France)\n\n[ First French Empire, 1815](https://en.wikipedia.org/wiki/First_French_Empire)\n\n[ Kingdom of France, 1815- 1830](https://en.wikipedia.org/wiki/Bourbon_Restoration_in_France)\n\n[ Kingdom of France, 1830- 1848](https://en.wikipedia.org/wiki/July_Monarchy)\n\n[ French Second Republic, 1848- 1852](https://en.wikipedia.org/wiki/French_Second_Republic)\n\n[ Second French Empire, 1852- 1870](https://en.wikipedia.org/wiki/Second_French_Empire)\n\n[ French Third Republic, 1870- 1940](https://en.wikipedia.org/wiki/French_Third_Republic)\n\n[ Vichy France, 1940- 1944](https://en.wikipedia.org/wiki/Vichy_France)\n\n[ French Fourth Republic, 1944- 1958](https://en.wikipedia.org/wiki/French_Fourth_Republic)\n\n[ France, 1958- present](https://en.wikipedia.org/wiki/France)\n\n[The Roman-era Theatre on the](https://en.wikipedia.org/wiki/Ancient_Theatre_of_Fourvi%C3%A8re)\n\nFourvière Hill\n\nLyon under siege in 1793\n\n[Early Christians in Lyon were martyred for their beliefs under the reigns](https://en.wikipedia.org/wiki/Early_Christians)\n\n[of various Roman emperors, most notably Marcus Aurelius and](https://en.wikipedia.org/wiki/Marcus_Aurelius)\n\n[Septimius Severus.](https://en.wikipedia.org/wiki/Septimius_Severus) [28] [ Local saints from this period include Blandina,](https://en.wikipedia.org/wiki/Blandina)\n\n[Pothinus, and Epipodius, among others. The Greek Irenaeus was the](https://en.wikipedia.org/wiki/Irenaeus)\n\nsecond bishop of Lyon during the latter part of the second century. [29]\n\nTo this day, the archbishop of Lyon is still referred to as \" *[Primat des](https://en.wikipedia.org/wiki/Primate_(bishop))*\n\n*[Gaules](https://en.wikipedia.org/wiki/Primate_(bishop))* \". [30]\n\n[Burgundians fleeing the destruction of Worms by the Huns in 437 were](https://en.wikipedia.org/wiki/Huns)\n\nre-settled in eastern Gaul. In 443 the Romans established the Kingdom\n\nof the Burgundians, and Lugdunum became its capital in 461. In 843,\n\n[under the Treaty of Verdun, Lyon went to the Holy Roman Emperor](https://en.wikipedia.org/wiki/Holy_Roman_Emperor)\n\n[Lothair I. It later was made part of the Kingdom of Arles which was](https://en.wikipedia.org/wiki/Lothair_I)\n\n[incorporated into the Holy Roman Empire in 1033. Lyon did not come](https://en.wikipedia.org/wiki/Holy_Roman_Empire)\n\nunder French control until the\n\n14th century.\n\nFernand [Braudel ](https://en.wikipedia.org/wiki/Fernand_Braudel) remarked,\n\n\"Historians of Lyon are not\n\nsufficiently aware of the bi-\n\npolarity between Paris and Lyon,\n\nwhich is a constant structure in\n\nFrench development...from the\n\n[late Middle Ages to the Industrial](https://en.wikipedia.org/wiki/Industrial_Revolution)\n\n[Revolution\".](https://en.wikipedia.org/wiki/Industrial_Revolution) [31] [ In the late 15th century, the fairs introduced by Italian](https://en.wikipedia.org/wiki/Fairs)\n\n[merchants made Lyon the economic counting house of France. Even the](https://en.wikipedia.org/wiki/Counting_house)\n\n*Bourse* (treasury), built in 1749, resembled a public bazaar where\n\naccounts were settled in the open air. When international banking moved\n\n[to Genoa, then Amsterdam, Lyon remained the banking centre of](https://en.wikipedia.org/wiki/Amsterdam)\n\nFrance.\n\n[During the Renaissance, the city's development was driven by the silk](https://en.wikipedia.org/wiki/Silk_trade)\n\n[trade, which strengthened its ties to Italy. Italian influence on Lyon's](https://en.wikipedia.org/wiki/Silk_trade)\n\narchitecture is still visible among historic buildings. [32] In the late 1400s\n\nand 1500s Lyon was also a key centre of literary activity and book\n\n[publishing, both of French writers (such as Maurice Scève, Antoine](https://en.wikipedia.org/wiki/Antoine_Heroet)\n\n[Heroet, and Louise Labé) and of Italians in exile (such as Luigi](https://en.wikipedia.org/wiki/Luigi_Alamanni)\n\n[Alamanni and Gian Giorgio Trissino).](https://en.wikipedia.org/wiki/Gian_Giorgio_Trissino)\n\nIn 1572, Lyon was a scene of mass violence by Catholics against\n\n[Protestant Huguenots in the St. Bartholomew's Day Massacre. Two](https://en.wikipedia.org/wiki/St._Bartholomew%27s_Day_Massacre)\n\n[centuries later, Lyon was again convulsed by violence during the French](https://en.wikipedia.org/wiki/French_Revolution)\n\n[Revolution, when the citizenry rose up against the National Convention](https://en.wikipedia.org/wiki/French_Revolution)\n\n[and supported the Girondins. The city was besieged by Revolutionary armies for over](https://en.wikipedia.org/wiki/Girondins)\n\ntwo months before it surrendered in October 1793. Many buildings were destroyed,\n\n[especially around the Place Bellecour, and Jean-Marie Collot d'Herbois and Joseph](https://en.wikipedia.org/wiki/Joseph_Fouch%C3%A9)\n\n[Fouché administered the execution of more than 2,000 people. The Convention](https://en.wikipedia.org/wiki/Joseph_Fouch%C3%A9)\n\nordered that its name be changed to \"Liberated City\", and a plaque was erected that\n\nproclaimed \"Lyons made war on Liberty; Lyons no longer exists\". A decade later,\n\n[Napoleon ordered the reconstruction of all the buildings demolished during that](https://en.wikipedia.org/wiki/Napoleon)\n\nperiod.\n\n#### **Modern Lyon**",
- "page_start": 2,
- "page_end": 2,
- "source_file": "wikipedia4.pdf"
- },
- {
- "text": "[Stade de Gerland](https://en.wikipedia.org/wiki/Stade_de_Gerland)\n\n[Lyon is also home to the Lyon Hockey Club, an ice hockey team that competes in](https://en.wikipedia.org/wiki/Ice_hockey)\n\n[France's national ice hockey league. The Patinoire Charlemagne is the seat of Club](https://en.wikipedia.org/wiki/Patinoire_Charlemagne)\n\n[des Sports de Glace de Lyon, the club of Olympic ice dancing champions Marina](https://en.wikipedia.org/wiki/Marina_Anissina)\n\n[Anissina and Gwendal Peizerat, and world champions Isabelle Delobel and Olivier](https://en.wikipedia.org/wiki/Olivier_Shoenfelder)\n\n[Shoenfelder.](https://en.wikipedia.org/wiki/Olivier_Shoenfelder) [65] [ Lyon-Villeurbanne also has a basketball team, ASVEL, that plays at](https://en.wikipedia.org/wiki/ASVEL_Basket)\n\n[the Astroballe arena.](https://en.wikipedia.org/wiki/Astroballe)\n\n[Since 2000, Birdy Kids, a group of graffiti artists from the city, has decorated several](https://en.wikipedia.org/wiki/Birdy_Kids)\n\nrandom buildings and walls along the Lyon ring road. In 2012, the artist collective\n\nwas chosen to represent the city as its cultural ambassadors. [66]\n\nThe population of the city (commune) of Lyon proper was 522,250 at the January 2021 census. [15] As of 2011, 14% of its\n\npopulation was born outside Metropolitan France. [67]\n\n| Population of Lyon (commune) (within 2020 borders) Year Pop. ±% p.a. 1801 101,760 — 1806 114,643 +2.41% 1821 149,611 +1.79% 1831 182,668 +2.02% 1836 198,683 +1.60% 1841 206,670 +0.79% 1846 238,466 +2.86% 1851 259,220 +1.68% 1856 293,743 +2.66% 1861 320,326 +1.72% 1866 325,219 +0.30% 1872 324,590 −0.03% Year Pop. ±% p.a. 1876 344,513 +1.33% 1881 378,581 +1.84% 1886 404,172 +1.45% 1891 440,315 +1.78% 1896 468,311 +1.25% 1901 461,687 −0.29% 1906 474,652 +0.56% 1911 462,248 −0.53% 1921 462,446 +0.00% 1926 463,125 +0.03% 1931 463,647 +0.02% 1936 463,061 −0.03% Year Pop. ±% p.a. 1946 464,104 +0.02% 1954 475,343 +0.29% 1962 535,746 +1.54% 1968 527,800 −0.25% 1975 456,716 −2.06% 1982 413,095 −1.42% 1990 415,487 +0.07% 1999 445,452 +0.78% 2010 484,344 +0.78% 2015 513,275 +1.17% 2021 522,250 +0.29% |\n|:---|\n| All figures come from population censuses. Figures from 1911 to 1936 (incl.) are the redressed figures calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at the time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and remain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is the one published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate was smaller than 10,000. Source: EHESS [69] and INSEE [15] |\n\nThe city of Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected\n\nmetropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021. [16]\n\n##### **Population of Lyon (metropolis)**\n\n**(59 communes, within 2020 borders)**\n\n##### **Year Pop. ±% p.a.**\n\n**1861** 418,515 —\n\n**1866** 427,522 +0.43%\n\n**1872** 426,552 −0.04%\n\n**1876** 453,540 +1.37%\n\n**1881** 493,778 +1.66%\n\n**1886** 527,621 +1.47%\n\n**1891** 566,115 +1.46%\n\n**1896** 600,881 +1.21%\n\n**1901** 608,856 +0.26%\n\n##### **Year Pop. ±% p.a.**\n\n**1906** 627,073 +0.60%\n\n**1911** 629,931 +0.09%\n\n**1921** 659,007 +0.45%\n\n**1926** 691,446 +0.97%\n\n**1931** 743,297 +1.46%\n\n**1936** 738,220 −0.14%\n\n**1946** 746,062 +0.11%\n\n**1954** 790,662 +0.71%\n\n**1962** 947,569 +2.34%\n\n##### **Year Pop. ±% p.a.**\n\n**1968** 1,077,794 +2.17%\n\n**1975** 1,153,402 +0.98%\n\n**1982** 1,138,718 −0.18%\n\n**1990** 1,166,797 +0.30%\n\n**1999** 1,199,589 +0.31%\n\n**2010** 1,296,166 +0.72%\n\n**2015** 1,370,678 +1.12%\n\n**2021** 1,424,069 +0.64%\n\n#### **Street art**\n\n### **Demographics**",
- "page_start": 16,
- "page_end": 16,
- "source_file": "wikipedia4.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "uksi_20210538_en.pdf",
- "query": " What should do the rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided ?",
- "target_page": 2,
- "target_passage": "ensure that the register is kept in that church or chapel, and (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.",
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- "text": "(a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of\n\nregulation 3(2) in relation to the marriage, and\n\n(b) provides corresponding spaces for recording information required by each of those sub-\n\nparagraphs in relation to the marriage.\n\n(6) A register of marriage services provided under paragraph (1) by a parochial church council\n\nbelongs to that parochial church council.\n\n### **Duty to record information about marriages solemnized according to the rites of the Church**\n\n### **of England or Church in Wales**\n\n**3.** —(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the\n\nrites of the Church of England in a church or chapel in which banns of matrimony may be\n\npublished.\n\n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the\n\nmarriage was solemnized must make a record of the following information in relation to that\n\nmarriage in a register of marriage services provided to the church or chapel under regulation\n\n2(1)—\n\n(a) the date and place of the marriage;\n\n(b) the name and surname of each party;\n\n(c) the date of birth of each party;\n\n(d) the occupation (if any) of each party;\n\n(e) the address of each party at the time of the marriage;\n\n(f) the names and surnames of each party’s parents, so far as those names and surnames are\n\nknown to the clergyman who solemnized the marriage;\n\n(g) the name and surname of each of the witnesses in whose presence the marriage was\n\nsolemnized;\n\n(h) the name and surname of the clergyman by whom the marriage was solemnized.\n\n(3) The clergyman must record the information required by paragraph (2) in English, and may\n\nalso record information required by that paragraph in Welsh where the church or chapel is situated\n\nin Wales.\n\n(4) After making a record under paragraph (2) the clergyman must sign it.\n\n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021.\n\n### **Requirements about the keeping of registers of marriage services**\n\n**4.** —(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage\n\nservices has been provided under regulation 2(1) must—\n\n(a) ensure that the register is kept in that church or chapel, and\n\n(b) do everything that is reasonably practicable to ensure that the register is protected against\n\ntheft, loss or damage.\n\n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of\n\nmarriage services has been provided under regulation 2(1), the obligations under paragraph (1) in\n\nrespect of that register fall on the churchwardens of the parish in which the church or chapel is\n\nsituated.\n\nGiven under my hand on 29th April 2021\n\n*Abi Tierney*\n\nRegistrar General",
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- "text": "S T A T U T O R Y I N S T R U M E N T S\n\n## **2021 No. 538**\n\n## **MARRIAGE, ENGLAND AND WALES**\n\n## The Marriage (Keeping of Records in Churches and Chapels)\n\n## Regulations 2021\n\n*Made* *-* *-* *-* *-* *29th April 2021*\n\n*Coming into force -* *-* *4th May 2021*\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in\n\nexercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act\n\n1949( **a** ).\n\n### **Citation, commencement, extent and interpretation**\n\n**1.** —(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and\n\nChapels) Regulations 2021.\n\n(2) These Regulations come into force on 4th May 2021.\n\n(3) These Regulations extend to England and Wales.\n\n(4) In these Regulations, “chapel” does not include a chapel to which Part 5 of the Marriage Act\n\n1949 (marriages in naval, military and air force chapels) applies( **b** ).\n\n### **Duty of parochial church councils to provide registers of marriage services**\n\n**2.** —(1) The parochial church council of a parish must provide books for the purpose of making\n\nrecords under regulation 3 to each church and chapel of the Church of England( **c** ) in that parish in\n\nwhich banns of matrimony may be published.\n\n(2) Books provided under paragraph (1) are to be known as “registers of marriage services”.\n\n(3) A register of marriage services provided under paragraph (1) must meet the requirements of\n\nparagraphs (4) and (5).\n\n(4) The register must be made of durable material.\n\n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect\n\nof a marriage, the register must be printed in such a way that it—\n\n( **a** ) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amended by Schedule 2 to the Registration Service Act 1953 (c. 37) and by\n\nparagraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently\n\nrenumbered as section 74(1) by article 12 of the Registration of Marriages etc. (Electronic Communications and Electronic\n\nStorage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act\n\n2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also\n\ninserted subsection (1A).\n\n( **b** ) See section 68(2) of the Marriage Act 1949. The certification function of the Admiralty under that section was transferred to\n\nthe Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15).\n\n( **c** ) Section 78(2) of the Marriage Act 1949 provides for references to the Church of England to be construed as including\n\nreferences to the Church in Wales.",
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- "text": "I approve\n\n*Kevin Foster*\n\nParliamentary Under Secretary of State\n\n29th April 2021 Home Office\n\n### **EXPLANATORY NOTE**\n\n*(This note is not part of the Regulations)*\n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the\n\nChurch of England and the Church in Wales, other than chapels to which Part 5 of the Marriage\n\nAct 1949 applies (naval, military and air force chapels).\n\nRegulation 2 requires parochial church councils to provide books known as “registers of marriage\n\nservices” to churches and chapels in their parish in which banns of matrimony may be published,\n\nfor the purposes of keeping the records required by regulation 3. Regulation 2 also imposes\n\nrequirements relating to the durability and pre-printed content of these registers, and provides that\n\nthey belong to the parochial church council.\n\nRegulation 3 requires specified information to be recorded in a register of marriage services when\n\na marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of\n\nEngland or Church in Wales in a church or chapel in which banns of matrimony may be\n\npublished. The record must be made and signed by the member of the clergy by whom the\n\nmarriage was solemnized.\n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services\n\nprovided under regulation 2.\n\nA full impact assessment has not been produced for this instrument because no, or no significant,\n\nimpact on the private, public or voluntary sector is foreseen.\n\n© Crown copyright 2021\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James,\n\nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.",
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- "text": "(1) The High Court shall have jurisdiction to hear and determine any question whether- ( *a* ) any person has been validly elected as an Elected Member of the National Assembly or the seat of any such Member has become vacant; ( *b* ) any person has been validly elected as Speaker of the Assembly or, having been so elected, has vacated the office of Speaker. (2) Any question whether any person has been validly elected as a Specially Elected Member of the National Assembly or whether the seat of any such Member has become vacant shall be determined by the Speaker. (3) Parliament may make provision with respect to- ( *a* ) the persons who may apply to the High Court for the determination of any question under this section; ( *b* ) the circumstances and manner in which the conditions upon which any such application may be made; and ( *c* ) the powers, practice and procedure of the High Court in relation to any such application. **70. Clerk of the Assembly** (1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the National Assembly and their offices shall be offices in the public service. (2) There shall be such other offices in the department of the Clerk of the Assembly as may be prescribed by resolution of the National Assembly and such offices shall be offices in the public service. **PART II** * **General Provisions Relating to Procedure in National Assembly** * **(ss 71-76) 71. Oaths to be taken by Speaker and Members** The Speaker, before assuming the duties of his or her office, and every Member of the National Assembly before taking his or her seat therein, shall take and subscribe before the Assembly the oath of allegiance. **72. Presiding in Assembly** There shall preside at any sitting of the National Assembly- ( *a* ) the Speaker; ( *b* ) in the absence of the Speaker, the Deputy Speaker; or ( *c* ) in the absence of the Speaker and the Deputy Speaker, such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that sitting. **73. Quorum in Assembly** If objection is taken by any Member of the National Assembly present that there are present in the Assembly (besides the person presiding) less than one third of the Members of the Assembly and, after such interval as may be prescribed in the rules of procedure of the Assembly, the person presiding ascertains that the number of Members present is less than one third, he or she shall thereupon adjourn the Assembly. **74. Voting in Assembly** (1) Save as otherwise provided in this Constitution, any question proposed for decision in the National Assembly shall be determined by a majority of the votes of the Members present and voting. (2) ... (3) The person presiding in the National Assembly shall have neither an original vote nor a casting vote and if upon any question before the Assembly the votes are equally divided the motion shall be lost. **75. Unqualified persons sitting or voting** Any person who sits or votes in the National Assembly knowing or having",
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- "text": "###### **Test providers**\n\n**3.** —(1) A test provider complies with this paragraph where—\n\n(a) they provide appropriate tests in a single end-to-end testing service (whether or not they\n\narrange with another person (“X”) for X to provide one or more elements of the service\n\non their behalf);\n\n(b) they have made a declaration to the Department of Health and Social Care that they meet\n\nthe minimum standards for private sector-provided testing at https://support-covid-19-\n\ntesting.dhsc.gov.uk/PrivateSectorSelfDeclaration;\n\n(c) in relation to a test which requires laboratory processing—\n\n(i) the person responsible for the taking of samples meets the relevant requirements for\n\naccreditation to ISO standard 15189 or ISO/IEC standard 17025, in respect of the\n\ntaking of samples, and\n\n(ii) the laboratory used by the test provider for the processing of samples meets the\n\nrelevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard\n\n17025, in respect of the processing of samples;\n\n(d) in relation to a point of care test, they meet the relevant requirements for accreditation to\n\nISO standard 15189 and ISO standard 22870( **a** );\n\n(e) a registered medical practitioner has oversight and approval of medical practices\n\nundertaken by the test provider, and responsibility for reporting medical issues;\n\n(f) they have an effective system of clinical governance in place which includes appropriate\n\nstandard operating procedures in relation to the carrying out of appropriate tests;\n\n(g) a registered clinical scientist has oversight of clinical practices undertaken by the test\n\nprovider, and responsibility for reporting clinical issues;\n\n(h) they have systems in place to identify any adverse incidents or quality control issues in\n\nrelation to appropriate tests and be able to report them as soon as reasonably practicable\n\nto the Secretary of State;\n\n(i) they administer or provide an appropriate test to P, on or after the fifth day after the day\n\non which P arrived in England having received the information required by paragraph\n\n4(b) and (c) (as appropriate); and\n\n(j) if they arrange with another person (“X”) for X to carry out any element of the single\n\nend-to-end testing service on their behalf, the test provider ensures that X complies with\n\nany of paragraphs (c) to (i) and 5(2), (3) and (5) as is relevant to the carrying out of that\n\nelement.\n\n(2) For the purposes of sub-paragraph (1)—\n\n(a) “point of care test” means a test processed outside a laboratory environment;\n\n(b) “registered clinical scientist” means a person registered as a clinical scientist with the\n\nHealth and Care Professions Council pursuant to article 5 of the Health Professions Order\n\n2001( **b** );\n\n(c) “single end-to-end testing service” means a service which comprises accepting the\n\nbooking from the person to be tested, collecting and processing the sample to be tested,\n\ncarrying out genomic sequencing and providing the test result to P.\n\n(3) For the purposes of sub-paragraph (1)(c) and (d), a person or laboratory (as the case may be)\n\nmeets the relevant requirements for accreditation to a standard where that person, or in the case of\n\na laboratory where the person who is the operator of the laboratory—\n\n(a) has made a valid application for accreditation to UKAS (“stage one”); and\n\n( **a** ) ISO 22870 Point-of-care testing (POCT) requirements for quality and competence was published in November 2016.\n\n( **b** ) S.I. 2002/254.",
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- "text": "from among the Members of the Assembly, to perform the functions of the office of Vice- President and any person so appointed may discharge those functions accordingly: Provided that a person appointed under this subsection shall cease to perform the functions of the office of Vice-President- (i) if his or her appointment is revoked by the Vice-President; (ii) if he or she ceases to be a Member of the Assembly otherwise than by reason of a dissolution of Parliament; or (iii) if the Vice-President ceases to perform the functions of the office of President. (6) In this section references to Members of the Assembly shall, in the event of Parliament being dissolved, be construed as references to those persons who immediately before the dissolution were Members of the Assembly. **40. Salary and allowances of President** (1) The President shall receive such salary and allowances as may be prescribed by resolution of the National Assembly, which shall be a charge on the general revenues of the Republic. (2) The salary and allowances of the President shall not be altered to his or her disadvantage during his or her period of office. (3) A person who has held the office of President shall receive such pension or, upon the expiration of his or her term of office, such gratuity as may be prescribed by resolution of the National Assembly, which shall be a charge on the Consolidated Fund. **41. Protection of President in respect of legal proceedings** (1) Whilst any person holds or performs the functions of the office of President no criminal proceedings shall be instituted or continued against him or her in respect of anything done or omitted to be done by him or her either in his or her official capacity or in his or her private capacity and no civil proceedings shall be instituted or continued in respect of which relief is claimed against him or her in respect of anything done or omitted to be done in his or her private capacity. (2) Where provision is made by law limiting the time within which proceedings of any description may be brought against any person, the term of any person in the office of President shall not be taken into account in calculating any period of time prescribed by that law which determines whether any such proceedings as are mentioned in subsection (1) of this section may be brought against that person. **PART II** * **The Cabinet** * **(ss 42-46) 42. Ministers and Assistant Ministers** (1) There shall be such offices of Minister of the Government (not exceeding six or such other number as Parliament may from time to time provide) as may be established by Parliament or, subject to the provisions of any Act of Parliament, by the President. (2) There shall be such offices of Assistant Minister (not exceeding three or such number as Parliament may from time to time provide) as may be established by Parliament or, subject to the provisions of any Act of Parliament, by the President. (3) Appointments to the office of Minister or Assistant Minister shall be made by the President from among Members of the National Assembly: Provided that- (i) not more than four persons may be appointed as Minister or Assistant Minister from amongst persons who are not Members of the Assembly but are qualified for election as such; and (ii) if occasion arises for making an appointment to the office of a Minister or an Assistant Minister while Parliament is dissolved a person who was a Member of the Assembly before the dissolution may be appointed as a Minister or an",
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- "text": "(d) to visit a person (“D”) whom P reasonably believes is dying, and where P is a member of\n\nD’s household or a close family member or friend of D;\n\n(e) to attend the funeral of a member of P’s household or a close family member;\n\n(f) in other exceptional circumstances such as—\n\n(i) to seek medical assistance where this is required urgently or on the advice of a\n\nregistered medical practitioner including to access services from dentists, opticians,\n\naudiologists, chiropodists, chiropractors, osteopaths and other medical and health\n\npractitioners, including services relating to mental health,\n\n(ii) to access critical public services including social services or services provided to\n\nvictims (such as victims of crime),\n\n(iii) to avoid injury or illness or to escape risk of harm,\n\n(iv) to access veterinary services where this is required urgently or on the advice of a\n\nveterinary surgeon.\n\n(2) P may only leave or be outside of the place where P is self-isolating in reliance on the\n\ngrounds mentioned in sub-paragraph (1)(c), (d) or (e)—\n\n(a) if P has been given prior permission by a person authorised by the Secretary of State for\n\nthis purpose;\n\n(b) if P complies with any reasonable requirements imposed by the person so authorised in\n\nrelation to the exercise, the visit to the person or attendance at the funeral.\n\n###### **Meaning of “place”**\n\n**14.** For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room\n\nin the designated accommodation where P is staying and, if connected to the room where P is\n\nstaying, the room of any person referred to in paragraph 11(a) (travelling companion), including\n\nany balcony, and does not include the communal areas or any garden, yard, passage, stair, garage,\n\nouthouse or appurtenance of the accommodation in which the place is situated.\n\n###### **Designations**\n\n**15.** The Secretary of State must designate for the purposes of this Schedule—\n\n(a) accommodation;\n\n(b) transportation to the designated accommodation,\n\nand must publish details of the designations in such manner as appears to the Secretary of State to\n\nbe appropriate.\n\n###### **Duties where P is a child**\n\n**16.** If P is a child—\n\n(a) any person who has custody or charge of P when P is travelling to England must ensure,\n\nso far as is reasonably practicable, that P complies with the obligations in paragraphs 5\n\nand 6;\n\n(b) any person who has custody or charge of P during P’s period of self-isolation must\n\nensure, so far as is reasonably practicable, that P self-isolates in accordance with this\n\nSchedule.\n\n###### **Person caring for P**\n\n**17.** A person may reside in the place where P is residing pursuant to this Schedule to provide\n\nassistance P reasonably requires by reason of—\n\n(a) P being a child; or\n\n(b) any disability of P’s,",
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- "text": "PART III *Executive Functions* 47. Functions of President 48. Command of armed forces 49. Functions of Vice-President 50. Functions of Cabinet Ministers and Assistant Ministers 51. Attorney-General 51A. Director of Public Prosecutions 52. Permanent Secretaries 53. Prerogative of Mercy 54. Advisory Committee on Prerogative of Mercy 55. Functions of Advisory Committee on Prerogative of Mercy 56. Constitution of offices\n\nCHAPTER V Parliament PART I *Composition* 57. Parliament 58. Composition of National Assembly 59. Speaker 60. Deputy Speaker 61. Qualifications for election to National Assembly 62. Disqualifications for membership of National Assembly 63. Constituencies 64. Delimitation Commission 65. Report of Commission 65A. Appointment of Independent Electoral Commission 66. Appointment of Secretary to Independent Electoral Commission 67. The franchise 68. Tenure of office of members 69. Determination of questions as to membership of National Assembly 70. Clerk of the Assembly\n\nPART II *General Provisions Relating to Procedure in National Assembly* 71. Oaths to be taken by Speaker and Members 72. Presiding in Assembly 73. Quorum in Assembly 74. Voting in Assembly 75. Unqualified persons sitting or voting 76. Regulation of procedure in Assembly\n\nPART III *Ntlo ya Dikgosi* 77. Establishment and composition of *Ntlo ya Dikgosi* 78. Designation for Member to *Ntlo ya Dikgosi* 79. Qualifications for Members of *Ntlo ya Dikgosi* 80. Oath of allegiance 81. Secretary to *Ntlo ya Dikgosi* 82. Tenure of office of Members of *Ntlo ya Dikgosi* 83. Rules of Procedure of *Ntlo ya Dikgosi* 84. *Ntlo ya Dikgosi* may transact business notwithstanding vacancies 85. Functions of *Ntlo ya Dikgosi*",
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- "text": "other judges of the Court as may be prescribed by Parliament: Provided that the office of a judge of the High Court shall not be abolished while there is a substantive holder thereof. (3) The High Court shall be a superior court of record and, save as otherwise provided by Parliament, shall have all the powers of such a court. (4) The High Court shall sit in such places as the Chief Justice may appoint. (5) The High Court shall have jurisdiction to supervise any civil or criminal proceedings before any subordinate court or any court martial and may make such orders, issue such writs and give such directions as it may consider appropriate for the purpose of ensuring that justice is duly administered by any such court. (6) The Chief Justice may make rules with respect to the practice and procedure of the High Court in relation to the jurisdiction and powers conferred on it by subsection (5) of this section. (7) The Chief Justice may appoint a Rules of Court Advisory Committee to assist him or her in reviewing and overhauling the rules made under subsection (6) and to advise on proposals to update and amend such rules. **96. Appointment of judges of High Court** (1) The Chief Justice shall be appointed by the President. (2) The other judges of the High Court shall be appointed by the President, acting in accordance with the advice of the Judicial Service Commission. (3) A person shall not be qualified to be appointed as a judge of the High Court unless- ( *a* ) he or she holds, or has held office, as a judge of a court having unlimited jurisdiction in civil and criminal matters in Botswana, in a Commonwealth country or in any country outside the Commonwealth that may be prescribed by Parliament or a court having jurisdiction in appeals from such a court; or ( *b* ) he or she is qualified to practise as an advocate or attorney in such a court and has been qualified for not less than ten years to practise as an advocate or attorney in such a court; ( *c* ) he or she is qualified to practise as an advocate or attorney and he or she has had the experience in the teaching of law in a recognised university for not less than ten years; or ( *d* ) he or she is a Chief Magistrate who has held that office for not less than five years. (4) In computing, for the purposes of subsection (3) of this section, the period during which any person has been qualified to practise as an advocate or attorney any period during which he or she has held judicial office after becoming so qualified shall be included. (5) If the office of Chief Justice is vacant or if the Chief Justice is for any reason unable to perform the functions of his or her office, then, until a person has been appointed to and has assumed the functions of that office or until the Chief Justice has resumed those functions, as the case may be, those functions shall be performed by such one of the judges of the High Court or such other person qualified for appointment as a judge of the High Court as the President may appoint for that purpose: Provided that- (i) a person may be appointed under this subsection notwithstanding that he or she has attained the age of 70 years or such other age as may be prescribed for the purposes of section 97 of this Constitution; (ii) a person appointed under this subsection, who is not a judge of the High Court, may, notwithstanding the assumption or resumption of the functions of the office of Chief Justice by the holder of that office, continue to act as a judge of the",
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- "text": "(c) they have provided the Department of Health and Social Care with a list of all\n\norganisations that they work with (whether by sub-contract or otherwise) to carry out the\n\ntesting service or to carry out genomic sequencing, indicating the nature of the service\n\nthat each organisation is providing and kept that list updated as appropriate;\n\n(d) in relation to a test which requires laboratory processing—\n\n(i) the person responsible for the taking of samples meets the relevant requirements for\n\naccreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the\n\ntaking of samples, and\n\n(ii) the laboratory used by the test provider for the processing of samples meets the\n\nrelevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard\n\n17025 in respect of the processing of samples;\n\n(e) in relation to a point of care test, they meet the relevant requirements for accreditation to\n\nISO Standard 15189 and ISO standard 22870;\n\n(f) they receive the information required by paragraph 10(3) or (4) (as appropriate), and if\n\nthey administer the test to P, they do so no earlier than the end of the seventh day after the\n\nday on which P arrived in England;\n\n(g) each day, they notify the Secretary of State in writing of—\n\n(i) the number of tests they sold on that day, and\n\n(ii) in relation to each test sold on that day—\n\n(aa) the date of arrival in England of the person in respect of whom the test was\n\nsold, and\n\n(bb) whether the person in respect of whom the test was sold is a category 1 arrival\n\nor not;\n\n(h) if they arrange with another person (“X”) for X to carry out any element of the single\n\nend-to-end testing service on their behalf, the test provider ensures that X complies with\n\nthe following so far as relevant to the carrying out of that element—\n\n(i) paragraph 3(1)(e) to (i) of Schedule 10 as applied by paragraph (a) of this sub-\n\nparagraph,\n\n(ii) paragraph (b) to (g) of this sub-paragraph,\n\n(iii) paragraph 11(2), (3) and (4).\n\n(2) For the purposes of sub-paragraph (1)(h), “single end-to-end testing service” has the\n\nmeaning given in paragraph 3(2)(c) of Schedule 10.\n\n(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be)\n\nmeets the relevant requirements for accreditation to a standard where the person who is the\n\noperator of the laboratory complies with the requirements of regulation 6 of the Health Protection\n\n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if—\n\n(a) a reference to an applicable test were a reference to a day 8 test;\n\n(b) a reference to a test provider were a reference to a private provider.\n\n###### **Required circumstances for undertaking a day 2 test or a day 8 test**\n\n**10.** —(1) The circumstances mentioned in regulation 6(12)(a) and (b) are as follows.\n\n(2) In relation to—\n\n(a) a day 2 test, P undertakes the test no later than the end of the second day after the day on\n\nwhich P arrived in England;\n\n(b) a day 8 test, P undertakes the test no earlier than the end of the seventh day after the day\n\non which P arrived in England.\n\n(3) Subject to sub-paragraph (4), at the time the test is booked P notifies the test provider that P\n\nis to undertake the test under these Regulations, and provides the test provider with—\n\n(a) the information set out in paragraph 4(b)(i) to (v) and (vii) to (xiii) of Schedule 10; and",
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- "text": "##### **PART I. FINANCIAL INFORMATION**\n\n##### **ITEM 1. FINANCIAL STATEMENTS**\n\n##### **Tesla, Inc.**\n\n##### **Consolidated Balance Sheets**\n\n##### **(in millions, except per share data)**\n\n##### **(unaudited)**\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\n**Assets**\n\nCurrent assets\n\nCash and cash equivalents $ 18,111 $ 16,398\n\nShort-term investments 15,537 12,696\n\nAccounts receivable, net 3,313 3,508\n\nInventory 14,530 13,626\n\nPrepaid expenses and other current assets 4,888 3,388\n\nTotal current assets 56,379 49,616\n\nOperating lease vehicles, net 5,380 5,989\n\nSolar energy systems, net 5,040 5,229\n\nProperty, plant and equipment, net 36,116 29,725\n\nOperating lease right-of-use assets 4,867 4,180\n\nDigital assets, net 184 184\n\nIntangible assets, net 158 178\n\nGoodwill 253 253\n\nDeferred tax assets 6,486 6,733\n\nOther non-current assets 4,989 4,531\n\n**Total assets** $ 119,852 $ 106,618\n\n**Liabilities**\n\nCurrent liabilities\n\nAccounts payable $ 14,654 $ 14,431\n\nAccrued liabilities and other 10,601 9,080\n\nDeferred revenue 3,031 2,864\n\nCurrent portion of debt and finance leases 2,291 2,373\n\nTotal current liabilities 30,577 28,748\n\nDebt and finance leases, net of current portion 5,405 2,857\n\nDeferred revenue, net of current portion 3,350 3,251\n\nOther long-term liabilities 9,810 8,153\n\n**Total liabilities** 49,142 43,009\n\nCommitments and contingencies (Note 10)\n\nRedeemable noncontrolling interests in subsidiaries 70 242\n\n**Equity**\n\nStockholders’ equity\n\nPreferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding — —\n\nCommon stock; $0.001 par value; 6,000 shares authorized; 3,207 and 3,185 shares issued and\n\noutstanding as of September 30, 2024 and December 31, 2023, respectively 3 3\n\nAdditional paid-in capital 37,286 34,892\n\nAccumulated other comprehensive loss (14) (143)\n\nRetained earnings 32,656 27,882\n\nTotal stockholders’ equity 69,931 62,634\n\nNoncontrolling interests in subsidiaries 709 733\n\n**Total liabilities and equity** $ 119,852 $ 106,618\n\nThe accompanying notes are an integral part of these consolidated financial statements. 4\n\n5 sur 49 6 sur 49",
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- "text": "*Certain Investigations and Other Matters*\n\nWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities such\n\nas the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and Exchange\n\nCommission (“SEC”), the Department of Justice (“DOJ”), and various local, state, federal, and international agencies. The\n\nongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents,\n\nAutopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla’s business, its personnel,\n\nand related parties. We routinely cooperate with such formal and informal requests for information, investigations, and other\n\ninquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred.\n\nWe cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcement\n\naction, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows,\n\nfinancial position or brand.\n\nWe are also subject to various other legal proceedings, risks and claims that arise from the normal course of business\n\nactivities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain\n\nmisappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications\n\nto potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain\n\nlaw enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court\n\nfor the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by\n\nseveral additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an\n\nunfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the\n\npossibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand.\n\n##### **Note 11 - Variable Interest Entity Arrangements**\n\nThe aggregate carrying values of the variable interest entities’ assets and liabilities, after elimination of any\n\nintercompany transactions and balances, in the consolidated balance sheets were as follows (in millions):\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\n##### **Assets**\n\nCurrent assets\n\nCash and cash equivalents $ 51 $ 66\n\nAccounts receivable, net 28 13\n\nPrepaid expenses and other current assets 263 361\n\nTotal current assets 342 440\n\nOperating lease vehicles, net 451 —\n\nSolar energy systems, net 2,524 3,278\n\nOther non-current assets 190 369\n\nTotal assets $ 3,507 $ 4,087\n\n##### **Liabilities**\n\nCurrent liabilities\n\nAccrued liabilities and other $ 36 $ 67\n\nDeferred revenue 7 6\n\nCurrent portion of debt and finance leases 1,930 1,564\n\nTotal current liabilities 1,973 1,637\n\nDeferred revenue, net of current portion 81 99\n\nDebt and finance leases, net of current portion 1,826 2,041\n\nTotal liabilities $ 3,880 $ 3,777\n\n24",
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- "text": "##### **Tesla, Inc.**\n\n##### **Notes to Consolidated Financial Statements**\n\n##### **(unaudited)**\n\n##### **Note 1 - Overview & Summary of Significant Accounting Policies**\n\n*Overview*\n\nTesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003 and\n\nconverted to a Texas corporation on June 13, 2024.\n\n*Unaudited Interim Financial Statements*\n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the\n\nconsolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of\n\nredeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the\n\nconsolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information\n\ndisclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from\n\nthe audited consolidated financial statements as of that date. The interim consolidated financial statements and the\n\naccompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying\n\nnotes contained in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the\n\nannual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal\n\nrecurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated\n\nresults of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any\n\nother future years or interim periods.\n\n*Reclassifications*\n\nCertain prior period balances have been reclassified to conform to the current period presentation in the consolidated\n\nfinancial statements and the accompanying notes.\n\n*Revenue Recognition*\n\n*Revenue by source*\n\nThe following table disaggregates our revenue by major source (in millions):\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\nAutomotive sales $ 18,831 $ 18,582 $ 53,821 $ 57,879\n\nAutomotive regulatory credits 739 554 2,071 1,357\n\nEnergy generation and storage sales 2,228 1,416 6,616 4,188\n\nServices and other 2,790 2,166 7,686 6,153\n\nTotal revenues from sales and services 24,588 22,718 70,194 69,577\n\nAutomotive leasing 446 489 1,380 1,620\n\nEnergy generation and storage leasing 148 143 409 409\n\nTotal revenues $ 25,182 $ 23,350 $ 71,983 $ 71,606\n\n*Automotive Segment*\n\nAutomotive Sales\n\nDeferred revenue related to the access to our Full Self Driving (Supervised) (“FSD”) Capability features and their\n\nongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on\n\nautomotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively.\n\n10",
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Operations**\n\n##### **(in millions, except per share data)**\n\n##### **(unaudited)**\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\n**Revenues**\n\nAutomotive sales $ 18,831 $ 18,582 $ 53,821 $ 57,879\n\nAutomotive regulatory credits 739 554 2,071 1,357\n\nAutomotive leasing 446 489 1,380 1,620\n\nTotal automotive revenues 20,016 19,625 57,272 60,856\n\nEnergy generation and storage 2,376 1,559 7,025 4,597\n\nServices and other 2,790 2,166 7,686 6,153\n\nTotal revenues 25,182 23,350 71,983 71,606\n\n**Cost of revenues**\n\nAutomotive sales 15,743 15,656 45,602 47,919\n\nAutomotive leasing 247 301 761 972\n\nTotal automotive cost of revenues 15,990 15,957 46,363 48,891\n\nEnergy generation and storage 1,651 1,178 5,157 3,770\n\nServices and other 2,544 2,037 7,192 5,723\n\nTotal cost of revenues 20,185 19,172 58,712 58,384\n\n**Gross profit** 4,997 4,178 13,271 13,222\n\n**Operating expenses**\n\nResearch and development 1,039 1,161 3,264 2,875\n\nSelling, general and administrative 1,186 1,253 3,837 3,520\n\nRestructuring and other 55 — 677 —\n\nTotal operating expenses 2,280 2,414 7,778 6,395\n\n**Income from operations** 2,717 1,764 5,493 6,827\n\nInterest income 429 282 1,127 733\n\nInterest expense (92) (38) (254) (95)\n\nOther (expense) income, net (270) 37 (142) 317\n\n**Income before income taxes** 2,784 2,045 6,224 7,782\n\nProvision for income taxes 601 167 1,403 751\n\n**Net income** 2,183 1,878 4,821 7,031\n\nNet income (loss) attributable to noncontrolling interests and\n\nredeemable noncontrolling interests in subsidiaries 16 25 47 (38)\n\n**Net income attributable to common stockholders** $ 2,167 $ 1,853 $ 4,774 $ 7,069\n\nNet income per share of common stock attributable to\n\ncommon stockholders\n\nBasic $ 0.68 $ 0.58 $ 1.51 $ 2.23\n\nDiluted $ 0.62 $ 0.53 $ 1.38 $ 2.03\n\nWeighted average shares used in computing net income per\n\nshare of common stock\n\nBasic 3,198 3,176 3,192 3,171\n\nDiluted 3,497 3,493 3,489 3,481\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n5\n\n7 sur 49",
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- "text": "##### **ITEM 2. MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF**\n\n##### **OPERATIONS**\n\n*The following discussion and analysis should be read in conjunction with the consolidated financial statements and the*\n\n*related notes included elsewhere in this Quarterly Report on Form 10-Q.*\n\n##### **Overview**\n\nOur mission is to accelerate the world’s transition to sustainable energy. We design, develop, manufacture, lease and sell\n\nhigh-performance fully electric vehicles, solar energy generation systems and energy storage products. We also offer\n\nmaintenance, installation, operation, charging, insurance, financial and other services related to our products. Additionally, we\n\nare increasingly focused on products and services based on AI, robotics and automation.\n\nIn 2024, we produced approximately 1,314,000 consumer vehicles and delivered approximately 1,294,000 consumer\n\nvehicles through the third quarter. We are focused on profitable growth, including by leveraging existing factories and\n\nproduction lines to introduce new and more affordable products, further improving and deploying our FSD capabilities,\n\nincluding through our planned robotaxi product, reducing costs, increasing vehicle production, utilized capacity and delivery\n\ncapabilities, improving and developing our vehicles and battery technologies, vertically integrating and localizing our supply\n\nchain, and expanding our global infrastructure, including our service and charging infrastructure.\n\nIn 2024, we deployed 20.41 GWh of energy storage products through the third quarter. We are focused on ramping the\n\nproduction and increasing the market penetration of our energy storage products.\n\nDuring the three and nine months ended September 30, 2024, we recognized total revenues of $25.18 billion and\n\n$71.98 billion, respectively, representing increases of $1.83 billion and $377 million, respectively, compared to the same\n\nperiods in the prior year. During the three and nine months ended September 30, 2024, our net income attributable to common\n\nstockholders was $2.17 billion and $4.77 billion, respectively, representing an increase of $314 million and a decrease of $2.30\n\nbillion, respectively, compared to the same periods in the prior year. We continue to ramp production and build and optimize\n\nour manufacturing capacity, expand our operations while focusing on further cost reductions and operational efficiencies to\n\nenable increased deliveries and deployments of our products, and invest in research and development to accelerate our AI,\n\nsoftware, and fleet-based profits for further revenue growth.\n\nWe ended the third quarter of 2024 with $33.65 billion in cash and cash equivalents and investments, representing an\n\nincrease of $4.55 billion from the end of 2023. Our cash flows provided by operating activities were $10.11 billion during the\n\nnine months ended September 30, 2024, compared to $8.89 billion during the same period ended September 30, 2023,\n\nrepresenting an increase of $1.22 billion. Capital expenditures amounted to $8.56 billion during the nine months ended\n\nSeptember 30, 2024, compared to $6.59 billion during the same period ended September 30, 2023, representing an increase of\n\n$1.96 billion. Overall growth has allowed our business to generally fund itself, and we will continue investing in a number of\n\ncapital-intensive projects and research and development in upcoming periods.\n\n##### **Management Opportunities, Challenges and Uncertainties and 2024 Outlook**\n\n*Automotive—Production*\n\nThe following is a summary of the status of production of each of our announced vehicle models in production and\n\nunder development, as of the date of this Quarterly Report on Form 10-Q:\n\n**Production Location Vehicle Model(s) Production Status**\n\nFremont Factory Model S / Model X Active\n\nModel 3 / Model Y Active\n\nGigafactory Shanghai Model 3 / Model Y Active\n\nGigafactory Berlin-Brandenburg Model Y Active\n\nGigafactory Texas Model Y Active\n\nCybertruck Active\n\nGigafactory Nevada Tesla Semi Pilot production\n\nVarious Next Generation Platform In development\n\nTBD Roadster In development\n\n26",
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Cash Flows**\n\n##### **(in millions)**\n\n##### **(unaudited)**\n\n**Nine Months Ended September 30,**\n\n**2024 2023**\n\n**Cash Flows from Operating Activities**\n\nNet income $ 4,821 $ 7,031\n\nAdjustments to reconcile net income to net cash provided by operating activities:\n\nDepreciation, amortization and impairment 3,872 3,435\n\nStock-based compensation 1,420 1,328\n\nInventory and purchase commitments write-downs 247 361\n\nForeign currency transaction net unrealized loss (gain) 197 (317)\n\nDeferred income taxes 418 (316)\n\nNon-cash interest and other operating activities 83 94\n\nChanges in operating assets and liabilities:\n\nAccounts receivable 144 377\n\nInventory (1,107) (1,953)\n\nOperating lease vehicles (82) (1,858)\n\nPrepaid expenses and other assets (2,639) (1,992)\n\nAccounts payable, accrued and other liabilities 2,504 1,922\n\nDeferred revenue 231 774\n\nNet cash provided by operating activities 10,109 8,886\n\n**Cash Flows from Investing Activities**\n\nPurchases of property and equipment excluding finance leases, net of sales (8,556) (6,592)\n\nPurchases of solar energy systems, net of sales (6) —\n\nPurchases of investments (20,797) (13,221)\n\nProceeds from maturities of investments 17,975 8,959\n\nProceeds from sales of investments 200 138\n\nBusiness combinations, net of cash acquired — (64)\n\nNet cash used in investing activities (11,184) (10,780)\n\n**Cash Flows from Financing Activities**\n\nProceeds from issuances of debt 4,360 2,526\n\nRepayments of debt (1,783) (887)\n\nProceeds from exercises of stock options and other stock issuances 788 548\n\nPrincipal payments on finance leases (291) (340)\n\nDebt issuance costs (6) (23)\n\nDistributions paid to noncontrolling interests in subsidiaries (76) (105)\n\nPayments for buy-outs of noncontrolling interests in subsidiaries (124) (17)\n\nNet cash provided by financing activities 2,868 1,702\n\nEffect of exchange rate changes on cash and cash equivalents and restricted cash (8) (142)\n\nNet increase (decrease) in cash and cash equivalents and restricted cash 1,785 (334)\n\nCash and cash equivalents and restricted cash, beginning of period 17,189 16,924\n\nCash and cash equivalents and restricted cash, end of period $ 18,974 $ 16,590\n\n**Supplemental Non-Cash Investing and Financing Activities**\n\nAcquisitions of property and equipment included in liabilities $ 2,727 $ 1,717\n\nLeased assets obtained in exchange for finance lease liabilities $ 32 $ 1\n\nLeased assets obtained in exchange for operating lease liabilities $ 1,232 $ 1,548\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n9",
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Redeemable Noncontrolling Interests and Equity**\n\n##### **(in millions)**\n\n##### **(unaudited)**\n\n**Three Months**\n\n**Ended**\n\n**September 30,**\n\n**2024**\n\n**Redeemable**\n\n**Noncontrolling**\n\n**Interests**\n\n**Common Stock Additional**\n\n**Paid-In**\n\n**Capital**\n\n**Accumulated**\n\n**Other**\n\n**Comprehensive**\n\n**Loss**\n\n**Retained**\n\n**Earnings**\n\n**Total**\n\n**Stockholders’**\n\n**Equity**\n\n**Noncontrolling**\n\n**Interests in**\n\n**Subsidiaries**\n\n**Total**\n\n**Equity Shares Amount**\n\n**Balance as of**\n\n**June 30, 2024** $ 72 3,194 $ 3 $ 36,443 $ (467) $ 30,489 $ 66,468 $ 723 $67,191\n\nSettlement of\n\nwarrants — 9 — — — — — — —\n\nIssuance of\n\ncommon\n\nstock for\n\nequity\n\nincentive\n\nawards — 4 — 340 — — 340 — 340\n\nStock-based\n\ncompensation — — — 503 — — 503 — 503\n\nDistributions to\n\nnoncontrolling\n\ninterests (3) — — — — — — (29) (29)\n\nNet income 1 — — — — 2,167 2,167 15 2,182\n\nOther\n\ncomprehensive\n\nincome — — — — 453 — 453 — 453\n\n**Balance as of**\n\n**September 30,**\n\n**2024** $ 70 3,207 $ 3 $ 37,286 $ (14) $ 32,656 $ 69,931 $ 709 $70,640\n\n**Nine Months**\n\n**Ended**\n\n**September 30,**\n\n**2024**\n\n**Redeemable**\n\n**Noncontrolling**\n\n**Interests**\n\n**Common Stock Additional**\n\n**Paid-In**\n\n**Capital**\n\n**Accumulated**\n\n**Other**\n\n**Comprehensive**\n\n**Loss**\n\n**Retained**\n\n**Earnings**\n\n**Total**\n\n**Stockholders’**\n\n**Equity**\n\n**Noncontrolling**\n\n**Interests in**\n\n**Subsidiaries**\n\n**Total**\n\n**Equity Shares Amount**\n\n**Balance as of**\n\n**December 31,**\n\n**2023** $ 242 3,185 $ 3 $ 34,892 $ (143) $ 27,882 $ 62,634 $ 733 $63,367\n\nSettlement of\n\nwarrants — 9 — — — — — — —\n\nIssuance of\n\ncommon\n\nstock for\n\nequity\n\nincentive\n\nawards — 13 — 787 — — 787 — 787\n\nStock-based\n\ncompensation — — — 1,565 — — 1,565 — 1,565\n\nDistributions to\n\nnoncontrolling\n\ninterests (11) — — — — — — (66) (66)\n\nBuy-outs of\n\nnoncontrolling\n\ninterests (166) — — 42 — — 42 — 42\n\nNet income 5 — — — — 4,774 4,774 42 4,816\n\nOther\n\ncomprehensive\n\nincome — — — — 129 — 129 — 129\n\n**Balance as of**\n\n**September 30,**\n\n**2024** $ 70 3,207 $ 3 $ 37,286 $ (14) $ 32,656 $ 69,931 $ 709 $70,640\n\n9 sur 49",
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Comprehensive Income**\n\n##### **(in millions)**\n\n##### **(unaudited)**\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\nNet income $ 2,183 $ 1,878 $ 4,821 $ 7,031\n\nOther comprehensive income (loss):\n\nForeign currency translation adjustment 445 (289) 121 (343)\n\nUnrealized net gain on investments, net of tax 8 7 8 8\n\nNet loss realized and included in net income — — — 4\n\nComprehensive income 2,636 1,596 4,950 6,700\n\nLess: Comprehensive income (loss) attributable to\n\nnoncontrolling interests and redeemable\n\nnoncontrolling interests in subsidiaries 16 25 47 (38)\n\nComprehensive income attributable to common\n\nstockholders $ 2,620 $ 1,571 $ 4,903 $ 6,738\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n6\n\n8 sur 49",
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- "text": "##### **TESLA, INC.**\n\n##### **FORM 10-Q FOR THE QUARTER ENDED SEPTEMBER 30, 2024**\n\n##### **INDEX**\n\n**Page**\n\n##### **PART I. FINANCIAL INFORMATION**\n\nItem 1. Financial Statements 4\n\nConsolidated Balance Sheets 4\n\nConsolidated Statements of Operations 5\n\nConsolidated Statements of Comprehensive Income 6\n\nConsolidated Statements of Redeemable Noncontrolling Interests and Equity 7\n\nConsolidated Statements of Cash Flows 9\n\nNotes to Consolidated Financial Statements 10\n\nItem 2. Management's Discussion and Analysis of Financial Condition and Results of Operations 26\n\nItem 3. Quantitative and Qualitative Disclosures about Market Risk 35\n\nItem 4. Controls and Procedures 35\n\n##### **PART II. OTHER INFORMATION**\n\nItem 1. Legal Proceedings 36\n\nItem 1A. Risk Factors 36\n\nItem 2. Unregistered Sales of Equity Securities and Use of Proceeds 36\n\nItem 3. Defaults Upon Senior Securities 36\n\nItem 4. Mine Safety Disclosures 36\n\nItem 5. Other Information 36\n\nItem 6. Exhibits 37\n\nSignatures 38\n\n1\n\n3 sur 49",
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- "text": "##### **Note 5 - Accrued Liabilities and Other**\n\nOur accrued liabilities and other current liabilities consisted of the following (in millions):\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\nAccrued purchases (1) $ 2,424 $ 2,721\n\nAccrued warranty reserve, current portion 1,839 1,546\n\nPayroll and related costs 1,513 1,325\n\nTaxes payable (2) 1,265 1,204\n\nCustomer deposits 994 876\n\nOperating lease liabilities, current portion 797 672\n\nSales return reserve, current portion 226 219\n\nOther current liabilities 1,543 517\n\nTotal $ 10,601 $ 9,080\n\n(1) Accrued purchases primarily reflects receipts of goods and services for which we had not yet been invoiced. As we are\n\ninvoiced for these goods and services, this balance will reduce and accounts payable will increase.\n\n(2) Taxes payable primarily includes value added tax, income tax, sales tax, property tax and use tax payables.\n\n##### **Note 6 - Other Long-Term Liabilities**\n\nOur other long-term liabilities consisted of the following (in millions):\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\nOperating lease liabilities $ 4,290 $ 3,671\n\nAccrued warranty reserve 4,524 3,606\n\nOther non-current liabilities 996 876\n\nTotal other long-term liabilities $ 9,810 $ 8,153\n\n##### **Note 7 - Debt**\n\nThe following is a summary of our debt and finance leases as of September 30, 2024 (in millions):\n\n**Net Carrying Value Unpaid**\n\n**Principal**\n\n**Balance**\n\n**Unused**\n\n**Committed**\n\n**Amount (1)**\n\n**Contractual**\n\n**Interest Rates**\n\n**Contractual**\n\n**Maturity Date Current Long-Term**\n\n**Recourse debt:**\n\nRCF Credit Agreement $ — $ — $ — $ 5,000 Not applicable January 2028\n\nOther 8 3 11 — 3.96-5.75% March 2025-January 2031\n\nTotal recourse debt 8 3 11 5,000\n\n**Non-recourse debt:**\n\nAutomotive Asset-backed Notes 2,073 2,107 4,195 — 3.95-6.57% August 2025-June 2035\n\nChina Working Capital Facility — 2,851 2,851 — 2.27 % April 2025 (2)\n\nCash Equity Debt 30 309 348 — 5.25-5.81% July 2033-January 2035\n\nSolar Asset-backed Notes 4 5 10 — 4.80 % December 2026\n\nTotal non-recourse debt 2,107 5,272 7,404 —\n\nTotal debt 2,115 5,275 $ 7,415 $ 5,000\n\nFinance leases 176 130\n\nTotal debt and finance leases $ 2,291 $ 5,405\n\n18",
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- "source_file": "tesla_form_10q.pdf",
- "query": "Where was Tesla incorporated? ",
- "target_page": 13,
- "target_passage": "State of Delaware",
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- "text": "##### **Tesla, Inc.**\n\n##### **Notes to Consolidated Financial Statements**\n\n##### **(unaudited)**\n\n##### **Note 1 - Overview & Summary of Significant Accounting Policies**\n\n*Overview*\n\nTesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003 and\n\nconverted to a Texas corporation on June 13, 2024.\n\n*Unaudited Interim Financial Statements*\n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the\n\nconsolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of\n\nredeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the\n\nconsolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information\n\ndisclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from\n\nthe audited consolidated financial statements as of that date. The interim consolidated financial statements and the\n\naccompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying\n\nnotes contained in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the\n\nannual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal\n\nrecurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated\n\nresults of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any\n\nother future years or interim periods.\n\n*Reclassifications*\n\nCertain prior period balances have been reclassified to conform to the current period presentation in the consolidated\n\nfinancial statements and the accompanying notes.\n\n*Revenue Recognition*\n\n*Revenue by source*\n\nThe following table disaggregates our revenue by major source (in millions):\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\nAutomotive sales $ 18,831 $ 18,582 $ 53,821 $ 57,879\n\nAutomotive regulatory credits 739 554 2,071 1,357\n\nEnergy generation and storage sales 2,228 1,416 6,616 4,188\n\nServices and other 2,790 2,166 7,686 6,153\n\nTotal revenues from sales and services 24,588 22,718 70,194 69,577\n\nAutomotive leasing 446 489 1,380 1,620\n\nEnergy generation and storage leasing 148 143 409 409\n\nTotal revenues $ 25,182 $ 23,350 $ 71,983 $ 71,606\n\n*Automotive Segment*\n\nAutomotive Sales\n\nDeferred revenue related to the access to our Full Self Driving (Supervised) (“FSD”) Capability features and their\n\nongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on\n\nautomotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively.\n\n10",
- "page_start": 12,
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- "source_file": "tesla_form_10q.pdf"
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- "text": "*Certain Investigations and Other Matters*\n\nWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities such\n\nas the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and Exchange\n\nCommission (“SEC”), the Department of Justice (“DOJ”), and various local, state, federal, and international agencies. The\n\nongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents,\n\nAutopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla’s business, its personnel,\n\nand related parties. We routinely cooperate with such formal and informal requests for information, investigations, and other\n\ninquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred.\n\nWe cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcement\n\naction, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows,\n\nfinancial position or brand.\n\nWe are also subject to various other legal proceedings, risks and claims that arise from the normal course of business\n\nactivities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain\n\nmisappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications\n\nto potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain\n\nlaw enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court\n\nfor the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by\n\nseveral additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an\n\nunfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the\n\npossibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand.\n\n##### **Note 11 - Variable Interest Entity Arrangements**\n\nThe aggregate carrying values of the variable interest entities’ assets and liabilities, after elimination of any\n\nintercompany transactions and balances, in the consolidated balance sheets were as follows (in millions):\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\n##### **Assets**\n\nCurrent assets\n\nCash and cash equivalents $ 51 $ 66\n\nAccounts receivable, net 28 13\n\nPrepaid expenses and other current assets 263 361\n\nTotal current assets 342 440\n\nOperating lease vehicles, net 451 —\n\nSolar energy systems, net 2,524 3,278\n\nOther non-current assets 190 369\n\nTotal assets $ 3,507 $ 4,087\n\n##### **Liabilities**\n\nCurrent liabilities\n\nAccrued liabilities and other $ 36 $ 67\n\nDeferred revenue 7 6\n\nCurrent portion of debt and finance leases 1,930 1,564\n\nTotal current liabilities 1,973 1,637\n\nDeferred revenue, net of current portion 81 99\n\nDebt and finance leases, net of current portion 1,826 2,041\n\nTotal liabilities $ 3,880 $ 3,777\n\n24",
- "page_start": 29,
- "page_end": 29,
- "source_file": "tesla_form_10q.pdf"
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- "text": "##### **PART I. FINANCIAL INFORMATION**\n\n##### **ITEM 1. FINANCIAL STATEMENTS**\n\n##### **Tesla, Inc.**\n\n##### **Consolidated Balance Sheets**\n\n##### **(in millions, except per share data)**\n\n##### **(unaudited)**\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\n**Assets**\n\nCurrent assets\n\nCash and cash equivalents $ 18,111 $ 16,398\n\nShort-term investments 15,537 12,696\n\nAccounts receivable, net 3,313 3,508\n\nInventory 14,530 13,626\n\nPrepaid expenses and other current assets 4,888 3,388\n\nTotal current assets 56,379 49,616\n\nOperating lease vehicles, net 5,380 5,989\n\nSolar energy systems, net 5,040 5,229\n\nProperty, plant and equipment, net 36,116 29,725\n\nOperating lease right-of-use assets 4,867 4,180\n\nDigital assets, net 184 184\n\nIntangible assets, net 158 178\n\nGoodwill 253 253\n\nDeferred tax assets 6,486 6,733\n\nOther non-current assets 4,989 4,531\n\n**Total assets** $ 119,852 $ 106,618\n\n**Liabilities**\n\nCurrent liabilities\n\nAccounts payable $ 14,654 $ 14,431\n\nAccrued liabilities and other 10,601 9,080\n\nDeferred revenue 3,031 2,864\n\nCurrent portion of debt and finance leases 2,291 2,373\n\nTotal current liabilities 30,577 28,748\n\nDebt and finance leases, net of current portion 5,405 2,857\n\nDeferred revenue, net of current portion 3,350 3,251\n\nOther long-term liabilities 9,810 8,153\n\n**Total liabilities** 49,142 43,009\n\nCommitments and contingencies (Note 10)\n\nRedeemable noncontrolling interests in subsidiaries 70 242\n\n**Equity**\n\nStockholders’ equity\n\nPreferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding — —\n\nCommon stock; $0.001 par value; 6,000 shares authorized; 3,207 and 3,185 shares issued and\n\noutstanding as of September 30, 2024 and December 31, 2023, respectively 3 3\n\nAdditional paid-in capital 37,286 34,892\n\nAccumulated other comprehensive loss (14) (143)\n\nRetained earnings 32,656 27,882\n\nTotal stockholders’ equity 69,931 62,634\n\nNoncontrolling interests in subsidiaries 709 733\n\n**Total liabilities and equity** $ 119,852 $ 106,618\n\nThe accompanying notes are an integral part of these consolidated financial statements. 4\n\n5 sur 49 6 sur 49",
- "page_start": 4,
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- "source_file": "tesla_form_10q.pdf"
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- "text": "### **UNITED STATES**\n\n### **SECURITIES AND EXCHANGE COMMISSION**\n\n#### **Washington, D.C. 20549**\n\n### **FORM 10-Q**\n\n##### **(Mark One)**\n\nx **QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF**\n\n## **1934**\n\n##### **For the quarterly period ended September 30, 2024**\n\n##### **OR**\n\no **TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF**\n\n## **1934**\n\n##### **For the transition period from _________ to _________**\n\n##### **Commission File Number: 001-34756**\n\n## **Tesla, Inc.**\n\n##### **(Exact name of registrant as specified in its charter)**\n\n**Texas 91-2197729**\n\n**(State or other jurisdiction of**\n\n**incorporation or organization)**\n\n**(I.R.S. Employer**\n\n**Identification No.)**\n\n**1 Tesla Road**\n\n**Austin, Texas 78725**\n\n**(Address of principal executive offices) (Zip Code)**\n\n##### **(512) 516-8177**\n\n**(Registrant’s telephone number, including area code)**\n\n##### **Securities registered pursuant to Section 12(b) of the Act:**\n\n| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |\n|:---|:---|:---|\n| Common stock | TSLA | The Nasdaq Global Select Market |\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of\n\n1934 (“Exchange Act”) during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been\n\nsubject to such filing requirements for the past 90 days. Yes x No o\n\nIndicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405\n\nof Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).\n\nYes x No o\n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or\n\nan emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth\n\ncompany” in Rule 12b-2 of the Exchange Act:\n\nLarge accelerated filer x Accelerated filer o\n\nNon-accelerated filer o Smaller reporting company o\n\nEmerging growth company o\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised\n\nfinancial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o\n\nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x\n\nAs of October 18, 2024, there were 3,210,059,659 shares of the registrant’s common stock outstanding.\n\n1 sur 49 2 sur 49",
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Operations**\n\n##### **(in millions, except per share data)**\n\n##### **(unaudited)**\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\n**Revenues**\n\nAutomotive sales $ 18,831 $ 18,582 $ 53,821 $ 57,879\n\nAutomotive regulatory credits 739 554 2,071 1,357\n\nAutomotive leasing 446 489 1,380 1,620\n\nTotal automotive revenues 20,016 19,625 57,272 60,856\n\nEnergy generation and storage 2,376 1,559 7,025 4,597\n\nServices and other 2,790 2,166 7,686 6,153\n\nTotal revenues 25,182 23,350 71,983 71,606\n\n**Cost of revenues**\n\nAutomotive sales 15,743 15,656 45,602 47,919\n\nAutomotive leasing 247 301 761 972\n\nTotal automotive cost of revenues 15,990 15,957 46,363 48,891\n\nEnergy generation and storage 1,651 1,178 5,157 3,770\n\nServices and other 2,544 2,037 7,192 5,723\n\nTotal cost of revenues 20,185 19,172 58,712 58,384\n\n**Gross profit** 4,997 4,178 13,271 13,222\n\n**Operating expenses**\n\nResearch and development 1,039 1,161 3,264 2,875\n\nSelling, general and administrative 1,186 1,253 3,837 3,520\n\nRestructuring and other 55 — 677 —\n\nTotal operating expenses 2,280 2,414 7,778 6,395\n\n**Income from operations** 2,717 1,764 5,493 6,827\n\nInterest income 429 282 1,127 733\n\nInterest expense (92) (38) (254) (95)\n\nOther (expense) income, net (270) 37 (142) 317\n\n**Income before income taxes** 2,784 2,045 6,224 7,782\n\nProvision for income taxes 601 167 1,403 751\n\n**Net income** 2,183 1,878 4,821 7,031\n\nNet income (loss) attributable to noncontrolling interests and\n\nredeemable noncontrolling interests in subsidiaries 16 25 47 (38)\n\n**Net income attributable to common stockholders** $ 2,167 $ 1,853 $ 4,774 $ 7,069\n\nNet income per share of common stock attributable to\n\ncommon stockholders\n\nBasic $ 0.68 $ 0.58 $ 1.51 $ 2.23\n\nDiluted $ 0.62 $ 0.53 $ 1.38 $ 2.03\n\nWeighted average shares used in computing net income per\n\nshare of common stock\n\nBasic 3,198 3,176 3,192 3,171\n\nDiluted 3,497 3,493 3,489 3,481\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n5\n\n7 sur 49",
- "page_start": 6,
- "page_end": 6,
- "source_file": "tesla_form_10q.pdf"
- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- },
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- "text": "##### * **Legal Proceedings** *\n\n*Litigation Relating to 2018 CEO Performance Award*\n\nOn June 4, 2018, a purported Tesla stockholder filed a putative class and derivative action in the Delaware Court of\n\nChancery against Elon Musk and the members of Tesla’s board of directors as then constituted, alleging corporate waste, unjust\n\nenrichment and that such board members breached their fiduciary duties by approving the stock-based compensation plan\n\nawarded to Elon Musk in 2018 (the “2018 CEO Performance Award”). Trial was held November 14-18, 2022. On January 30,\n\n2024, the Court issued an opinion finding that the 2018 CEO Performance Award should be rescinded. Plaintiff’s counsel filed\n\na brief seeking a fee award of 29,402,900 Tesla shares, plus expenses of $1,120,115.50. Tesla opposed the fee request on June\n\n7, 2024, and a hearing was held on July 8, 2024. At Tesla’s 2024 Annual Meeting of Stockholders, 72% of the disinterested\n\nvoting shares of Tesla, excluding shares owned by Mr. Musk and Kimbal Musk, voted to ratify the 2018 CEO Performance\n\nAward. On June 28, 2024, because Tesla’s disinterested stockholders voted to ratify the 2018 CEO Performance Award, Mr.\n\nMusk and the other director defendants, joined by Tesla, filed a brief seeking to revise the Court’s January 30, 2024 opinion,\n\nand a hearing was held on August 2, 2024.\n\n*Litigation Related to Directors’ Compensation*\n\nOn June 17, 2020, a purported Tesla stockholder filed a derivative action in the Delaware Court of Chancery,\n\npurportedly on behalf of Tesla, against certain of Tesla’s current and former directors regarding compensation awards granted\n\nto Tesla’s directors, other than Elon Musk, between 2017 and 2020. The suit asserts claims for breach of fiduciary duty and\n\nunjust enrichment and seeks declaratory and injunctive relief, unspecified damages and other relief. Defendants filed their\n\nanswer on September 17, 2020.\n\nOn July 14, 2023, the parties filed a Stipulation and Agreement of Compromise and Settlement, which does not involve\n\nan admission of any wrongdoing by any party. If the settlement is approved by the Court, this action will be fully settled and\n\ndismissed with prejudice. Pursuant to the terms of the agreement, Tesla provided notice of the proposed settlement to\n\nstockholders of record as of July 14, 2023. The Court held a hearing regarding the settlement on October 13, 2023, after which\n\nit took the settlement and plaintiff counsels’ fee request under advisement. On August 14, 2024, the parties submitted a joint\n\nletter requesting that the Court approve and enter final judgment with respect to the settlement, and decide the fee request at a\n\nlater date. The settlement is not expected to have an adverse impact on our results of operations, cash flows or financial\n\nposition.\n\n*Litigation Relating to Potential Going Private Transaction*\n\nBetween August 10, 2018 and September 6, 2018, nine purported stockholder class actions were filed against Tesla and\n\nElon Musk in connection with Mr. Musk’s August 7, 2018 Twitter post that he was considering taking Tesla private. On\n\nJanuary 16, 2019, Plaintiffs filed their consolidated complaint in the United States District Court for the Northern District of\n\nCalifornia and added as defendants the members of Tesla’s board of directors. The consolidated complaint asserts claims for\n\nviolations of the federal securities laws and seeks unspecified damages and other relief. The parties stipulated to certification of\n\na class of stockholders, which the court granted on November 25, 2020. Trial started on January 17, 2023, and on February 3,\n\n2023, a jury rendered a verdict in favor of the defendants on all counts. After trial, plaintiffs filed a motion for judgment as a\n\nmatter of law and a motion for new trial, which the Court denied and judgement was entered in favor of defendants on July 11,\n\n2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appeals\n\nfor the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.\n\nBetween October 17, 2018 and March 8, 2021, seven derivative lawsuits were filed in the Delaware Court of Chancery,\n\npurportedly on behalf of Tesla, against Mr. Musk and the members of Tesla’s board of directors, as constituted at relevant\n\ntimes, in relation to statements made and actions connected to a potential going private transaction, with certain of the lawsuits\n\nchallenging additional Twitter posts by Mr. Musk, among other things. Several of those actions were consolidated, and all have\n\nbeen stayed. In addition to these cases, two derivative lawsuits were filed on October 25, 2018 and February 11, 2019 in the\n\nU.S. District Court for the District of Delaware, purportedly on behalf of Tesla, against Mr. Musk and the members of the Tesla\n\nboard of directors as then constituted. Those cases have also been consolidated and stayed pending resolution of the appeal in\n\nthe above-referenced consolidated purported stockholder class action.\n\n21",
- "page_start": 26,
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- },
- {
- "text": "## FINANCIAL SECTION\n\nFINANCIAL SECTION",
- "page_start": 69,
- "page_end": 69,
- "source_file": "OTC_NSANY_2004.pdf"
- },
- {
- "text": "###### Board of Directors",
- "page_start": 29,
- "page_end": 29,
- "source_file": "NYSE_HIG_2001.pdf"
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Redeemable Noncontrolling Interests and Equity**\n\n##### **(in millions)**\n\n##### **(unaudited)**\n\n**Three Months**\n\n**Ended**\n\n**September 30,**\n\n**2024**\n\n**Redeemable**\n\n**Noncontrolling**\n\n**Interests**\n\n**Common Stock Additional**\n\n**Paid-In**\n\n**Capital**\n\n**Accumulated**\n\n**Other**\n\n**Comprehensive**\n\n**Loss**\n\n**Retained**\n\n**Earnings**\n\n**Total**\n\n**Stockholders’**\n\n**Equity**\n\n**Noncontrolling**\n\n**Interests in**\n\n**Subsidiaries**\n\n**Total**\n\n**Equity Shares Amount**\n\n**Balance as of**\n\n**June 30, 2024** $ 72 3,194 $ 3 $ 36,443 $ (467) $ 30,489 $ 66,468 $ 723 $67,191\n\nSettlement of\n\nwarrants — 9 — — — — — — —\n\nIssuance of\n\ncommon\n\nstock for\n\nequity\n\nincentive\n\nawards — 4 — 340 — — 340 — 340\n\nStock-based\n\ncompensation — — — 503 — — 503 — 503\n\nDistributions to\n\nnoncontrolling\n\ninterests (3) — — — — — — (29) (29)\n\nNet income 1 — — — — 2,167 2,167 15 2,182\n\nOther\n\ncomprehensive\n\nincome — — — — 453 — 453 — 453\n\n**Balance as of**\n\n**September 30,**\n\n**2024** $ 70 3,207 $ 3 $ 37,286 $ (14) $ 32,656 $ 69,931 $ 709 $70,640\n\n**Nine Months**\n\n**Ended**\n\n**September 30,**\n\n**2024**\n\n**Redeemable**\n\n**Noncontrolling**\n\n**Interests**\n\n**Common Stock Additional**\n\n**Paid-In**\n\n**Capital**\n\n**Accumulated**\n\n**Other**\n\n**Comprehensive**\n\n**Loss**\n\n**Retained**\n\n**Earnings**\n\n**Total**\n\n**Stockholders’**\n\n**Equity**\n\n**Noncontrolling**\n\n**Interests in**\n\n**Subsidiaries**\n\n**Total**\n\n**Equity Shares Amount**\n\n**Balance as of**\n\n**December 31,**\n\n**2023** $ 242 3,185 $ 3 $ 34,892 $ (143) $ 27,882 $ 62,634 $ 733 $63,367\n\nSettlement of\n\nwarrants — 9 — — — — — — —\n\nIssuance of\n\ncommon\n\nstock for\n\nequity\n\nincentive\n\nawards — 13 — 787 — — 787 — 787\n\nStock-based\n\ncompensation — — — 1,565 — — 1,565 — 1,565\n\nDistributions to\n\nnoncontrolling\n\ninterests (11) — — — — — — (66) (66)\n\nBuy-outs of\n\nnoncontrolling\n\ninterests (166) — — 42 — — 42 — 42\n\nNet income 5 — — — — 4,774 4,774 42 4,816\n\nOther\n\ncomprehensive\n\nincome — — — — 129 — 129 — 129\n\n**Balance as of**\n\n**September 30,**\n\n**2024** $ 70 3,207 $ 3 $ 37,286 $ (14) $ 32,656 $ 69,931 $ 709 $70,640\n\n9 sur 49",
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- {
- "references": {
- "source_file": "tesla_form_10q.pdf",
- "query": "What is the reason for the increase in Tesla's tax rate from 2023 to 2024?",
- "target_page": 26,
- "target_passage": " increase in our effective tax rate is primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in the mix of our jurisdictional earnings",
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- "text": "*Certain Investigations and Other Matters*\n\nWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities such\n\nas the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and Exchange\n\nCommission (“SEC”), the Department of Justice (“DOJ”), and various local, state, federal, and international agencies. The\n\nongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents,\n\nAutopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla’s business, its personnel,\n\nand related parties. We routinely cooperate with such formal and informal requests for information, investigations, and other\n\ninquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred.\n\nWe cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcement\n\naction, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows,\n\nfinancial position or brand.\n\nWe are also subject to various other legal proceedings, risks and claims that arise from the normal course of business\n\nactivities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certain\n\nmisappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notifications\n\nto potentially affected individuals (current and former employees) and regulatory authorities and we are working with certain\n\nlaw enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Court\n\nfor the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed by\n\nseveral additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If an\n\nunfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists the\n\npossibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand.\n\n##### **Note 11 - Variable Interest Entity Arrangements**\n\nThe aggregate carrying values of the variable interest entities’ assets and liabilities, after elimination of any\n\nintercompany transactions and balances, in the consolidated balance sheets were as follows (in millions):\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\n##### **Assets**\n\nCurrent assets\n\nCash and cash equivalents $ 51 $ 66\n\nAccounts receivable, net 28 13\n\nPrepaid expenses and other current assets 263 361\n\nTotal current assets 342 440\n\nOperating lease vehicles, net 451 —\n\nSolar energy systems, net 2,524 3,278\n\nOther non-current assets 190 369\n\nTotal assets $ 3,507 $ 4,087\n\n##### **Liabilities**\n\nCurrent liabilities\n\nAccrued liabilities and other $ 36 $ 67\n\nDeferred revenue 7 6\n\nCurrent portion of debt and finance leases 1,930 1,564\n\nTotal current liabilities 1,973 1,637\n\nDeferred revenue, net of current portion 81 99\n\nDebt and finance leases, net of current portion 1,826 2,041\n\nTotal liabilities $ 3,880 $ 3,777\n\n24",
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- "text": "##### **Tesla, Inc.**\n\n##### **Notes to Consolidated Financial Statements**\n\n##### **(unaudited)**\n\n##### **Note 1 - Overview & Summary of Significant Accounting Policies**\n\n*Overview*\n\nTesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003 and\n\nconverted to a Texas corporation on June 13, 2024.\n\n*Unaudited Interim Financial Statements*\n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the\n\nconsolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of\n\nredeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the\n\nconsolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information\n\ndisclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from\n\nthe audited consolidated financial statements as of that date. The interim consolidated financial statements and the\n\naccompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying\n\nnotes contained in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the\n\nannual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal\n\nrecurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated\n\nresults of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any\n\nother future years or interim periods.\n\n*Reclassifications*\n\nCertain prior period balances have been reclassified to conform to the current period presentation in the consolidated\n\nfinancial statements and the accompanying notes.\n\n*Revenue Recognition*\n\n*Revenue by source*\n\nThe following table disaggregates our revenue by major source (in millions):\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\nAutomotive sales $ 18,831 $ 18,582 $ 53,821 $ 57,879\n\nAutomotive regulatory credits 739 554 2,071 1,357\n\nEnergy generation and storage sales 2,228 1,416 6,616 4,188\n\nServices and other 2,790 2,166 7,686 6,153\n\nTotal revenues from sales and services 24,588 22,718 70,194 69,577\n\nAutomotive leasing 446 489 1,380 1,620\n\nEnergy generation and storage leasing 148 143 409 409\n\nTotal revenues $ 25,182 $ 23,350 $ 71,983 $ 71,606\n\n*Automotive Segment*\n\nAutomotive Sales\n\nDeferred revenue related to the access to our Full Self Driving (Supervised) (“FSD”) Capability features and their\n\nongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily on\n\nautomotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively.\n\n10",
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- "text": "We are focused on growing our manufacturing capacity, which includes capacity for manufacturing newer vehicle\n\nmodels such as our Cybertruck, Tesla Semi and future vehicles utilizing aspects of our next generation platform, and ramping\n\nthe production at our Gigafactories to their installed production capacities as well as increasing production rate and efficiency\n\nat our current factories. The next phase of production growth will depend on the continued ramp at our factories and be initiated\n\nby advances in autonomy and the introduction of new products, including those built on our next generation vehicle platform,\n\nas well as our ability to add to our available sources of battery cell supply by manufacturing our own cells that we are\n\ndeveloping to have high-volume output, lower capital and production costs and longer range. Our goals are to improve vehicle\n\nperformance, decrease production costs and increase affordability and customer awareness.\n\nThese plans are subject to uncertainties inherent in establishing and ramping manufacturing operations, which may be\n\nexacerbated by new product and manufacturing technologies we introduce, the number of concurrent international projects, any\n\nindustry-wide component constraints, labor shortages and any future impact from events outside of our control. For example,\n\nduring the first quarter of 2024, we experienced a sequential decline in production volumes partially caused by the early phase\n\nof the production ramp of the updated Model 3 at our Fremont factory, and factory shutdowns at Gigafactory Berlin-\n\nBrandenburg resulting from shipping diversions caused by the Red Sea conflict and an arson attack. Moreover, we have set\n\nambitious technological targets with our plans for battery cells as well as for iterative manufacturing and design improvements\n\nfor our vehicles with each new factory.\n\n*Automotive—Demand, Sales, Deliveries and Infrastructure*\n\nOur cost reduction efforts, cost innovation strategies, and additional localized procurement and manufacturing are key to\n\nour vehicles’ affordability and have allowed us to competitively price our vehicles. We will also continue to generate demand\n\nby improving our vehicles’ performance and functionality, including through product offerings and features based on artificial\n\nintelligence such as Autopilot, FSD (Supervised), and other software, and delivering new vehicles and vehicle options. In\n\naddition, we have been increasing awareness, and expanding our vehicle financing programs, including attractive leasing terms\n\nfor our customers. Moreover, we expect to continue to benefit from ongoing electrification of the automotive sector and\n\nincreasing environmental regulations and initiatives.\n\nHowever, we operate in a cyclical industry that is sensitive to shifting consumer trends, political and regulatory\n\nuncertainty, including with respect to trade and the environment, all of which can be compounded by inflationary pressures,\n\nrising energy prices, interest rate fluctuations and the liquidity of enterprise customers. For example, as inflationary pressures\n\nincreased across the markets in which we operate, central banks in developed countries raised interest rates rapidly and\n\nsubstantially, which impacted the affordability of vehicle lease and finance arrangements. Further, sales of vehicles in the\n\nautomotive industry also tend to be cyclical in many markets, which may expose us to increased volatility as we expand and\n\nadjust our operations. Moreover, as additional competitors enter the marketplace and help bring the world closer to sustainable\n\ntransportation, we will have to adjust and continue to execute well to maintain our momentum. Additionally, our suppliers’\n\nliquidity and allocation plans may be affected by current challenges in the North American automotive industry, which could\n\nreduce our access to components or result in unfavorable changes to cost. These macroeconomic and industry trends have had,\n\nand will likely continue to have, an impact on the pricing of, and order rate for our vehicles, and in turn our operating margin.\n\nChanges in government and economic incentives or tariffs may also impact our sales, cost structure and the competitive\n\nlandscape. We will continue to adjust accordingly to such developments, and we believe our ongoing cost reduction, including\n\nimproved production innovation and efficiency at our newest factories and lower logistics costs, and focus on operating\n\nleverage will continue to benefit us in relation to our competitors, while our new products will help enable future growth.\n\nAs our production increases, we must work constantly to similarly increase vehicle delivery capability so that it does not\n\nbecome a bottleneck on our total deliveries. We are also committed to reducing the percentage of vehicles delivered in the third\n\nmonth of each quarter, which will help to reduce the cost per vehicle. As we expand our manufacturing operations globally, we\n\nwill also have to continue to increase and staff our delivery, servicing and charging infrastructure accordingly, maintain our\n\nvehicle reliability and optimize our Supercharger locations to ensure cost effectiveness and customer satisfaction. In particular,\n\nas other automotive manufacturers have announced their adoption of the North American Charging Standard (“NACS”) and\n\nagreements with us to utilize our Superchargers, we must correspondingly expand our network in order to ensure adequate\n\navailability to meet customer demands. We also remain focused on continued enhancements of the capability and efficiency of\n\nour servicing operations.\n\n27",
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Operations**\n\n##### **(in millions, except per share data)**\n\n##### **(unaudited)**\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\n**Revenues**\n\nAutomotive sales $ 18,831 $ 18,582 $ 53,821 $ 57,879\n\nAutomotive regulatory credits 739 554 2,071 1,357\n\nAutomotive leasing 446 489 1,380 1,620\n\nTotal automotive revenues 20,016 19,625 57,272 60,856\n\nEnergy generation and storage 2,376 1,559 7,025 4,597\n\nServices and other 2,790 2,166 7,686 6,153\n\nTotal revenues 25,182 23,350 71,983 71,606\n\n**Cost of revenues**\n\nAutomotive sales 15,743 15,656 45,602 47,919\n\nAutomotive leasing 247 301 761 972\n\nTotal automotive cost of revenues 15,990 15,957 46,363 48,891\n\nEnergy generation and storage 1,651 1,178 5,157 3,770\n\nServices and other 2,544 2,037 7,192 5,723\n\nTotal cost of revenues 20,185 19,172 58,712 58,384\n\n**Gross profit** 4,997 4,178 13,271 13,222\n\n**Operating expenses**\n\nResearch and development 1,039 1,161 3,264 2,875\n\nSelling, general and administrative 1,186 1,253 3,837 3,520\n\nRestructuring and other 55 — 677 —\n\nTotal operating expenses 2,280 2,414 7,778 6,395\n\n**Income from operations** 2,717 1,764 5,493 6,827\n\nInterest income 429 282 1,127 733\n\nInterest expense (92) (38) (254) (95)\n\nOther (expense) income, net (270) 37 (142) 317\n\n**Income before income taxes** 2,784 2,045 6,224 7,782\n\nProvision for income taxes 601 167 1,403 751\n\n**Net income** 2,183 1,878 4,821 7,031\n\nNet income (loss) attributable to noncontrolling interests and\n\nredeemable noncontrolling interests in subsidiaries 16 25 47 (38)\n\n**Net income attributable to common stockholders** $ 2,167 $ 1,853 $ 4,774 $ 7,069\n\nNet income per share of common stock attributable to\n\ncommon stockholders\n\nBasic $ 0.68 $ 0.58 $ 1.51 $ 2.23\n\nDiluted $ 0.62 $ 0.53 $ 1.38 $ 2.03\n\nWeighted average shares used in computing net income per\n\nshare of common stock\n\nBasic 3,198 3,176 3,192 3,171\n\nDiluted 3,497 3,493 3,489 3,481\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n5\n\n7 sur 49",
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- "text": "##### **Results of Operations**\n\n##### * **Revenues** *\n\n**Three Months Ended**\n\n**September 30, Change**\n\n**Nine Months Ended**\n\n**September 30, Change**\n\n(Dollars in millions) **2024 2023 $ % 2024 2023 $ %**\n\nAutomotive sales $ 18,831 $ 18,582 $ 249 1 % $ 53,821 $ 57,879 $ (4,058) (7)%\n\nAutomotive regulatory credits 739 554 185 33 % 2,071 1,357 714 53 %\n\nAutomotive leasing 446 489 (43) (9)% 1,380 1,620 (240) (15)%\n\nTotal automotive revenues 20,016 19,625 391 2 % 57,272 60,856 (3,584) (6)%\n\nServices and other 2,790 2,166 624 29 % 7,686 6,153 1,533 25 %\n\nTotal automotive & services and other\n\nsegment revenue 22,806 21,791 1,015 5 % 64,958 67,009 (2,051) (3)%\n\nEnergy generation and storage segment\n\nrevenue 2,376 1,559 817 52 % 7,025 4,597 2,428 53 %\n\nTotal revenues $ 25,182 $ 23,350 $ 1,832 8 % $ 71,983 $ 71,606 $ 377 1 %\n\n*Automotive & Services and Other Segment*\n\nAutomotive sales revenue increased $249 million, or 1%, in the three months ended September 30, 2024 as compared to\n\nthe three months ended September 30, 2023, due to an increase of approximately 23,000 combined Model 3 and Model Y cash\n\ndeliveries and an increase of 8,000 deliveries of other models primarily due to our production ramp of Cybertruck.\n\nAdditionally, we recognized $326 million of FSD revenue for Cybertruck and certain features such as Actually Smart Summon\n\nin the third quarter of 2024. The increases were partially offset by lower average selling price on our vehicles driven by overall\n\nprice reductions and attractive financing options provided year over year as well as mix.\n\nAutomotive sales revenue decreased $4.06 billion, or 7%, in the nine months ended September 30, 2024 as compared to\n\nthe nine months ended September 30, 2023, primarily due to lower average selling price on our vehicles driven by overall price\n\nreductions and attractive financing options provided year over year as well as mix. Additionally, there was a decrease of\n\napproximately 17,000 combined Model 3 and Model Y cash deliveries partially due to the early phase of the production ramp\n\nof the updated Model 3 at our Fremont factory. The decreases were partially offset by an increase of approximately 19,000\n\ndeliveries of other models primarily due to our production ramp of Cybertruck and an increase in FSD revenue compared to the\n\nprior period, as discussed above.\n\nAutomotive regulatory credits revenue increased $185 million, or 33%, in the three months ended September 30, 2024\n\nas compared to the three months ended September 30, 2023. Automotive regulatory credits revenue increased $714 million, or\n\n53%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. These\n\nincreases were driven by demand for credits in North America as other automobile manufacturers scale back on their battery\n\nelectric vehicle plans.\n\nAutomotive leasing revenue decreased $43 million, or 9%, in the three months ended September 30, 2024 as compared\n\nto the three months ended September 30, 2023. Automotive leasing revenue decreased $240 million, or 15%, in the nine\n\nmonths ended September 30, 2024 as compared to the nine months ended September 30, 2023. The decreases were primarily\n\ndue to lower direct sales-type leasing deliveries and a decrease in lease buyouts.\n\nServices and other revenue increased $624 million, or 29%, in the three months ended September 30, 2024 as compared\n\nto the three months ended September 30, 2023. Services and other revenue increased $1.53 billion, or 25%, in the nine months\n\nended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases were primarily due to\n\nincreases in non-warranty maintenance services and collision revenue, used vehicle revenue, paid Supercharging revenue,\n\ninsurance services revenue and part sales revenue.\n\n*Energy Generation and Storage Segment*\n\nEnergy generation and storage revenue increased $817 million, or 52%, in the three months ended September 30, 2024\n\nas compared to the three months ended September 30, 2023. Energy generation and storage revenue increased $2.43 billion, or\n\n53%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases\n\nwere primarily due to increases in Megapack and Powerwall deployments compared to the prior periods.\n\n29",
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- "text": "##### **ITEM 2. MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF**\n\n##### **OPERATIONS**\n\n*The following discussion and analysis should be read in conjunction with the consolidated financial statements and the*\n\n*related notes included elsewhere in this Quarterly Report on Form 10-Q.*\n\n##### **Overview**\n\nOur mission is to accelerate the world’s transition to sustainable energy. We design, develop, manufacture, lease and sell\n\nhigh-performance fully electric vehicles, solar energy generation systems and energy storage products. We also offer\n\nmaintenance, installation, operation, charging, insurance, financial and other services related to our products. Additionally, we\n\nare increasingly focused on products and services based on AI, robotics and automation.\n\nIn 2024, we produced approximately 1,314,000 consumer vehicles and delivered approximately 1,294,000 consumer\n\nvehicles through the third quarter. We are focused on profitable growth, including by leveraging existing factories and\n\nproduction lines to introduce new and more affordable products, further improving and deploying our FSD capabilities,\n\nincluding through our planned robotaxi product, reducing costs, increasing vehicle production, utilized capacity and delivery\n\ncapabilities, improving and developing our vehicles and battery technologies, vertically integrating and localizing our supply\n\nchain, and expanding our global infrastructure, including our service and charging infrastructure.\n\nIn 2024, we deployed 20.41 GWh of energy storage products through the third quarter. We are focused on ramping the\n\nproduction and increasing the market penetration of our energy storage products.\n\nDuring the three and nine months ended September 30, 2024, we recognized total revenues of $25.18 billion and\n\n$71.98 billion, respectively, representing increases of $1.83 billion and $377 million, respectively, compared to the same\n\nperiods in the prior year. During the three and nine months ended September 30, 2024, our net income attributable to common\n\nstockholders was $2.17 billion and $4.77 billion, respectively, representing an increase of $314 million and a decrease of $2.30\n\nbillion, respectively, compared to the same periods in the prior year. We continue to ramp production and build and optimize\n\nour manufacturing capacity, expand our operations while focusing on further cost reductions and operational efficiencies to\n\nenable increased deliveries and deployments of our products, and invest in research and development to accelerate our AI,\n\nsoftware, and fleet-based profits for further revenue growth.\n\nWe ended the third quarter of 2024 with $33.65 billion in cash and cash equivalents and investments, representing an\n\nincrease of $4.55 billion from the end of 2023. Our cash flows provided by operating activities were $10.11 billion during the\n\nnine months ended September 30, 2024, compared to $8.89 billion during the same period ended September 30, 2023,\n\nrepresenting an increase of $1.22 billion. Capital expenditures amounted to $8.56 billion during the nine months ended\n\nSeptember 30, 2024, compared to $6.59 billion during the same period ended September 30, 2023, representing an increase of\n\n$1.96 billion. Overall growth has allowed our business to generally fund itself, and we will continue investing in a number of\n\ncapital-intensive projects and research and development in upcoming periods.\n\n##### **Management Opportunities, Challenges and Uncertainties and 2024 Outlook**\n\n*Automotive—Production*\n\nThe following is a summary of the status of production of each of our announced vehicle models in production and\n\nunder development, as of the date of this Quarterly Report on Form 10-Q:\n\n**Production Location Vehicle Model(s) Production Status**\n\nFremont Factory Model S / Model X Active\n\nModel 3 / Model Y Active\n\nGigafactory Shanghai Model 3 / Model Y Active\n\nGigafactory Berlin-Brandenburg Model Y Active\n\nGigafactory Texas Model Y Active\n\nCybertruck Active\n\nGigafactory Nevada Tesla Semi Pilot production\n\nVarious Next Generation Platform In development\n\nTBD Roadster In development\n\n26",
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- "text": "##### **Tesla, Inc.**\n\n##### **Consolidated Statements of Comprehensive Income**\n\n##### **(in millions)**\n\n##### **(unaudited)**\n\n**Three Months Ended September 30, Nine Months Ended September 30,**\n\n**2024 2023 2024 2023**\n\nNet income $ 2,183 $ 1,878 $ 4,821 $ 7,031\n\nOther comprehensive income (loss):\n\nForeign currency translation adjustment 445 (289) 121 (343)\n\nUnrealized net gain on investments, net of tax 8 7 8 8\n\nNet loss realized and included in net income — — — 4\n\nComprehensive income 2,636 1,596 4,950 6,700\n\nLess: Comprehensive income (loss) attributable to\n\nnoncontrolling interests and redeemable\n\nnoncontrolling interests in subsidiaries 16 25 47 (38)\n\nComprehensive income attributable to common\n\nstockholders $ 2,620 $ 1,571 $ 4,903 $ 6,738\n\nThe accompanying notes are an integral part of these consolidated financial statements.\n\n6\n\n8 sur 49",
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- "text": "##### * **Cost of Revenues and Gross Margin** *\n\n**Three Months Ended**\n\n**September 30, Change**\n\n**Nine Months Ended**\n\n**September 30, Change**\n\n(Dollars in millions) **2024 2023 $ % 2024 2023 $ %**\n\nCost of revenues\n\nAutomotive sales $ 15,743 $ 15,656 $ 87 1 % $ 45,602 $ 47,919 $ (2,317) (5)%\n\nAutomotive leasing 247 301 (54) (18)% 761 972 (211) (22)%\n\nTotal automotive cost of\n\nrevenues 15,990 15,957 33 0 % 46,363 48,891 (2,528) (5)%\n\nServices and other 2,544 2,037 507 25 % 7,192 5,723 1,469 26 %\n\nTotal automotive & services and\n\nother segment cost of revenues 18,534 17,994 540 3 % 53,555 54,614 (1,059) (2)%\n\nEnergy generation and storage\n\nsegment 1,651 1,178 473 40 % 5,157 3,770 1,387 37 %\n\nTotal cost of revenues $ 20,185 $ 19,172 $ 1,013 5 % $ 58,712 $ 58,384 $ 328 1 %\n\nGross profit total automotive $ 4,026 $ 3,668 $ 10,909 $ 11,965\n\nGross margin total automotive 20.1 % 18.7 % 19.0 % 19.7 %\n\nGross profit total automotive &\n\nservices and other segment $ 4,272 $ 3,797 $ 11,403 $ 12,395\n\nGross margin total automotive &\n\nservices and other segment 18.7 % 17.4 % 17.6 % 18.5 %\n\nGross profit energy generation and\n\nstorage segment $ 725 $ 381 $ 1,868 $ 827\n\nGross margin energy generation and\n\nstorage segment 30.5 % 24.4 % 26.6 % 18.0 %\n\nTotal gross profit $ 4,997 $ 4,178 $ 13,271 $ 13,222\n\nTotal gross margin 19.8 % 17.9 % 18.4 % 18.5 %\n\n*Automotive & Services and Other Segment*\n\nCost of automotive sales revenue increased $87 million, or 1%, in the three months ended September 30, 2024 as\n\ncompared to the three months ended September 30, 2023 due to the increases in deliveries year over year as discussed above,\n\npartially offset by a decrease in the average combined cost per unit of our vehicles primarily from lower raw material costs,\n\nfreight and duties as well as mix.\n\nCost of automotive sales revenue decreased $2.32 billion, or 5%, in the nine months ended September 30, 2024 as\n\ncompared to the nine months ended September 30, 2023 due to a decrease in the average combined cost per unit of our vehicles\n\nprimarily from lower raw material costs, freight and duties as well as mix, in addition to the volume changes in deliveries year\n\nover year as discussed above. The decreases were partially offset by higher costs for Cybertruck and the updated Model 3 at our\n\nFremont factory as a result of the temporary under-utilization of manufacturing capacity as production ramps.\n\nCost of automotive leasing revenue decreased $54 million, or 18%, in the three months ended September 30, 2024 as\n\ncompared to the three months ended September 30, 2023. Cost of automotive leasing revenue decreased $211 million, or 22%,\n\nin the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The decreases were\n\nprimarily due to a decrease in direct sales-type leasing cost of revenue driven by lower deliveries and a decrease in our direct\n\noperating lease cost of revenue driven by lower lease payoffs compared to the prior periods.\n\nCost of services and other revenue increased $507 million, or 25%, in the three months ended September 30, 2024 as\n\ncompared to the three months ended September 30, 2023. Cost of services and other revenue increased $1.47 billion, or 26%, in\n\nthe nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases were\n\nprimarily due to volume increases in used vehicle sales, insurance services, paid Supercharging, non-warranty maintenance\n\nservices and collision and part sales.\n\n30",
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- "text": "Our provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increased\n\nby $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30,\n\n2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 and\n\nincreased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months ended\n\nSeptember 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on our\n\nU.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings.\n\nSee Note 9, *Income Taxes* , to the consolidated financial statements included elsewhere in this Quarterly Report on Form\n\n10-Q for further details.\n\n##### **Liquidity and Capital Resources**\n\nWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cash\n\nwe generate from our core operations enables us to fund ongoing operations and production, our research and development\n\nprojects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existing\n\nmanufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations,\n\nbody shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities and\n\nautonomy and other artificial intelligence enabled products.\n\nIn addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed we\n\nwill be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturing\n\noperations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, we\n\nmay choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs and\n\nmay decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business,\n\nincluding through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to time\n\ndetermine that it is in our best interests to voluntarily repay certain indebtedness early.\n\nAccordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-month\n\nperiod following September 30, 2024, as well as in the long-term.\n\nSee the sections below for more details regarding the material requirements for cash in our business and our sources of\n\nliquidity to meet such needs.\n\n*Material Cash Requirements*\n\nFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase of\n\ncomponents and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability in\n\nthe precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally do\n\nnot have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude of\n\npurchase orders beyond such period is difficult to accurately project.\n\nAs discussed in and subject to the considerations referenced in Part I, Item 2, *Management's Discussion and Analysis of*\n\n*Financial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2024 Outlook*\n\n*—Cash Flow and Capital Expenditure Trends* in this Quarterly Report on Form 10-Q, we currently expect our capital\n\nexpenditures to support our projects globally to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billion in each of\n\nthe following two fiscal years. We also have certain obligations in connection with our operations at Gigafactory New York and\n\nGigafactory Shanghai, as outlined in Part II, Item 7, *Management's Discussion and Analysis of Financial Condition and Results*\n\n*of Operations—Liquidity and Capital Resources—Material Cash Requirements* in our Annual Report on Form 10-K for the\n\nyear ended December 31, 2023.\n\nAs of September 30, 2024, we and our subsidiaries had outstanding $7.42 billion in aggregate principal amount of\n\nindebtedness, of which $2.12 billion is current. For details regarding our indebtedness, refer to Note 7, *Debt,* to the\n\nconsolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q.\n\n*Sources and Conditions of Liquidity*\n\nOur sources to fund our material cash requirements are predominantly from our deliveries and servicing of new and used\n\nvehicles, sales and installations of our energy storage products, interest income, and proceeds from debt facilities and equity\n\nofferings, when applicable.\n\n33",
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- "text": "##### **PART I. FINANCIAL INFORMATION**\n\n##### **ITEM 1. FINANCIAL STATEMENTS**\n\n##### **Tesla, Inc.**\n\n##### **Consolidated Balance Sheets**\n\n##### **(in millions, except per share data)**\n\n##### **(unaudited)**\n\n**September 30,**\n\n**2024**\n\n**December 31,**\n\n**2023**\n\n**Assets**\n\nCurrent assets\n\nCash and cash equivalents $ 18,111 $ 16,398\n\nShort-term investments 15,537 12,696\n\nAccounts receivable, net 3,313 3,508\n\nInventory 14,530 13,626\n\nPrepaid expenses and other current assets 4,888 3,388\n\nTotal current assets 56,379 49,616\n\nOperating lease vehicles, net 5,380 5,989\n\nSolar energy systems, net 5,040 5,229\n\nProperty, plant and equipment, net 36,116 29,725\n\nOperating lease right-of-use assets 4,867 4,180\n\nDigital assets, net 184 184\n\nIntangible assets, net 158 178\n\nGoodwill 253 253\n\nDeferred tax assets 6,486 6,733\n\nOther non-current assets 4,989 4,531\n\n**Total assets** $ 119,852 $ 106,618\n\n**Liabilities**\n\nCurrent liabilities\n\nAccounts payable $ 14,654 $ 14,431\n\nAccrued liabilities and other 10,601 9,080\n\nDeferred revenue 3,031 2,864\n\nCurrent portion of debt and finance leases 2,291 2,373\n\nTotal current liabilities 30,577 28,748\n\nDebt and finance leases, net of current portion 5,405 2,857\n\nDeferred revenue, net of current portion 3,350 3,251\n\nOther long-term liabilities 9,810 8,153\n\n**Total liabilities** 49,142 43,009\n\nCommitments and contingencies (Note 10)\n\nRedeemable noncontrolling interests in subsidiaries 70 242\n\n**Equity**\n\nStockholders’ equity\n\nPreferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding — —\n\nCommon stock; $0.001 par value; 6,000 shares authorized; 3,207 and 3,185 shares issued and\n\noutstanding as of September 30, 2024 and December 31, 2023, respectively 3 3\n\nAdditional paid-in capital 37,286 34,892\n\nAccumulated other comprehensive loss (14) (143)\n\nRetained earnings 32,656 27,882\n\nTotal stockholders’ equity 69,931 62,634\n\nNoncontrolling interests in subsidiaries 709 733\n\n**Total liabilities and equity** $ 119,852 $ 106,618\n\nThe accompanying notes are an integral part of these consolidated financial statements. 4\n\n5 sur 49 6 sur 49",
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- "references": {
- "source_file": "1001.0764.pdf",
- "query": "Which is the first candidate for experimenting the case of electrons interacting with a single boson mode?",
- "target_page": 6,
- "target_passage": "The primary candidate for such mode is an optical phonon",
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- "text": "Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk,\n\nDmitri Basov, Chris Homes, Nicole Bontemps, Andres\n\nSantander-Syro, Ricardo Lobo, Dirk van der Marel, A.\n\nBoris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\nF. Marsiglio for many discussions concerning the infrared\n\nconductivity and optical integrals and thank A. Boris, E.\n\nvan Heumen, J. Hirsch, and F. Marsiglio for the com-\n\nments on the manuscript. The work was supported by\n\n[nsf-dmr 0906953.](http://arxiv.org/abs/nsf-dmr/0906953)\n\n1 R. Kubo, J. Phys. Soc. Jpn 12 , 570(1957). 2 R.A. Ferrrel and R.E. Glover, Phys. Rev. 109 , 1398 (1958). 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2 , 331\n\n(1959), M. Tinkham, Introduction to Superconductivity\n\n(McGraw-Hill, New York, 1975). 4 J. Hirsch, Physica C 199 , 305 (1992). 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77 , 721\n\n(2005); A. V. Puchkov, D. N. Basov and T. Timusk, J.\n\nPhys. Cond. Matter 8 , 10049 (1996). 6 C. M. Varma et al , Phys. Rev. Lett. 63 , 1996 (1989). 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C.\n\nDynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin,\n\nScience 283 , 49 (1999). 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess,\n\nM. Li, Science 295 , 2239 (2002); A. B. Kuzmenko, H. J. A.\n\nMolegraaf, F. Carbone and D. van der Marel, Phys. Rev.\n\nB 72 , 144503 (2005). 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z.\n\nKonstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 ,\n\n568 (2003); 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden,\n\nC. T. Lin, B. Keimer and C. Bernhard, Science 304 , 708\n\n(2004). 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps,\n\nPhys. Rev. B 72 , 092504 (2005). 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van\n\nHeumen, V. Lukovac, F. Marsiglio, D. van der Marel, K.\n\nHaule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and\n\nM. Li, Phys. Rev. B 74 , 064510 (2006). 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and\n\nW. N. Hardy, Phys. Rev. B 69 , 024514 (2004). 14 J. Hwang et al , Phys. Rev. B 73 , 014508 (2006). 15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone,\n\nD. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M.\n\nGreven, C. C. Homes and S. V. Dordevic, Phys. Rev. B\n\n75 , 054522 (2007). 16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94 ,\n\n067002 (2005). 17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps,\n\nPhys. Rev. B 70 , 134504(2004), A. F. Santander-Syro, R.\n\nP. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li\n\nand H. Raffy, Europhys. Lett. 62 , 568 (2003). 18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim,\n\nPhys. Rev. B 58 2452 (1998). 19 J. Hirsch, Physica C, 201 , 347 (1992) and Ref 4. 20 for a review see F. Marsiglio, J. Superconductivity and\n\nNovel Magnetism 22 , 269 (2009). 21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev.\n\nB 77 144510 (2008). 22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B.\n\nKuzmenko, and D. van der Marel, Phys. Rev. B 76 , 220509\n\n(2007). 23 J. E. Hirsch and F. Marsiglio, Physica C 331 , 150 (2000)\n\nand Phys. Rev. B 62 , 15131 (2000). 24 A. Toschi, M. Capone, M. Ortolani, P. Calvani, S. Lupi\n\nand C. Castellani, Phys. Rev. Lett. 95 , 097002 (2005). 25 F. Marsiglio, F. Carbone, A. Kuzmenko and D. van der\n\nMarel, Phys. Rev. B 74 , 174516 (2006). 26 L. Benfatto, S. G. Sharapov, N. Andrenacci and H. Beck,\n\nPhys. Rev. B 71 , 104511 (2005). 27 D. van der Marel, H.J.A. Molegraaf, C. Presura, and I.\n\nSantoso, Concepts in Electron Correlations, edited by A.\n\nHewson and V. Zlatic (Kluwer, 2003) 28 L. Benfatto, J.P. Carbotte and F. Marsiglio, Phys. Rev. B\n\n74 , 155115 (2006) 29 F. Marsiglio, Phys. Rev. B 73 , 064507(2006). 30 M.R. Norman and C. P´epin, Phys. Rev. B 66 , 100506(R)\n\n(2002). 31 J. Fink et al. , Phys. Rev. B 74 , 165102(R) (2006). 32 M. Eschrig, Adv. Phys. 55 , 47-183 (2006) 33 M.R. Norman and A.V. Chubukov, Phys. Rev. B 73 ,\n\n140501(R)(2006). 34 [ A.E. Karakozov and E.G. Maksimov, cond-mat/0511185,](http://arxiv.org/abs/cond-mat/0511185)\n\nA. E. Karakozov, E. G. Maksimov and O. V. Dolgov, Solid\n\nState Comm. 124 , 119 (2002); A. E. Karakozov and E. G.\n\nMaksimov, ibid. 139 , 80 (2006). 35 see e.g., P. B. Allen, Phys. Rev. B 3 , 305 (1971); S. V.\n\nShulga, O. V. Dolgov and E. G. Maksimov, Physica C\n\n178 , 266 (1991). 36 A. A. Abriskov and L. P. Gor’kov, JETP 35 , 1090 (1959),\n\nSang Boo Nam, Phys. Rev. 156 , 470 (1967). 37 Theory of superconductivity, Schrieffer, (W. A. Benjamin\n\nInc., New York 1964). 38 M.R. Norman, M. Randeria, H. Ding, and J.C. Cam-\n\npuzano, Phys. Rev. B 52 , 615 (1995). 39 Z.X. Shen and D.S. Dessau, Phys. Rep. 253 , 1(1995),\n\nJ. C. Campuzano, M. R. Norman, and M. Randeria,\n\n“Superconductivity”(Vol-1), 923-992, Springer (2008). 40 A. V. Chubukov, Ar. Abanov, and D. N. Basov, Phys. Rev.\n\nB 68 , 024504 (2003). 41 T. Valla et al. , Phys. Rev. Lett 85 , 828(2000). 42 Kaminski et al. , Phys. Rev. B 71 , 014517 (2005). 43 Robert Haslinger and Andrey V. Chubukov, Phys. Rev. B\n\n67 , 140504(2003). 44 C. Castellani, C. DiCastro, and M. Grilli, Phys. Rev. Lett.\n\n75 , 4650 (1995). 45 Ar. Abanov, A. Chubukov, and J. Schmalian, Adv. Phys.\n\n52 , 119 (2003). 46 Dessau et al. , Phys. Rev. Lett 66 , 2160(1991), Norman et\n\nal , Phys. Rev. Lett. 79 , 3506(1997). 47 M.R. Norman and H. Ding, Phys. Rev. B 57 , 11089(1998). 48 C. Timm, D. Manske and K. H. Bennemann, Phys. Rev.\n\nB 66 , 094515(2002). 49 A.V. Chubukov, M.R. Norman, Phys. Rev. B 70 ,\n\n174505(2004). 50 In this respect, our results are consistent with the analysis",
- "page_start": 14,
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- "text": "0 0.5 1 0\n\n0.5\n\n1\n\nω in eV\n\nσ ( ω )\n\nConductivities (BCSI)\n\nNS\n\nSC\n\n2 ∆\n\n0 50 100 160\n\n180\n\n200\n\nΓ in meV\n\nW K in meV\n\nBCSI\n\nSC\n\nNS\n\nFIG. 4: Top - a conductivity plot for the BCSI case in the\n\npresence of a lattice. The parameters are ∆= 30 meV , Γ =\n\n3 . 5 meV . Bottom - the behavior of Kubo sums. Note that (a)\n\nthe spectral weight in the NS is always greater in the SCS, (b)\n\nthe spectral weight decreases with Γ, and (c) the difference\n\nbetween NS and SCS decreases as Γ increases.\n\nlittle variation of ∆ W ( ω c ) at above 0 . 1 − 0 . 3 eV what\n\nimplies that for larger ω c , ∆ W ( ω c ) ≈ ∆ W K >> ∆ f ( ω c ).\n\nTo make this more quantitative, we compare in Fig. 6\n\n∆ W ( ω c ) obtained for a constant DOS, when ∆ W ( ω c ) =\n\n∆ f ( ω c ), and for the actual lattice dispersion, when\n\n∆ W ( ω c ) = ∆ W K + ∆ f ( ω c ). In the clean limit there\n\nis obviously little cutoff dependence beyond 0 . 1 eV , i.e.,\n\n∆ f ( ω c ) is truly small, and the difference between the\n\ntwo cases is just ∆ W K . In the dirty limit, the situation\n\nis similar, but there is obviously more variation with ω c ,\n\nand ∆ f ( ω c ) becomes truly small only above 0 . 3 eV . Note\n\nalso that the position of the dip in ∆ W ( ω c ) in the clean\n\nlimit is at a larger ω c in the presence of the lattice than\n\nin a continuum.\n\nB. The Einstein boson model\n\nWe next consider the case of electrons interacting with\n\na single boson mode which by itself is not affected by su-\n\nperconductivity. The primary candidate for such mode is\n\nan optical phonon. The imaginary part of the NS self en-\n\nergy has been discussed numerous times in the literature.\n\nWe make one simplifying assumption - approximate the\n\nDOS by a constant in calculating fermionic self-energy.\n\nWe will, however, keep the full lattice dispersion in the\n\ncalculations of the optical integral. The advantage of this\n\n0 0.5 1 0\n\n0.5\n\n1\n\nω c in eV\n\nW( ω c )/W( ∞ )\n\nNormal State Optical Sum (BCSI)\n\nDirty Limit\n\nClean Limit\n\n0 0.5 1 0\n\n0.5\n\n1\n\nω c in eV\n\nW( ω c )/W( ∞ )\n\nSuperconducting State Optical Sum (BCSI)\n\nDirty Limit\n\nClean Limit\n\nFIG. 5: The evolution of optical integral in NS(top) and\n\nSCS(bottom) for BCSI case. Plots are made for clean limit\n\n(solid lines, Γ = 3 . 5 meV ) and dirty limit (dashed lines,\n\nΓ = 150 meV ) for ∆= 30 meV . Observe that (a) W (0) = 0\n\nin the NS, but has a non-zero value in the SCS because of the\n\nδ -function (this value decreases in the dirty limit), and (b)\n\nthe flat region in the SCS is due to the fact that σ ′ ( ω ) = 0 for\n\nΩ < 2∆. Also note that ∼ 90 − 95% of the spectral weight is recovered up to 1 eV\n\napproximation is that the self-energy can be computed\n\nanalytically. The full self-energy obtained with the lat-\n\ntice dispersion is more involved and can only be obtained\n\nnumerically, but its structure is quite similar to the one\n\nobtained with a constant DOS.\n\nThe self-energy for a constant DOS is given by\n\nΣ( iω ) = − i 2 π λ n � dǫ k d ( i Ω) χ ( i Ω) G ( ǫ k , iω + i Ω) (13)\n\nwhere\n\nχ ( i Ω) = ω 2 0\n\nω 2 0 − ( i Ω) 2 (14)\n\nand λ n is a dimensionless electron-boson coupling. Inte-\n\ngrating and transforming to real frequencies, we obtain\n\nΣ ′′ ( ω ) = − π 2 λ n ω o Θ( | ω | − ω o )\n\nΣ ′ ( ω ) = − 1 2 λ n ω o log ���� ω + ω o\n\nω − ω o ���� (15)\n\nIn the SCS, we obtain for ω < 0\n\nΣ ′′ ( ω ) = − π 2 λ n ω o Re � ω + ω o\n\n� ( ω + ω o ) 2 − ∆ 2 �",
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- "text": "high-energy fermions and is an input for the low-energy\n\ntheory. Below we follow Refs. 31,33 and assume that\n\nthe momentum dependence of a collective boson is flat\n\nnear ( π, π ). The self energy within such model has been\n\nworked out consistently in Ref. 31,33. In the normal\n\nstate\n\nΣ ′′ ( ω ) = − 1 2 λ n ω sf log � 1 + ω 2 ω 2 sf �\n\nΣ ′ ( ω ) = − λ n ω sf arctan ω ω sf\n\n(19)\n\nwhere λ n is the spin-fermion coupling constant, and ω sf\n\nis a typical spin relaxation frequency of overdamped spin\n\ncollective excitations with a propagator\n\nχ ( q ∼ Q, Ω) = χ Q\n\n1 − i Ω ω sf\n\n(20)\n\nwhere χ Q is the uniform static susceptibility. If we use\n\nOrnstein-Zernike form of χ ( q ) and use either Eliashberg 45 or FLEX computational schemes 48 , we get rather sim-\n\nilar behavior of Σ as a function of frequency and rather\n\nsimilar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in\n\nthe fact that the coupling λ and the bosonic frequency\n\nω sf are related: λ scales as ξ 2 , where ξ is the bosonic\n\nmass (the distance to a bosonic instability), and ω sf ∝ ξ − 2 (see Ref. 49). For a flat χ ( q ∼ Q ) the product λω sf\n\ndoes not depend on ξ and is the overall dimensional scale\n\nfor boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This\n\ngap affects fermionic self-energy in two ways: directly, via\n\nthe change of the dispersion of an intermediate boson in\n\nthe exchange process involving a CB, and indirectly, via\n\nthe change of the propagator of a CB. We remind our-\n\nselves that the dynamics of a CB comes from a particle-\n\nhole bubble which is indeed affected by ∆.\n\nThe effect of a d − wave pairing gap on a CB has been\n\ndiscussed in a number of papers, most recently in 31 . In\n\na SCS a gapless continuum described by Eq. (20) trans-\n\nforms into a gaped continuum, with a gap about 2∆and\n\na resonance at ω = ω 0 < 2∆, where for a d − wave gap we\n\ndefine ∆as a maximum of a d − wave gap.\n\nThe spin susceptibility near ( π, π ) in a superconductor\n\ncan generally be written up as\n\nχ ( q ∼ Q, Ω) = χ Q\n\n1 − i Π(Ω) ω sf\n\n(21)\n\nwhere Π is evaluated by adding up the bubbles made\n\nout of two normal and two anomalous Green’s functions.\n\nBelow 2∆, Π(Ω) is real ( ∼ Ω 2 / ∆for small Ω), and the\n\nresonance emerges at Ω= ω 0 at which Π( ω 0 ) = ω sf . At\n\nfrequencies larger than 2∆, Π(Ω) has an imaginary part,\n\nand this gives rise to a gaped continuum in χ (Ω).\n\nThe imaginary part of the spin susceptibility around\n\nthe resonance frequency ω 0 is 31\n\nχ ′′ ( q, Ω) = πZ o ω 0\n\n2 δ (Ω − ω 0 ) (22)\n\nwhere Z o ∼ 2 ω sf χ 0 / ∂ Π ∂ω | Ω= ω 0 . The imaginary part of the spin susceptibility describing a gaped continuum\n\nexists for for Ω ≥ 2∆and is\n\nχ ′′ ( q, Ω) = Im � χ 0\n\n1 − 1\n\nω sf � 4∆ 2 Ω D ( 4∆ 2 Ω 2 ) + i Ω K 2 (1 − 4∆ 2 Ω 2 ) � �\n\n≈ Im � χ 0\n\n1 − 1\n\nω sf � π ∆ 2\n\nΩ + i π 2 Ω � � f or Ω >> 2∆ (23)\n\nIn Eq. (23) D ( x ) = K 1 ( x ) − K 2 ( x ) x , and K 1 ( x ) and K 2 ( x )\n\nare Elliptic integrals of first and second kind. The real\n\npart of χ is obtained by Kramers-Kr¨onig transform of the\n\nimaginary part.\n\nSubstituting Eq 6 for χ ( q, Ω) into the formula for the\n\nself-energy one obtains Σ ′′ ( ω ) in a SCS state as a sum of\n\ntwo terms 31\n\nΣ ′′ ( ω ) = Σ ′′ A ( ω ) + Σ ′′ B ( ω ) (24)\n\nwhere,\n\nΣ ′′ A ( ω ) = πZ o 2 λ n ω o Re � ω + ω o\n\n� ( ω + ω o ) 2 − ∆ 2 �\n\ncomes from the interaction with the resonance and\n\nΣ ′′ B ( ω ) = − λ n � | E |\n\n2∆\n\ndx Re ω + x\n\n� ( ω + x ) 2 − ∆ 2\n\nx\n\nω sf K 2 � 1 − 4∆ 2 x 2 � � 1 − 4∆ 2 xω sf D � 4∆ 2\n\nx 2 � � 2 + � x\n\nω sf K 2 � 1 − 4∆ 2 x 2 � � 2 (25)\n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-",
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- "text": "0.001\n\n0.01\n\n0.1\n\n1\n\n10\n\n100\n\n1000\n\n60 80 100 120 140 160 180 200\n\nΩ\n\nN h\n\n2\n\nm N [GeV]\n\nFIG. 2: The same as Fig. 1 but for sin θ = 0 . 3.\n\nmode into W -boson pair becomes kinematically available, it is not possible to obtain the\n\ndesired DM abundance without the Higgs resonant annihilation because the bound on v ′\n\ngiven by Eq. (12) is stringent.\n\n### B. Direct detection of dark matter\n\nOur RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino\n\nDM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process\n\nis Higgs exchange and the resultant cross section for a proton is given by\n\nσ ( p ) SI = 4 π � m p m N\n\nm p + m N � 2\n\nf 2 p , (17)\n\nwith the hadronic matrix element\n\nf p\n\nm p\n\n= � q = u,d,s\n\nf ( p ) Tq\n\nα q\n\nm q\n\n+ 2 27 f ( p ) TG � c,b,t\n\nα q\n\nm q\n\n, (18)\n\nand the effective vertex (see Appendix for notations)\n\nα q = − λ N y q � ∂ Φ\n\n∂h\n\n1\n\nM 2 h\n\n∂ Ψ ∂h + ∂ Φ ∂H\n\n1\n\nM 2 H\n\n∂ Ψ\n\n∂H � , (19)\n\nwhere m q is a mass of a quark with a Yukawa coupling y q , and f ( p ) Tq and f ( p ) TG are constants.\n\n7",
- "page_start": 6,
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- "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\n\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44 ,\n\n912 (1980).\n\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44 , 1316 (1980) [Erratum-ibid. 44 ,\n\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91 , 222 (1980).\n\n[3] S. Khalil, J. Phys. G 35 , 055001 (2008).\n\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676 , 81 (2009); Phys. Rev. D 80 , 115007\n\n(2009).\n\n[5] W. Emam and S. Khalil, Eur. Phys. J. C 522 , 625 (2007).\n\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101 , 181802 (2008).\n\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80 , 055030\n\n(2009).\n\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80 , 073015 (2009).\n\n[9] S. Khalil and O. Seto, JCAP 0810 , 024 (2008).\n\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70 , 093009 (2004).\n\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74 , 033011 (2006).\n\n[12] S. Dawson and W. Yan, Phys. Rev. D 79 , 095002 (2009).\n\n[[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].](http://arxiv.org/abs/1002.1939)\n\n[14] E. W. Kolb and M. S. Turner, The Early Universe , Addison-Wesley (1990).\n\n[15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170 , 377 (2007).\n\n[16] J. McDonald, Phys. Rev. D 50 , 3637 (1994).\n\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619 , 709 (2001).\n\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609 , 117 (2005).\n\n[19] T. Kikuchi and N. Okada, Phys. Lett. B 665 , 186 (2008).\n\n[20] C. E. Yaguna, JCAP 0903 , 003 (2009).\n\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67 , 085002 (2003).\n\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67 , 043516 (2003).\n\n[23] K. Cheung and O. Seto, Phys. Rev. D 69 , 113009 (2004).\n\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n\n[25] Z. Ahmed et al. [ [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].](http://arxiv.org/abs/0912.3592)\n\n[[26] http://xenon.astro.columbia.edu/.](http://xenon.astro.columbia.edu/)\n\n13",
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- "text": "chirality interactions in cold atom optical lattices has\n\nbeen proposed 38 .\n\nOur model (8) is achieved at second order of the per-\n\nturbation series. Higher order terms become trunca-\n\ntion errors but may be controlled by small parameters\n\nλ x,y,z /J cluster ∼ � | J x,y,z | /J cluster .\n\nV. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model 1 as the exact low energy effective Hamiltonian of\n\na spin-1/2 model [equations (8) or (9)] with spin-rotation\n\nand time reversal symmetry. The spin in Kitaev model is\n\nrepresented as the pseudo-spin in the two-fold degenerate\n\nspin singlet subspace of a cluster of four antiferromag-\n\nnetically coupled spin-1/2 moments. The physical spin\n\nmodel is a honeycomb lattice of such four-spin clusters,\n\nwith certain inter-cluster interactions. The machinery\n\nfor the exact mapping to pseudo-spin Hamiltonian was\n\ndeveloped (see e.g. TABLE I), which is quite general\n\nand can be used to construct other interesting (exactly\n\nsolvable) spin-1/2 models from spin rotation invariant\n\nsystems.\n\nIn this construction the pseudo-spin correlations in the\n\nKitaev model will be mapped to dimer or spin-chirality\n\ncorrelations in the physical spin system. The correspond-\n\ning picture of the fractionalized Majorana fermion exci-\n\ntations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical\n\nspin interactions, which is undesirable for practical im-\n\nplementation. We described two possible approaches to\n\nreduce this problem: generating the high order spin in-\n\nteractions by perturbative expansion of the coupling to\n\noptical phonon, or the magnetic coupling between clus-\n\nters. This perturbative construction will introduce trun-\n\ncation error of perturbation series, which may be con-\n\ntrolled by small expansion parameters. Whether these\n\nconstructions can be experimentally engineered is how-\n\never beyond the scope of this study. It is conceivable that\n\nother perturbative expansion can also generate these high\n\norder spin interactions, but this possibility will be left for\n\nfuture works.\n\nAcknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek\n\nKim and Arun Paramekanti for inspiring discussions, and\n\nTodadri Senthil for critical comments. The author is sup-\n\nported by the MIT Pappalardo Fellowship in Physics.\n\nAppendix A: Coupling between Distortions of a\n\nTetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref. 35 the cou-\n\nplings of all tetrahedron distortion modes to the spin\n\nsystem. And convert them to pseudo-spin notation in\n\nthe physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron,\n\nthe spin Hamiltonian becomes\n\nH cluster , SL = ( J cluster / 2)( � ℓ\n\nS ℓ ) 2 + J ′ � ℓ′ is the derivative of J cluster with respect to\n\nbond length.\n\nThere are six orthogonal distortion modes of the tetra-\n\nhedron [TABLE 1.1 in Ref. 35 ]. One of the modes A is the\n\ntrivial representation of the tetrahedral group T d ; two E\n\nmodes form the two dimensional irreducible representa-\n\ntion of T d ; and three T 2 modes form the three dimen-\n\nsional irreducible representation. The E modes are also\n\nillustrated in FIG. 3.\n\nThe generic couplings in (A1) [second term] can be\n\nconverted to couplings to these orthogonal modes,\n\nJ ′ ( Q A f A + Q E 1 f E 1 + Q E 2 f E 2 + Q T 2 1 f T 2 1 + Q T 2 2 f T 2 2 + Q T 2 3 f T 2 3 )\n\nwhere Q are generalized coordinates of the corresponding\n\nmodes, functions f can be read off from TABLE 1.2 of\n\nRef. 35 . For the A mode, δr ℓm = � 2 / 3 Q A , so f A is\n\nf A = � 2 / 3 ( S 1 · S 2 + S 3 · S 4 + S 1 · S 3\n\n+ S 2 · S 4 + S 1 · S 4 + S 2 · S 3 ) .\n\nThe functions f E 1 , 2 for the E modes have been given before but are reproduced here,\n\nf E 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 − S 1 · S 4 − S 2 · S 3 ) ,\n\nf E 1 = � 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3\n\n− 2 S 1 · S 2 − 2 S 3 · S 4 ) .\n\nThe functions f T 2 1 , 2 , 3 for the T 2 modes are\n\nf T 2 1 = ( S 2 · S 3 − S 1 · S 4 ) ,\n\nf T 2 2 = ( S 1 · S 3 − S 2 · S 4 ) ,\n\nf T 2 3 = ( S 1 · S 2 − S 3 · S 4 )\n\nNow we can use TABLE I to convert the above cou- plings into pseudo-spin. It is easy to see that f A and\n\nf T 2 1 , 2 , 3 are all zero when converted to pseudo-spins, namely\n\nprojected to the physical spin singlet sector. But f E 1 =\n\n( P 14 + P 23 + P 24 + P 13 − 2 P 12 − 2 P 34 ) / (4 √ 3) = − ( √ 3 / 2) τ x\n\nand f E 2 = ( P 24 + P 13 − P 14 − P 23 ) / 4 = ( √ 3 / 2) τ y . This has already been noted by Tchernyshyov et al. 28 , only\n\nthe E modes can lift the degeneracy of the physical spin\n\nsinglet ground states of the tetrahedron. Therefore the\n\ngeneral spin lattice coupling is the form of (12) given in\n\nthe main text.",
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- "text": "0 0.5 1 0\n\n0.4\n\n0.8 Conductivities (Corrected MFLI)\n\nσ ( ω )\n\nω in eV\n\nNS\n\nSC\n\n2 ∆\n\n0 50 100\n\n100\n\n120\n\nW K (meV)\n\nΓ in meV\n\nCorrected MFLI\n\nSC\n\nNS\n\nFIG. 15: Top - σ ( ω ) in the NS and the SCS in the ‘corrected’\n\nMFLI model with the feedback from SC on the quasiparticle\n\ndamping: i Γ term transforms into Γ √ − ω 2 +∆ 2 . In the SCS σ\n\nnow begins at Ω= 2∆. The parameters are same as in Fig.\n\n10. Bottom - the behavior of Kubo sum with Γ. Observe\n\nthat W ( ω c ) in the NS is larger than in the SCS.\n\n0.2 0.4 0.6 0.8\n\n−10\n\n0\n\n10\n\nω c in eV\n\nW SC ( ω c\n\n) − W NS ( ω c\n\n)\n\nCorrected MFLI\n\nwithout lattice\n\nwith lattice\n\n∆ W K\n\nFIG. 16: Evolution of the difference of the optical integrals\n\nbetween the SCS and the NS with the upper cut-off ω c for\n\nthe “corrected” MFLI model. Now ∆ W ( ω c ) is negative above\n\nsome frequency. Parameters are same as in the Fig 15.\n\nmodel, where W K is larger in the NS for all Γ (see Fig.\n\n4). In other words, the original MFLI model does not\n\nhave the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by\n\nchanging the damping term in a SCS to Γ √ − ω 2 +∆ 2 to be\n\nconsistent with BCSI model. We still use Eq. (18) for\n\nthe MFL term simply because this term was introduced\n\nin the NS on phenomenological grounds and there is no\n\nway to guess how it gets modified in the SCS state with-\n\nout first deriving the normal state self-energy microscop-\n\nically (this is what we will do in the next section). The\n\nresults of the calculations for the modified MFLI model\n\nare presented in Figs. 15 and 16. We clearly see that the\n\nbehavior is now different and ∆ W K < 0 for all Γ. This\n\nis the same behavior as we previously found in BCSI\n\nand EB models. So we argue that the ‘unconventional’\n\nbehavior exhibited by the original MFLI model is most\n\nlikely the manifestation of a particular modeling incon-\n\nsistency. Still, Ref. 30 made a valid point that the fact\n\nthat quasiparticles behave more close to free fermions in\n\na SCS than in a NS, and this effect tends to reverse the\n\nsigns of ∆ W K and of the kinetic energy 43 . It just hap-\n\npens that in a modified MFLI model the optical integral\n\nis still larger in the NS.\n\nD. The collective boson model\n\nWe now turn to a more microscopic model- the CB\n\nmodel. The model describes fermions interacting by ex-\n\nchanging soft, overdamped collective bosons in a partic-\n\nular, near-critical, spin or charge channel 31,44,45 . This\n\ninteraction is responsible for the normal state self-energy\n\nand also gives rise to a superconductivity. A peculiar\n\nfeature of the CB model is that the propagator of a col-\n\nlective boson changes below T c because this boson is not\n\nan independent degree of freedom (as in EB model) but\n\nis made out of low-energy fermions which are affected by\n\nsuperconductivity 32 .\n\nThe most relevant point for our discussion is that this\n\nmodel contains the physics which we identified above as\n\na source of a potential sign change of ∆ W K . Namely,\n\nat strong coupling the fermionic self-energy in the NS\n\nis large because there exists strong scattering between\n\nlow-energy fermions mediated by low-energy collective\n\nbosons. In the SCS, the density of low-energy fermions\n\ndrops and a continuum collective excitations becomes\n\ngaped. Both effects reduce fermionic damping and lead\n\nto the increase of W K in a SCS. If this increase exceeds a\n\nconventional loss of W K due to a gap opening, the total\n\n∆ W K may become positive.\n\nThe CB model has been applied numerous times to the\n\ncuprates, most often under the assumption that near-\n\ncritical collective excitations are spin fluctuations with\n\nmomenta near Q = ( π, π ). This version of a CB bo-\n\nson is commonly known as a spin-fermion model. This\n\nmodel yields d x 2 − y 2 superconductivity and explains in a\n\nquantitative way a number of measured electronic fea-\n\ntures of the cuprates, in particular the near-absence of\n\nthe quasiparticle peak in the NS of optimally doped and underdoped cuprates 39 and the peak-dip-hump structure\n\nin the ARPES profile in the SCS 31,32,46,47 . In our analy-\n\nsis we assume that a CB is a spin fluctuation.\n\nThe results for the conductivity within a spin-fermion\n\nmodel depend in quantitative (but not qualitative) way\n\non the assumption for the momentum dispersion of a col-\n\nlective boson. This momentum dependence comes from",
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- "text": "[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja-\n\ncobsen, “Benchmark density functional theory calculations for\n\nnanoscale conductance”, J. Chem. Phys. **128** (11), 114714 (Mar. 2008), doi: [10.1063/1.2839275](http://dx.doi.org/10.1063/1.2839275) .\n\n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or-\n\ndej´on, and D. S´anchez-Portal, “The SIESTA method for *ab ini-*\n\n*tio* order- *n* materials simulation”, J. Phys.: Condens. Matter\n\n**14** (11), 2745 (Mar. 2002), doi: [10.1088/0953-8984/14/11/302](http://dx.doi.org/10.1088/0953-8984/14/11/302) . [26] J. S. Griffith, *The Theory of Transition-Metal Ions* (Cambridge\n\nUniversity Press, London, 1961).\n\n[27] P. Atkins and J. de Paula, *Physical Chemistry* , 8th ed. (Oxford\n\nUniversity Press, London, 2006).\n\n[28] D. Lide, *Handbook of Chemistry and Physics* , 87th ed. (CRC-\n\nPress, 2006- 2007).\n\n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-\n\ning theory put into practice: First-principles modeling of trans-\n\nport in doped silicon wires”, Phys. Rev. Lett. **99** (7), 076803 (Aug. 2007), doi: [10.1103/PhysRevLett.99.076803](http://dx.doi.org/10.1103/PhysRevLett.99.076803) .\n\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari,\n\nW.-J. Chun, Y. Koike, and K. Asakura, “X-ray absorption fine\n\nstructure (XAFS) analyses of Ni species trapped in graphene\n\nsheet of carbon nanofibers”, Phys. Rev. B **73** (14), 144103 (Apr. 2006), doi: [10.1103/PhysRevB.73.144103](http://dx.doi.org/10.1103/PhysRevB.73.144103) .\n\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel,\n\nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con-\n\nductance of single-walled carbon nanotubes by ion irradiation\n\nin the Anderson localization regime”, Nature Materials **4** , 534 (Jun. 2005), doi: [10.1038/nmat1414](http://dx.doi.org/10.1038/nmat1414) .",
- "page_start": 4,
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- "source_file": "1001.2538.pdf"
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- "text": "form\n\nJ ′ ( Q E 1 f E 1 + Q E 2 f E 2 )\n\nwhere J ′ is the derivative of Heisenberg coupling J cluster\n\nbetween two spins ℓ and m with respect to their distance\n\nr ℓm , J ′ = d J cluster / d r ℓm ; Q E 1 , 2 are the generalized coor-\n\ndinates of these two modes; and the functions f E 1 , 2 are\n\nf E 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 − S 1 · S 4 − S 2 · S 3 ) ,\n\nf E 1 = � 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3\n\n− 2 S 1 · S 2 − 2 S 3 · S 4 ) .\n\nAccording to TABLE I we have f E 1 = − ( √ 3 / 2) τ x and\n\nf E 2 = ( √ 3 / 2) τ y . Then the coupling becomes\n\n( √ 3 / 2) J ′ ( − Q E 1 τ x + Q E 2 τ y ) (12)\n\nThe spin-lattice(SL) Hamiltonian on a single cluster j\n\nis [equation (1.8) in Ref. 35 ],\n\nH cluster j, SL = H cluster j + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2\n\n− √ 3 2 J ′ ( Q E 1 j τ x j − Q E 2 j τ y j ) ,\n\n(13)\n\nwhere k > 0 is the elastic constant for these phonon modes, J ′ is the spin-lattice coupling constant, Q E 1 j and\n\nQ E 2 j are the generalized coordinates of the Q E 1 and Q E 2\n\ndistortion modes of cluster j , H cluster j is (2). As al-\n\nready noted in Ref. 35 , this model does not really break\n\nthe pseudo-spin rotation symmetry of a single cluster.\n\nNow we put two clusters j and k together, and in-\n\nclude a perturbation λ H perturbation to the optical phonon\n\nHamiltonian,\n\nH jk, SL = H cluster j, SL + H cluster k, SL\n\n+ λ H perturbation [ Q E 1 j , Q E 2 j , Q E 1 k , Q E 2 k ]\n\nwhere λ (in fact λ/k ) is the expansion parameter.\n\nConsider the perturbation H perturbation = Q E 1 j · Q E 1 k ,\n\nwhich means a coupling between the Q E 1 distortion\n\nmodes of the two tetrahedra. Integrate out the optical\n\nphonons, at lowest non-trivial order, it produces a term (3 J ′ 2 λ ) / (4 k 2 ) τ x j · τ x k . This can be seen by minimizing separately the two cluster Hamiltonians with respect to\n\nQ E 1 , which gives Q E 1 = ( √ 3 J ′ ) / (2 k ) τ x , then plug this\n\ninto the perturbation term. Thus we have produced the\n\nJ x term in the Kitaev model with J x = − (3 J ′ 2 λ ) / (4 k 2 ).\n\nSimilarly the perturbation H perturbation = Q E 2 j · Q E 2 k will generate (3 J ′ 2 λ ) / (4 k 2 ) τ y j · τ y k at lowest non-trivial\n\norder. So we can make J y = − (3 J ′ 2 λ ) / (4 k 2 ).\n\nThe τ z j · τ z k coupling is more difficult to get. We treat it as − τ x j τ y j · τ x k τ y k . By the above reasoning, we\n\nneed an anharmonic coupling H perturbation = Q E 1 j Q E 2 j · Q E 1 k Q E 2 k . It will produce at lowest non-trivial or- der (9 J ′ 4 λ ) / (16 k 4 ) τ x j τ y j · τ x k τ y k . Thus we have J z = (9 J ′ 4 λ ) / (16 k 4 ).\n\nFinally we have made up a spin-lattice model H SL ,\n\nwhich involves only S ℓ · S m interaction for physical spins,\n\nH SL = � cluster\n\nH cluster , SL + � x − links \n\nλ x Q E 1 j · Q E 1 k\n\n+ � y − links \n\nλ y Q E 2 j · Q E 2 k\n\n+ � z − links \n\nλ z Q E 1 j Q E 2 j · Q E 1 k Q E 2 k\n\nwhere Q E 1 j is the generalized coordinate for the Q E 1 mode\n\non cluster j , and Q E 1 k , Q E 2 j , Q E 2 k are similarly defined;\n\nλ x,y = − (4 J x,y k 2 ) / (3 J ′ 2 ) and λ z = (16 J z k 4 ) / (9 J ′ 4 ); the\n\nsingle cluster spin-lattice Hamiltonian H cluster , SL is (13).\n\nCollect the results above we have the spin-lattice\n\nHamiltonian H SL explicitly written as,\n\nH SL = � cluster j\n\n� ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2\n\n+ J ′ � Q E 1 j\n\nS j 1 · S j 4 + S j 2 · S j 3 + S j 2 · S j 4 + S j 1 · S j 3 − 2 S j 1 · S j 2 − 2 S j 3 · S j 4 √ 12\n\n+ Q E 2 j\n\nS j 2 · S j 4 + S j 1 · S j 3 − S j 1 · S j 4 − S j 2 · S j 3\n\n2 ��\n\n− � x − links \n\n4 J x k 2 3 J ′ 2 Q E 1 j · Q E 1 k − � y − links \n\n4 J y k 2 3 J ′ 2 Q E 2 j · Q E 2 k + � z − links \n\n16 J z k 4\n\n9 J ′ 4 Q E 1 j Q E 2 j · Q E 1 k Q E 2 k\n\n(14)\n\nThe single cluster spin-lattice Hamiltonian [first three\n\nlines in (14)] is quite natural. However we need some\n\nharmonic(on x - and y -links of honeycomb lattice) and an-\n\nharmonic coupling (on z -links) between optical phonon",
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- "text": "Another note to take is that it is not necessary to have\n\nsuch a highly symmetric cluster Hamiltonian (2). The\n\nmappings to pseudo-spin-1/2 should work as long as the\n\nground states of the cluster Hamiltonian are the two-fold\n\ndegenerate singlets. One generalization, which conforms\n\nthe symmetry of the lattice in FIG. 2, is to have\n\nH cluster = ( J cluster / 2)( r · S 1 + S 2 + S 3 + S 4 ) 2 (11)\n\nwith J cluster > 0 and 0 < r < 3. However this is not\n\nconvenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its\n\nlow energy states are entirely in the space that each of the\n\nclusters is a physical spin singlet (called cluster singlet\n\nsubspace hereafter). Therefore physical spin correlations\n\nare strictly confined within each cluster. The excitations\n\ncarrying physical spin are gapped, and their dynamics\n\nare ‘trivial’ in the sense that they do not move from one\n\ncluster to another. But there are non-trivial low energy\n\nphysical spin singlet excitations, described by the pseudo-\n\nspins defined above. The correlations of the pseudo-spins\n\ncan be mapped to correlations of their corresponding\n\nphysical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation\n\nbecomes chirality-chirality correlation, or four-dimer cor-\n\nrelation. It will be interesting to see the corresponding\n\npicture of the exotic excitations in the Kitaev model, e.g.\n\nthe Majorana fermion and the Ising vortex. However this\n\nwill be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liq-\n\nuid with spin gap ( ∼ J cluster ), an extremely short-range\n\nresonating valence bond(RVB) state, from a model with\n\nspin rotation and time reversal symmetry. However it\n\nshould be noted that the unit cell of this model contains\n\nan even number of spin-1/2 moments (so does the orig-\n\ninal Kitaev model) which does not satisfy the stringent\n\ndefinition of spin liquid requiring odd number of elec-\n\ntrons per unit cell. Several parent Hamiltonians of spin\n\nliquids have already been constructed. See for example,\n\nRef. 24- 27 .\n\nIV. GENERATE THE HIGH ORDER PHYSICAL\n\nSPIN INTERACTIONS BY PERTURBATIVE\n\nEXPANSION.\n\nOne major drawback of the present construction is that\n\nit involves high order interactions of physical spins[see\n\n(8) and (9)], thus is ‘unnatural’. In this Section we will\n\nmake compromises between exact solvability and natu-\n\nralness. We consider two clusters j and k and try to\n\ngenerate the J x,y,z interactions in (7) from perturbation\n\nseries expansion of more natural(lower order) physical\n\nspin interactions. Two different approaches for this pur-\n\npose will be laid out in the following two Subsections. In\n\nSubsection IV A we will consider the two clusters as two\n\ntetrahedra, and couple the spin system to certain opti-\n\ncal phonons, further coupling between the phonon modes\n\n(a) (b) (c) (d)\n\n(b) (c) (d)\n\n### Q E 2\n\n### Q E 1\n\n(a)\n\n1 1 1 1\n\n1 1 1\n\n2\n\n2\n\n2\n\n2\n\n2\n\n2 2\n\n2\n\n3\n\n3\n\n3 3 3\n\n3 3 4 4\n\n4 4\n\n3\n\n4\n\n4\n\n4\n\n4\n\n1\n\nFIG. 3: Illustration of the tetragonal to orthorhombic\n\nQ E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective\n\nview of the tetrahedron. 1 , . . . , 4 label the spins. Arrows in-\n\ndicate the motion of each spin under the distortion mode. (b)\n\nTop view of (a). (c)(d) Side view of (a).\n\nof the two clusters can generate at lowest order the de-\n\nsired high order spin interactions. In Subsection IV B we\n\nwill introduce certain magnetic, e.g. Heisenberg-type, in-\n\nteractions between physical spins of different clusters, at\n\nlowest order(second order) of perturbation theory the de-\n\nsired high order spin interactions can be achieved. These\n\napproaches involve truncation errors in the perturbation\n\nseries, thus the mapping to low energy effect Hamilto-\n\nnian will no longer be exact. However the error intro-\n\nduced may be controlled by small expansion parameters.\n\nIn this Section we denote the physical spins on cluster\n\nj ( k ) as j 1 , . . . , j 4 ( k 1 , . . . , k 4), and denote pseudo-spins\n\non cluster j ( k ) as ⃗τ j ( ⃗τ k ).\n\nA. Generate the High Order Terms by Coupling to\n\nOptical Phonon.\n\nIn this Subsection we regard each four-spin cluster\n\nas a tetrahedron, and consider possible optical phonon\n\nmodes(distortions) and their couplings to the spin sys-\n\ntem. The basic idea is that the intra-cluster Heisen-\n\nberg coupling J cluster can linearly depend on the dis-\n\ntance between physical spins. Therefore certain distor-\n\ntions of the tetrahedron couple to certain linear combi-\n\nnations of S ℓ · S m . Integrating out phonon modes will\n\nthen generate high order spin interactions. This idea has\n\nbeen extensively studied and applied to several magnetic\n\nmaterials 28- 34 . More details can be found in a recent\n\nreview by Tchernyshyov and Chern 35 . And we will fre-\n\nquently use their notations. In this Subsection we will\n\nuse the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins\n\n1 , . . . , 4. The general distortions of this tetrahedron can\n\nbe classified by their symmetry (see for example Ref. 35 ).\n\nOnly two tetragonal to orthorhombic distortion modes,\n\nQ E 1 and Q E 2 (illustrated in FIG. 3), couple to the pseudo- spins defined in Section II. A complete analysis of all\n\nmodes is given in Appendix A. The coupling is of the",
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- "query": "What was the optical integral analysis proposed by Norman and Pépin?",
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- "target_passage": "a phenomenological model for the self energy which fits normal state scattering rate measure- ments by ARPES",
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- "text": "an energy of interband transitions, which is roughly 2 eV .\n\nThis would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in\n\nthe next section. Then we take up the four cases and\n\nconsider in each case the extent to which the Kubo sum is\n\nsatisfied up to the order of bandwidth and the functional\n\nform and the sign of ∆ W ( ω c ). The last section presents\n\nour conclusions.\n\nII. OPTICAL INTEGRAL IN NORMAL AND\n\nSUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the op-\n\ntical conductivity and the optical integral has been dis- cussed several times in the literature 21- 23,26,29 and we\n\njust list the formulas that we used in our computations.\n\nThe conductivity σ (Ω) and the optical integral W ( ω c )\n\nare given by (see for example Ref. 35).\n\nσ ′ (Ω) = Im � − Π(Ω) Ω+ iδ � = − Π ′′ (Ω) Ω + πδ (Ω) Π ′ (Ω)\n\n(7a)\n\nW ( ω c ) = � ω c\n\n0\n\nσ ′ (Ω) d Ω= − � ω c\n\n0+\n\nΠ ′′ (Ω)\n\nΩ d Ω+ π 2 Π ′ (0)\n\n(7b)\n\nwhere ‘ X ′ ’ and ‘ X ′′ ’ stand for real and imaginary parts\n\nof X . We will restrict with T = 0. The polarization\n\noperator Π(Ω) is (see Ref. 36)\n\nΠ( i Ω) = T � ω � ⃗k\n\n( ∇ ⃗k ε ⃗k ) 2 � G ( iω, ⃗ k ) G ( iω + i Ω , ⃗ k ) + F ( iω, ⃗ k ) F ( iω + i Ω , ⃗ k ) � (8a)\n\nΠ ′′ (Ω) = − 1 π � ⃗k\n\n( ∇ ⃗k ε ⃗k ) 2 � 0\n\n− Ω\n\ndω � G ′′ ( ω, ⃗ k ) G ′′ ( ω + Ω , ⃗ k ) + F ′′ ( ω, ⃗ k ) F ′′ ( ω + Ω , ⃗ k ) � (8b)\n\nΠ ′ (Ω) = 1 π 2 � ⃗k\n\n( ∇ ⃗k ε ⃗k ) 2 � ′ � ′ dx dy � G ′′ ( x, ⃗ k ) G ′′ ( y, ⃗ k ) + F ′′ ( x, ⃗ k ) F ′′ ( y, ⃗ k ) � n F ( y ) − n F ( x )\n\ny − x (8c)\n\nwhere � ′ denotes the principal value of the integral,\n\n� ⃗k is understood to be 1\n\nN � ⃗k ,( N is the number of lat- tice sites), n F ( x ) is the Fermi function which is a step\n\nfunction at zero temperature, G and F are the normal\n\nand anomalous Greens functions. given by 37\n\nFor a NS, G ( ω, ⃗ k ) = 1\n\nω − Σ( k, ω ) − ε ⃗k + iδ (9a)\n\nFor a SCS, G ( ω, ⃗ k ) = Z k,ω ω + ε ⃗k\n\nZ 2 k,ω ( ω 2 − ∆ 2 k,ω ) − ε 2 ⃗k + iδsgn ( ω ) (9b)\n\nF ( ω, ⃗ k ) = Z k,ω ∆ k,ω\n\nZ 2 k,ω ( ω 2 − ∆ 2 k,ω ) − ε 2 ⃗k + iδsgn ( ω ) (9c)\n\nwhere Z k,ω = 1 − Σ( k,ω ) ω , and ∆ k,ω , is the SC gap. Fol-\n\nlowing earlier works 31,33 , we assume that the fermionic\n\nself-energy Σ( k, ω ) predominantly depends on frequency\n\nand approximate Σ( k, ω ) ≈ Σ( ω ) and also neglect the\n\nfrequency dependence of the gap, i.e., approximate ∆ k,ω\n\nby a d − wave ∆ k . The lattice dispersion ε ⃗k is taken from Ref. 38. To calculate W K , one has to evaluate the Kubo\n\nterm in Eq.3 wherein the distribution function n ⃗k , is cal-\n\nculated from\n\nn ( ε ⃗k ) = − 2 � 0\n\n−∞\n\ndω 2 π G ′′ ( ω,⃗k ) (10)\n\nThe 2 is due to the trace over spin indices. We show the\n\ndistribution functions in the NS and SCS under different\n\ncircumstances in Fig 2.\n\nThe ⃗ k -summation is done over first Brillouin zone for a\n\n2-D lattice with a 62x62 grid. The frequency integrals are\n\ndone analytically wherever possible, otherwise performed\n\nusing Simpson’s rule for all regular parts. Contributions\n\nfrom the poles are computed separately using Cauchy’s\n\ntheorem. For comparison, in all four cases we also calcu-\n\nlated FGT sum rule by replacing � d 2 k = d Ω k dǫ k ν ǫ k , Ω k\n\nand keeping ν constant. We remind that the FGT is\n\nthe result when one assumes that the integral in W ( ω c )\n\npredominantly comes from a narrow region around the\n\nFermi surface.\n\nWe will first use Eq 3 and compute W K in NS and SCS.\n\nThis will tell us about the magnitude of ∆ W ( ω c = ∞ ).\n\nWe next compute the conductivity σ ( ω ) using the equa-\n\ntions listed above, find W ( ω c ) and ∆ W ( ω c ) and compare\n\n∆ f ( ω c ) and ∆ W K .\n\nFor simplicity and also for comparisons with earlier\n\nstudies, for BCSI, EB, and MFLI models we assumed\n\nthat the gap is just a constant along the FS. For CB\n\nmodel, we used a d − wave gap and included into consid-\n\neration the fact that, if a CB is a spin fluctuation, its\n\npropagator develops a resonance when the pairing gap is\n\nd − wave.",
- "page_start": 3,
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- "text": "Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk,\n\nDmitri Basov, Chris Homes, Nicole Bontemps, Andres\n\nSantander-Syro, Ricardo Lobo, Dirk van der Marel, A.\n\nBoris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\nF. Marsiglio for many discussions concerning the infrared\n\nconductivity and optical integrals and thank A. Boris, E.\n\nvan Heumen, J. Hirsch, and F. Marsiglio for the com-\n\nments on the manuscript. The work was supported by\n\n[nsf-dmr 0906953.](http://arxiv.org/abs/nsf-dmr/0906953)\n\n1 R. Kubo, J. Phys. Soc. Jpn 12 , 570(1957). 2 R.A. Ferrrel and R.E. Glover, Phys. Rev. 109 , 1398 (1958). 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2 , 331\n\n(1959), M. Tinkham, Introduction to Superconductivity\n\n(McGraw-Hill, New York, 1975). 4 J. Hirsch, Physica C 199 , 305 (1992). 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77 , 721\n\n(2005); A. V. Puchkov, D. N. Basov and T. Timusk, J.\n\nPhys. Cond. Matter 8 , 10049 (1996). 6 C. M. Varma et al , Phys. Rev. Lett. 63 , 1996 (1989). 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C.\n\nDynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin,\n\nScience 283 , 49 (1999). 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess,\n\nM. Li, Science 295 , 2239 (2002); A. B. Kuzmenko, H. J. A.\n\nMolegraaf, F. Carbone and D. van der Marel, Phys. Rev.\n\nB 72 , 144503 (2005). 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z.\n\nKonstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 ,\n\n568 (2003); 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden,\n\nC. T. Lin, B. Keimer and C. Bernhard, Science 304 , 708\n\n(2004). 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps,\n\nPhys. Rev. B 72 , 092504 (2005). 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van\n\nHeumen, V. Lukovac, F. Marsiglio, D. van der Marel, K.\n\nHaule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and\n\nM. Li, Phys. Rev. B 74 , 064510 (2006). 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and\n\nW. N. Hardy, Phys. Rev. B 69 , 024514 (2004). 14 J. Hwang et al , Phys. Rev. B 73 , 014508 (2006). 15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone,\n\nD. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M.\n\nGreven, C. C. Homes and S. V. Dordevic, Phys. Rev. B\n\n75 , 054522 (2007). 16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94 ,\n\n067002 (2005). 17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps,\n\nPhys. Rev. B 70 , 134504(2004), A. F. Santander-Syro, R.\n\nP. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li\n\nand H. Raffy, Europhys. Lett. 62 , 568 (2003). 18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim,\n\nPhys. Rev. B 58 2452 (1998). 19 J. Hirsch, Physica C, 201 , 347 (1992) and Ref 4. 20 for a review see F. Marsiglio, J. Superconductivity and\n\nNovel Magnetism 22 , 269 (2009). 21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev.\n\nB 77 144510 (2008). 22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B.\n\nKuzmenko, and D. van der Marel, Phys. Rev. B 76 , 220509\n\n(2007). 23 J. E. Hirsch and F. Marsiglio, Physica C 331 , 150 (2000)\n\nand Phys. Rev. B 62 , 15131 (2000). 24 A. Toschi, M. Capone, M. Ortolani, P. Calvani, S. Lupi\n\nand C. Castellani, Phys. Rev. Lett. 95 , 097002 (2005). 25 F. Marsiglio, F. Carbone, A. Kuzmenko and D. van der\n\nMarel, Phys. Rev. B 74 , 174516 (2006). 26 L. Benfatto, S. G. Sharapov, N. Andrenacci and H. Beck,\n\nPhys. Rev. B 71 , 104511 (2005). 27 D. van der Marel, H.J.A. Molegraaf, C. Presura, and I.\n\nSantoso, Concepts in Electron Correlations, edited by A.\n\nHewson and V. Zlatic (Kluwer, 2003) 28 L. Benfatto, J.P. Carbotte and F. Marsiglio, Phys. Rev. B\n\n74 , 155115 (2006) 29 F. Marsiglio, Phys. Rev. B 73 , 064507(2006). 30 M.R. Norman and C. P´epin, Phys. Rev. B 66 , 100506(R)\n\n(2002). 31 J. Fink et al. , Phys. Rev. B 74 , 165102(R) (2006). 32 M. Eschrig, Adv. Phys. 55 , 47-183 (2006) 33 M.R. Norman and A.V. Chubukov, Phys. Rev. B 73 ,\n\n140501(R)(2006). 34 [ A.E. Karakozov and E.G. Maksimov, cond-mat/0511185,](http://arxiv.org/abs/cond-mat/0511185)\n\nA. E. Karakozov, E. G. Maksimov and O. V. Dolgov, Solid\n\nState Comm. 124 , 119 (2002); A. E. Karakozov and E. G.\n\nMaksimov, ibid. 139 , 80 (2006). 35 see e.g., P. B. Allen, Phys. Rev. B 3 , 305 (1971); S. V.\n\nShulga, O. V. Dolgov and E. G. Maksimov, Physica C\n\n178 , 266 (1991). 36 A. A. Abriskov and L. P. Gor’kov, JETP 35 , 1090 (1959),\n\nSang Boo Nam, Phys. Rev. 156 , 470 (1967). 37 Theory of superconductivity, Schrieffer, (W. A. Benjamin\n\nInc., New York 1964). 38 M.R. Norman, M. Randeria, H. Ding, and J.C. Cam-\n\npuzano, Phys. Rev. B 52 , 615 (1995). 39 Z.X. Shen and D.S. Dessau, Phys. Rep. 253 , 1(1995),\n\nJ. C. Campuzano, M. R. Norman, and M. Randeria,\n\n“Superconductivity”(Vol-1), 923-992, Springer (2008). 40 A. V. Chubukov, Ar. Abanov, and D. N. Basov, Phys. Rev.\n\nB 68 , 024504 (2003). 41 T. Valla et al. , Phys. Rev. Lett 85 , 828(2000). 42 Kaminski et al. , Phys. Rev. B 71 , 014517 (2005). 43 Robert Haslinger and Andrey V. Chubukov, Phys. Rev. B\n\n67 , 140504(2003). 44 C. Castellani, C. DiCastro, and M. Grilli, Phys. Rev. Lett.\n\n75 , 4650 (1995). 45 Ar. Abanov, A. Chubukov, and J. Schmalian, Adv. Phys.\n\n52 , 119 (2003). 46 Dessau et al. , Phys. Rev. Lett 66 , 2160(1991), Norman et\n\nal , Phys. Rev. Lett. 79 , 3506(1997). 47 M.R. Norman and H. Ding, Phys. Rev. B 57 , 11089(1998). 48 C. Timm, D. Manske and K. H. Bennemann, Phys. Rev.\n\nB 66 , 094515(2002). 49 A.V. Chubukov, M.R. Norman, Phys. Rev. B 70 ,\n\n174505(2004). 50 In this respect, our results are consistent with the analysis",
- "page_start": 14,
- "page_end": 14,
- "source_file": "1001.0764.pdf"
- },
- {
- "text": "[arXiv:1001.0764v2 [cond-mat.str-el] 13 Jan 2010](http://arxiv.org/abs/1001.0764v2)\n\n## Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in\n\nthe cuprates. We compute conductivities, optical integrals W , and ∆ W between superconducting\n\nand normal states for 2-D systems with lattice dispersion typical of the cuprates for four different\n\nmodels - a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a\n\ncollective boson model with a feedback from superconductivity on a collective boson. The goal of\n\nthe paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ω c ) placed on\n\nthe optical integral because in experiments W is measured up to frequencies of order bandwidth.\n\nFor a BCS model, the Kubo sum rule is almost fully reproduced at ω c equal to the bandwidth. But\n\nfor other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for\n\n∆ W , implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign\n\nof ∆ W . In all models we studied ∆ W is positive at small ω c , then crosses zero and approaches a\n\nnegative value at large ω c , i.e. the optical integral in a superconductor is smaller than in a normal\n\nstate. The point of zero crossing, however, increases with the interaction strength and in a collective\n\nboson model becomes comparable to the bandwidth at strong coupling. We argue that this model\n\nexhibits the behavior consistent with that in the cuprates.\n\nI. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper 1 in 1957, used\n\na general formalism of a statistical theory of irreversible\n\nprocesses to investigate the behavior of the conductivity\n\nin electronic systems. For a system of interacting elec-\n\ntrons, he derived the expression for the integral of the real\n\npart of a (complex) electric conductivity σ (Ω) and found\n\nthat it is independent on the nature of the interactions\n\nand reduces to\n\n� ∞\n\n0\n\nRe σ (Ω) d Ω= π 2\n\nne 2\n\nm (1)\n\nHere n is the density of the electrons in the system and\n\nm is the bare mass of the electron. This expression is\n\nexact provided that the integration extends truly up to\n\ninfinity, and its derivation uses the obvious fact that at\n\nenergies higher than the total bandwidth of a solid, elec-\n\ntrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temper-\n\nature and the state of a solid (e.g., a normal or a super-\n\nconducting state - henceforth referred to as NS and SCS\n\nrespectively) implies that, while the functional form of\n\nσ (Ω) changes with, e.g., temperature, the total spectral\n\nweight is conserved and only gets redistributed between\n\ndifferent frequencies as temperature changes. This con-\n\nservation of the total weight of σ (Ω) is generally called a\n\nsum rule.\n\nOne particular case, studied in detail for conventional\n\nsuperconductors, is the redistribution of the spectral\n\nweight between normal and superconducting states. This\n\nis known as Ferrel-Glover-Tinkham (FGT) sum rule: 2,3\n\n� ∞\n\n0+\n\nRe σ NS (Ω) = � ∞\n\n0+\n\nRe σ sc (Ω) + πn s e 2 2 m (2)\n\nwhere n s is the superfluid density, and πn s e 2 / (2 m ) is\n\nthe spectral weight under the δ -functional piece of the\n\nconductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency\n\nis hardly possible, and more relevant issue for practical\n\napplications is whether a sum rule is satisfied, at least ap-\n\nproximately, for a situation when there is a single electron\n\nband which crosses the Fermi level and is well separated\n\nfrom other bands. Kubo considered this case in the same\n\npaper of 1957 and derived the expression for the “band”,\n\nor Kubo sum rule\n\n� ‘ ∞ ′\n\n0\n\nRe σ (Ω) d Ω= W K = πe 2 2 N � ⃗k\n\n∇ 2 ⃗ k x ε ⃗k n ⃗k (3)\n\nwhere n ⃗k is the electronic distribution function and ε ⃗k is the band dispersion. Prime in the upper limit of the inte-\n\ngration has the practical implication that the upper limit\n\nis much larger than the bandwidth of a given band which\n\ncrosses the Fermi level, but smaller than the frequencies\n\nof interband transitions. Interactions with external ob-\n\njects, e.g., phonons or impurities, and interactions be-\n\ntween fermions are indirectly present in the distribution\n\nfunction which is expressed via the full fermionic Green’s\n\nfunction as n ⃗k = T � m G ( ⃗k, ω m ). For ǫ k = k 2 / 2 m ,\n\n∇ 2 ⃗ k x ε ⃗k = 1 /m , W K = πne 2 / (2 m ), and Kubo sum rule\n\nreduces to Eq. (1). In general, however, ε ⃗k is a lattice dispersion, and Eqs. (1) and (3) are different. Most im-\n\nportant, W K in Eq. (3) generally depends on T and on\n\nthe state of the system because of n ⃗k . In this situation,\n\nthe temperature evolution of the optical integral does not\n\nreduce to a simple redistribution of the spectral weight\n\n- the whole spectral weight inside the conduction band\n\nchanges with T . This issue was first studied in detail by Hirsch 4 who introduced the now-frequently-used nota-\n\ntion “violation of the conductivity sum rule”.\n\nIn reality, as already pointed out by Hirsch, there is no\n\ntrue violation as the change of the total spectral weight",
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- "text": "*Conclusion:* In summary, we propose a new subnatural linewidth spectroscopy technique, which is a laser by us- ing Ramsey seperated-field cavity to realize the output of stimulated-emission radiation via multiple coherent interac- tion with atomic beam. We find the linewidth of Ramsey laser is subnatural if we choose an appropriate atomic level, and the bad-cavity laser mechanism will dramatically reduce cavity- related noise as discussed in active optical clock [15- 19]. Our results show that this new subnatural linewidth spectroscopy is superior to conventional optical Ramsey seperated-field spectroscopy and any other available subnatural spectroscopy technique at present [3- 10]. Considering one have to ap- ply the separated-field method in any phase detection as in Ramsey-Bord *e* ´interferometer [2], to investigate the e ff ects of phase di ff erences between the two oscillating fields [31] in this stimulated separated-field method with such subnatural linewidth will be our next research aim. We acknowledge Yiqiu Wang and Deshui Yu for fruitful discussions. This work is supported by MOST of China (grant 2005CB724500, National Natural Science Foundation of China (grant 60837004, 10874009), National Hi-Tech Re- search and Development (863) Program.\n\n∗ E-mail: jbchen@pku.edu.cn † E-mail: hongguo@pku.edu.cn. [1] N. F. Ramsey, Phys. Rev. **76** , 996 (1949). [2] B. Dubetsky and P. R. Berman, In *Atom Interferometry* , edited by P. R. Berman (Academic Press, Cambridge, MA, 1997). [3] M. M. Salour, Rev. Mod. Phys. **50** , 667 (1978). [4] J. Wong and J. C. Garrison, Phys. Rev. Lett. **44** , 1254 (1980). [5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. **13** 4345 (1980). [6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A **24** , 1914 (1981). [7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A **28** , 2248 (1983). [8] W. Gawlik, J. Kowalski, F. Tr¨ager, and M. Vollmer, Phys. Rev.\n\nLett. **48** , 871 (1982). [9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and P. R. Rice, Phys. Rev. A **40** , 5516 (1989). [10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physics **34** , 297 (1995) [11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett, **93** , 250602 (2004). [12] A. D. Ludlow *et al.* , Opt. Lett. **32** , 641 (2007). [13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett. **101** , 260602 (2008). [14] J. Chen, and X.Chen, In *Proceedings of the 2005 IEEE Inter-* *national Frequency Control Symposium and Exposition* , (IEEE, 2005), p.608. [15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Science Bul- letin **54** , 348 (2009). [16] D. Yu and J. Chen, Phys. Rev. A **78** , 013846 (2008). [17] J. Chen, In *Frequency Standards and Metrology: Proceedings* *of the 7th Symposium* , edited by Maleki Lute (World Scientific Publishing Company, 2009). [18] Y. Wang, Chinese Science Bulletin **54** , 347 (2009).\n\n[19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. Rev. Lett. **102** , 163601 (2009) [20] F. Strumia, Metrologia **8** , 85 (1972). [21] G. Kramer, J. Opt. Soc. Am. **68** , 1634 (1978). [22] V. S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR **32** , 455 (1972). [23] Ye. V. Baklanov, B. Ya, Dubetsky, V. P. Chebotayev, Appl. Phys. **9** , 171 (1976). [24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett. **38** , 159 (1977). [25] L. Davidovich, Rev. Mod. Phys. **68** , 127 (1996). [26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre, Phys. Rev. A **47** , 1431 (1993). [27] M. Sargent III, M. O. Scully, and W. E. Lamb, *Laser Physics* (Addition Wesley, Reading, MA, 1974). [28] N. A. Abraham, P. Mandel, and L. M. Narducci, *Dynamic In-* *stabilities and Pulsations in Lasers* , Progress in Optics XXV, edited by E. Wolf (Elsevier, Amsterdam, 1988). [29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P. J. Dagdigian, J. Phys. B **13** , 2231 (1980). [30] K. An and M. S. Feld, Phys. Rev. A **56** , 1662(1997). [31] N. F. Ramsey and H. B. Silsbee, Phys. Rev. **84** , 506(1951).",
- "page_start": 3,
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- "text": "˜ *N* *bss* = *R* τ 2 � 1 − *C* 0 − *C* 1 + *C* 2 *g* τ � κ\n\n*R* ( *B* 0 − *B* 1 + *B* 2 ) � .\n\nA detailed analysis about the stability of the steady-state can be found such as in [28]. In this paper, we assume the steady- state solution is stable. *Laser linwidth:* Suppose the quantum fluctuation is small, the evolution of the fluctuations can be obtained by making a linearization of the c-number Langevin equations around the steady-state solution. Then the measured spectra of field fluc- tuations will be directly related to these quantities. By Fourier transformations of the linearized equation, we get the ampli- tude and phase quadrature components δ *X* ( ω ) and δ *Y* ( ω ) [26]. Well above threshold, one can neglect the amplitude fluctu- ations, and the linewidth inside the cavity is related to the phase-di ff usion coe ffi cient [25]. For small fluctuation of laser phase, the spectrum of phase fluctuations is simply related to the spectrum of the phase quadrature component of the field fluctuations, namely,\n\n( δϕ 2 ) ω = 1 *I* 0 ( δ *Y* 2 ) ω .\n\nIn the region γ *ab* ≪ *T* − 1 ≪ τ − 1 ≪ κ/ 2, as in the recently proposed active optical clock [15] with atomic beam. The phase quadrature component of the field fluctuations can be expressed as\n\n( δϕ 2 ) ω\n\n≈ ( κ/ 2 + γ *ab* ) 2\n\n*I* 0 ω 2 [( κ/ 2 + γ *ab* ) 2 + ω 2 ]\n\n*g* 2\n\n4( κ/ 2 + γ *ab* ) 2 { 4 γ *ab* ˜ *N* *ass* + 2 *R* [( *A* 0 + *B* 0 ) + ( *A* 2 + *B* 2 )]\n\n+ *Rp* [( *C* 0 − *C* ∗ 0 ) 2 + ( *C* 1 − *C* ∗ 1 ) 2 + ( *C* 2 − *C* ∗ 2 ) 2 ] } . (9)\n\nSince the time τ and *T* is much shorter than the time scale of the atomic dampings, we can neglect the dampings when calculate *A* *i* , *B* *i* , *C* *i* . By using\n\n*A* 0 = cos 2 � Ω *R* 2 τ � , *A* 1 = cos 2 � Ω *R* 2 τ � ,\n\n*A* 2 = 1 − sin 2 ( Ω *R* τ ) cos 2 � ∆ 2 2 *T* � , *B* 0 = sin 2 � Ω *R* 2 τ � ,\n\n*B* 1 = sin 2 � Ω *R* 2 τ � , *B* 2 = sin 2 ( Ω *R* τ ) cos 2 � ∆ 2 *T*\n\n2 � ,\n\n( *C* 0 − *C* ∗ 0 ) 2 = 0 , ( *C* 1 − *C* ∗ 1 ) 2 = − sin 2 ( Ω *R* τ ) sin 2 ( ∆ 2 *T* ) ,\n\n( *C* 2 − *C* ∗ 2 ) 2 = − sin 2 ( Ω *R* τ ) sin 2 ( ∆ 2 *T* ) ,\n\nwe get\n\n( δϕ 2 ) ω = ( κ/ 2 + γ *ab* ) 2\n\nω 2 [( κ/ 2 + γ *ab* ) 2 + ω 2 )]\n\nγ 2 *ab* ( κ/ 2 + γ *ab* ) 2 { *D* *S T* + *D* *Ram* [2 − *p* sin 2 ( Ω *R* τ ) sin 2 ( ∆ 2 *T* )] } , (10)\n\nwhere Ω *R* is the Rabi frequency on resonance,\n\n*D* *S T* = *g* 2 ˜ *N* *ass* / *I* 0 γ *ab* , *D* *Ram* = *g* 2 *R* / 2 *I* 0 γ 2 *ab* , and ∆ 2 = ω − ( ω *a* 2 − ω *b* 2 ) presents the detuning in the free drift region. *p* is a parameter, which characterizes the pump- ing statistics: a Poissonian excitation statistics corresponds to *p* = 0 , and for a regular statistics we have *p* = 1. Then the linewidth of Ramsey laser with bad cavity is given by\n\n*D* = γ 2 *ab* ( κ/ 2 + γ *ab* ) 2 { *D* *S T* + *D* *Ram* [2 − *p* sin 2 ( Ω *R* τ ) sin 2 ( ∆ 2 *T* )] } . (11) Since *D* *S T* / *D* *Ram* ≪ 1 in our situation, and in the case of max- imal photon number, the steady state value of ˜ *N* *ass* is about *R* τ/ 2. Then we get the\n\n*D* ≈ 2 *g* 2 κ [2 − *p* sin 2 ( Ω *R* τ ) sin 2 ( ∆ 2 *T* )] . (12)\n\nFrom the expression above, we find that the pumping statis- tic can influence the linewidth. For regular injection ( *p* = 1), the linewidth is the narrowest, while for Poissonian injection ( *p* = 0), the linewidth is the broadest. But even for regular injection, the linewidth is larger than the case of one cavity. That means the mechanism of separated-field does not play the role in reducing the linewidth as in the conventional opti- cal Ramsey method, which is counter-intuitive. However, the separated fields are indispensable for any phase detection like atom interferometry. The details about the method of active atom interferometry will appear elsewhere. Our method of Ramsey laser is suitable for any atoms with metastable energy level, as an example, we choose the tran- sition from the metastable state 4 *s* 4 *p* 3 *P* 1 to the ground state 4 *s* 2 1 *S* 0 of 40 Ca to check the striking feature of this laser: sub- natural linewidth. As mentioned in [29], the corresponding natural linewidth of the metastable state 4 *s* 4 *p* 3 *P* 1 is 320Hz. As in the recently proposed active optical clock with atomic beam [15], the velocity of the atoms in thermal atomic beam is about 500m / s, and the length of the interaction region is about 1mm, then the time for the atom to traverse each coherent- interaction region is on the order of magnitude of 1 µ s. If a bad cavity with κ is on the order of 10 7 Hz, the relation κ/ 2 ≫ τ − 1 is satisfied. Then when *g* is on the order of the magnitude of kHz, which can be easily achieved for current technique [30], from the linewidth expression of Eq.(16) the order of magnitude of linewidth is below 1 Hz. This means the linewidth of a Ramsey laser can be more than two or- ders of magnitude narrower than the atomic natural linewidth, therefore our Ramsey method provides a new subnatural spec- troscopy technique. And since it is stimulated-emission spec- trum, it overcomes the di ffi culty in other subnatural linewidth spectroscopy schemes where the quick reduction of signal to noise ratio is a formidable limit. We should point out that this Ramsey laser does not escape the limitation of all active optical clock: in order to pump atoms to the excited state ef- fectively and to be stimulated emit photon during the lifetime of a metastable state, this new method will only be applicable to some special transitions [17].",
- "page_start": 2,
- "page_end": 2,
- "source_file": "1001.2670.pdf"
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- "text": "0.2 0.4 0.6 0.8\n\n−40\n\n0\n\nω c in eV\n\nW SC ( ω c\n\n) − W NS ( ω c\n\n)\n\n∆ W (EB model)\n\nwith lattice\n\nwithout lattice\n\n∆ W K\n\nFIG. 9: ∆ W vs the cut-off for the EB model. It remains neg-\n\native for larger cut-offs. Parameters are the same as before.\n\nThe dot indicates the value of ∆ W ( ∞ ) = ∆ W K\n\nof the lattice (the dashed line in Fig. 9).\n\nC. Marginal Fermi liquid model\n\nFor their analysis of the optical integral, Norman and P´epin 30 introduced a phenomenological model for the self\n\nenergy which fits normal state scattering rate measure-\n\nments by ARPES 41 . It constructs the NS Σ ′′ ( ω ) out\n\nof two contributions - impurity scattering and electron-\n\nelectron scattering which they approximated phenomeno-\n\nlogically by the marginal Fermi liquid form of αω at small frequencies 6 (MFLI model). The total Σ ′′ is\n\nΣ ′′ ( ω ) = Γ + α | ω | f � ω\n\nω sat � (17)\n\nwhere ω sat is about ∼ 1 2 of the bandwidth, and f ( x ) ≈ 1 for x < 1 and decreases for x > 1. In Ref 30 f ( x ) was assumed to scale as 1 /x at large x such that Σ ′′ is flat at\n\nlarge ω . The real part of Σ( ω ) is obtained from Kramers-\n\nKr¨onig relations. For the superconducting state, they\n\nobtained Σ ′′ by cutting off the NS expression on the lower\n\nend at some frequency ω 1 (the analog of ω 0 + ∆that we\n\nhad for EB model):\n\nΣ ′′ ( ω ) = (Γ + α | ω | )Θ( | ω | − ω 1 ) (18)\n\nwhere Θ( x ) is the step function. In reality, Σ ′′ which fits\n\nARPES in the NS has some angular dependence along the\n\nFermi surface 42 , but this was ignored for simplicity. This\n\nmodel had gained a lot of attention as it predicted the\n\noptical sum in the SCS to be larger than in the NS, i.e.,\n\n∆ W > 0 at large frequencies. This would be consistent\n\nwith the experimental findings in Refs. 8,9 if, indeed, one\n\nidentifies ∆ W measured up to 1eV with ∆ W K .\n\nWe will show below that the sign of ∆ W in the MFLI\n\nmodel actually depends on how the normal state results\n\nare extended to the superconducting state and, moreover,\n\nwill argue that ∆ W K is actually negative if the extension\n\nis done such that at α = 0 the results are consistent with\n\nBCSI model. However, before that, we show in Figs 10-\n\n12 the conductivities and the optical integrals for the\n\noriginal MFLI model.\n\n0.2 0.6 1\n\n0\n\n0.1\n\n0.2\n\nω in eV\n\nσ ( ω )\n\nConductivities (Original MFLI)\n\nNS\n\nSC\n\n∆ + ω 1\n\n0 50 100 120\n\n130\n\n140\n\nΓ (meV)\n\nOriginal MFLI\n\nW K (meV)\n\nSC\n\nNS\n\nα =0.75\n\nFIG. 10: Top - the conductivities in the NS and SCS in the\n\noriginal MFLI model of Ref.30. We set Γ = 70 meV , α = 0 . 75,\n\n∆= 32 meV , ω 1 = 71 meV . Note that σ ′ ( ω ) in the SCS\n\nbegins at Ω= ∆+ ω 1 . Bottom - the behavior of W K with Γ.\n\nIn Fig 10 we plot the conductivities in the NS and the\n\nSCS and Kubo sums W K vs Γ at α = 0 . 75 showing that\n\nthe spectral weight in the SCS is indeed larger than in the\n\nNS. In Fig 11 we show the behavior of the optical sums\n\nW ( ω c ) in NS and SCS. The observation here is that only\n\n∼ 75 − 80% of the Kubo sum is recovered up to the scale of\n\nthe bandwidth implying that there is indeed a significant\n\nspectral weight well beyond the bandwidth. And in Fig\n\n12 we show the behavior of ∆ W ( w c ). We see that it does\n\nnot change sign and remain positive at all ω c , very much\n\nunlike the BCS case. Comparing the behavior of W ( w c )\n\nwith and without a lattice (solid and dashed lines in Fig.\n\n12) we see that the ‘finite bandwidth effect’ just shifts the\n\ncurve in the positive direction. We also see that the solid\n\nline flattens above roughly half of the bandwidth, i.e., at\n\nthese frequencies ∆ W ( ω c ) ≈ ∆ W K . Still, we found that\n\n∆ W continues going down even above the bandwidth\n\nand truly saturates only at about 2 eV (not shown in the\n\nfigure) supporting the idea that there is ‘more’ left to\n\nrecover from higher frequencies.\n\nThe rationale for ∆ W K > 0 in the original MFLI\n\nmodel has been provided in Ref. 30. They argued that\n\nthis is closely linked to the absence of quasiparticle peaks\n\nin the NS and their restoration in the SCS state because\n\nthe phase space for quasiparticle scattering at low ener-\n\ngies is smaller in a superconductor than in a normal state.",
- "page_start": 7,
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- "source_file": "1001.0764.pdf"
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- {
- "text": "0 0.5 1 0\n\n0.2\n\n0.4\n\n0.6\n\n0.8\n\n1\n\nω c in eV\n\nW( ω c )/W( ∞ )\n\nNS (Original MFLI)\n\n0 0.5 1\n\n0.2\n\n0.6\n\n1\n\nω c in eV\n\nW( ω c\n\n)/W( ∞ )\n\nSCS (Original MFLI)\n\nFIG. 11: The evolution of the optical integral in the NS (top)\n\nand the SCS (bottom) in the original MFLI model. Parame-\n\nters are the same as above. Note that only ∼ 75 − 80% of the spectral weight is recovered up to 1 eV .\n\n0.2 0.4 0.6 0.8 1\n\n0\n\n10\n\n20\n\nω c in eV\n\nW SC ( ω c\n\n) − W NS ( ω c\n\n)\n\nNS and SCS ∆ W (Original MFLI)\n\nwith lattice\n\nwithout lattice\n\n∆ W K\n\nFIG. 12: Evolution of the difference of the optical integrals in\n\nthe SCS and the NS with the upper cut-off ω c . Parameters are\n\nthe same as before. Observe that the optical sum in the SCS\n\nis larger than in the NS and that ∆ W has not yet reached\n\n∆ W K up to the bandwidth. The dashed line is the FGT\n\nresult.\n\nThis clearly affects n k because it is expressed via the full\n\nGreen’s function and competes with the conventional ef-\n\nfect of the gap opening. The distribution function from\n\nthis model, which we show in Fig.2b brings this point\n\nout by showing that in a MFLI model, at ǫ < 0, n k in a\n\nsuperconductor is larger than n k in the normal state, in\n\nclear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various pa-\n\nrameters and found that the behavior presented in Fig.\n\n12, where ∆ W ( ω c ) > 0 for all frequencies, is typical but\n\n0 20 40 175\n\n185\n\n195\n\nΓ in meV\n\nW K (meV)\n\nOriginal MFLI in BCS limit\n\nSC\n\nNS\n\nα =0.05\n\nFIG. 13: Behavior of W K with Γ for the original MFLI model\n\nat very small α = 0 . 05. We set ω 1 = ∆= 32 meV . Observe\n\nthe inconsistency with W K in the BCSI model in Fig 4.\n\n0.2 0.4 0.6 0.8 −0.4\n\n0\n\n0.4\n\nω c in eV\n\nW SC ( ω c\n\n) − W NS ( ω c\n\n)\n\nOriginal MFLI−two sign changes\n\nFIG. 14: The special case of α = 1 . 5,Γ = 5 meV , other pa-\n\nrameters the same as in Fig. 10. These parameters are chosen\n\nto illustrate that two sign changes (indicated by arrows in the\n\nfigure) are also possible within the original MFLI model.\n\nnot not a generic one. There exists a range of parame-\n\nters α and Γ where ∆ W K is still positive, but ∆ W ( ω c )\n\nchanges the sign twice and is negative at intermediate\n\nfrequencies. We show an example of such behavior in\n\nFig14. Still, for most of the parameters, the behavior of\n\n∆ W ( ω c ) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the\n\noriginal MFLI model. We recall that in this model the\n\nself-energy in the SCS state was obtained by just cutting\n\nthe NS self energy at ω 1 (see Eq.18). We argue that\n\nthis phenomenological formalism is not fully consistent,\n\nat least for small α . Indeed, for α = 0, the MFLI model\n\nreduces to BCSI model for which the behavior of the self-\n\nenergy is given by Eq. (12). This self-energy evolves with\n\nω and Σ ′′ has a square-root singularity at ω = ∆+ ω o\n\n(with ω o = 0). Meanwhile Σ ′′ in the original MFLI model\n\nin Eq. (18) simply jumps to zero at ω = ω 1 = ∆, and\n\nthis happens for all values of α including α = 0 where the\n\nMFLI and BCSI model should merge. This inconsistency\n\nis reflected in Fig 13, where we plot the near-BCS limit\n\nof MFLI model by taking a very small α = 0 . 05. We\n\nsee that the optical integral W K in the SCS still remains\n\nlarger than in the NS over a wide range of Γ, in clear\n\ndifference with the exactly known behavior in the BCSI",
- "page_start": 8,
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- {
- "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\n\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44 ,\n\n912 (1980).\n\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44 , 1316 (1980) [Erratum-ibid. 44 ,\n\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91 , 222 (1980).\n\n[3] S. Khalil, J. Phys. G 35 , 055001 (2008).\n\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676 , 81 (2009); Phys. Rev. D 80 , 115007\n\n(2009).\n\n[5] W. Emam and S. Khalil, Eur. Phys. J. C 522 , 625 (2007).\n\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101 , 181802 (2008).\n\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80 , 055030\n\n(2009).\n\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80 , 073015 (2009).\n\n[9] S. Khalil and O. Seto, JCAP 0810 , 024 (2008).\n\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70 , 093009 (2004).\n\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74 , 033011 (2006).\n\n[12] S. Dawson and W. Yan, Phys. Rev. D 79 , 095002 (2009).\n\n[[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].](http://arxiv.org/abs/1002.1939)\n\n[14] E. W. Kolb and M. S. Turner, The Early Universe , Addison-Wesley (1990).\n\n[15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170 , 377 (2007).\n\n[16] J. McDonald, Phys. Rev. D 50 , 3637 (1994).\n\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619 , 709 (2001).\n\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609 , 117 (2005).\n\n[19] T. Kikuchi and N. Okada, Phys. Lett. B 665 , 186 (2008).\n\n[20] C. E. Yaguna, JCAP 0903 , 003 (2009).\n\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67 , 085002 (2003).\n\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67 , 043516 (2003).\n\n[23] K. Cheung and O. Seto, Phys. Rev. D 69 , 113009 (2004).\n\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n\n[25] Z. Ahmed et al. [ [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].](http://arxiv.org/abs/0912.3592)\n\n[[26] http://xenon.astro.columbia.edu/.](http://xenon.astro.columbia.edu/)\n\n13",
- "page_start": 12,
- "page_end": 12,
- "source_file": "1002.2525.pdf"
- },
- {
- "text": "FIG. 2: Distribution functions in four cases (a) BCSI model,\n\nwhere one can see that for ε > 0, SC > NS implying KE in-\n\ncreases in the SCS. (b) The original MFLI model of Ref. 30,\n\nwhere for ε > 0, SC < NS, implying KE decreases in the SCS.\n\n(c) Our version of MFLI model (see text) and (d) the CB\n\nmodel. In both cases, SC > NS, implying KE increases in the\n\nSCS. Observe that in the impurity-free CB model there is no\n\njump in n ( ǫ ) indicating lack of fermionic coherence. This is\n\nconsistent with ARPES 39\n\nA. The BCS case\n\nIn BCS theory the quantity Z ( ω ) is given by\n\nZ BCSI ( ω ) = 1 + Γ\n\n� ∆ 2 − ( ω + iδ ) 2 (11)\n\nand\n\nΣ BCSI ( ω ) = ω ( Z ( ω ) − 1) = i Γ ω\n\n� ( ω + iδ ) 2 − ∆ 2 (12)\n\nThis is consistent with having in the NS, Σ = i Γ in accor-\n\ndance with Eq 6. In the SCS, Σ( ω ) is purely imaginary\n\nfor ω > ∆and purely real for ω < ∆. The self-energy\n\nhas a square-root singularity at ω = ∆.\n\nIt is worth noting that Eq.12 is derived from the in-\n\ntegration over infinite band. If one uses Eq.6 for finite\n\nband, Eq.12 acquires an additional frequency dependence\n\nat large frequencies of the order of bandwidth (the low\n\nfrequency structure still remains the same as in Eq.12).\n\nIn principle, in a fully self-consistent analysis, one should\n\nindeed evaluate the self-energy using a finite bandwidth.\n\nIn practice, however, the self-energy at frequencies of or-\n\nder bandwidth is generally much smaller than ω and con-\n\ntribute very little to optical conductivity which predom-\n\ninantly comes from frequencies where the self-energy is\n\ncomparable or even larger than ω . Keeping this in mind,\n\nbelow we will continue with the form of self-energy de-\n\nrived form infinite band. We use the same argument for\n\nall four models for the self-energy.\n\nFor completeness, we first present some well known\n\nresults about the conductivity and optical integral for a\n\nconstant DOS and then extend the discussion to the case\n\nwhere the same calculations are done in the presence of\n\na particular lattice dispersion.\n\n0.1 0.2 0.3 0.4\n\n−4\n\n−2\n\n0\n\nω in eV\n\nW SC −W NS\n\n∆ W (BCSI without lattice)\n\nΓ =70 meV\n\nΓ =50 meV\n\nΓ =3.5 meV\n\nFIG. 3: The BCSI case with a dispersion linearized around the\n\nFermi surface. Evolution of the difference of optical integrals\n\nin the SCS and the NS with the upper cut-off ω c Observe\n\nthat the zero crossing point increases with impurity scattering\n\nrate Γ and also the ‘dip’ spreads out with increasing Γ. ∆=\n\n30 meV\n\nFor a constant DOS, ∆ W ( ω c ) = W SC ( ω c ) − W NS ( ω c )\n\nis zero at ω c = ∞ and Kubo sum rule reduces to FGT\n\nsum rule. In Fig. 3 we plot for this case ∆ W ( ω c ) as a\n\nfunction of the cutoff ω c for different Γ ′ s . The plot shows\n\nthe two well known features: zero-crossing point is below\n\n2∆in the clean limit Γ << ∆and is roughly 2Γ in the dirty limit 21,40 The magnitude of the ‘dip’ decreases quite\n\nrapidly with increasing Γ. Still, there is always a point\n\nof zero crossing and ∆ W ( ω c ) at large ω c approaches zero\n\nfrom below.\n\nWe now perform the same calculations in the presence\n\nof lattice dispersion. The results are summarized in Figs\n\n4,5, and 6.\n\nFig 4 shows conductivities σ ( ω ) in the NS and the SCS\n\nand Kubo sums W K plotted against impurity scattering\n\nΓ. We see that the optical integral in the NS is always\n\ngreater than in the SCS. The negative sign of ∆ W K is\n\nsimply the consequence of the fact that n k is larger in the\n\nNS for ǫ k < 0 and smaller for ǫ k < 0, and ∇ 2 ε ⃗k closely follows − ε ⃗k for our choice of dispersion 38 ), Hence n k is\n\nlarger in the NS for ∇ 2 ε ⃗k > 0 and smaller for ∇ 2 ε ⃗k < 0 and the Kubo sum rule, which is the integral of the\n\nproduct of n k and ∇ 2 ε ⃗k (Eq. 3), is larger in the normal state.\n\nWe also see from Fig. 4 that ∆ W K decreases with Γ\n\nreflecting the fact that with too much impurity scattering\n\nthere is little difference in n k between NS and SCS.\n\nFig 5 shows the optical sum in NS and SCS in clean\n\nand dirty limits (the parameters are stated in the fig-\n\nure). This plot shows that the Kubo sums are almost\n\ncompletely recovered by integrating up to the bandwidth\n\nof 1 eV : the recovery is 95% in the clean limit and ∼ 90%\n\nin the dirty limit. In Fig 6 we plot ∆ W ( ω c ) as a function\n\nof ω c in clean and dirty limits. ∆ W ( ∞ ) is now non-zero,\n\nin agreement with Fig. 4 and we also see that there is",
- "page_start": 4,
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- "text": "[134. Blackmore, Susan (2014). \"The Neural Correlates of Consciousness\" (https://www.edge.org/](https://www.edge.org/response-detail/25457)\n\n[response-detail/25457). ](https://www.edge.org/response-detail/25457) *Edge.org* . Retrieved 22 April 2018.\n\n[135. Krohn, Stephan; Ostwald, Dirk (2017). \"Computing integrated information\" (https://www.ncbi.](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6007153)\n\n[nlm.nih.gov/pmc/articles/PMC6007153). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6007153) *Neuroscience of Consciousness* . **2017** (1): nix017.\n\n[doi:10.1093/nc/nix017 (https://doi.org/10.1093%2Fnc%2Fnix017). PMC 6007153 (https://ww](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6007153)\n\n[w.ncbi.nlm.nih.gov/pmc/articles/PMC6007153). PMID 30042849 (https://pubmed.ncbi.nlm.ni](https://pubmed.ncbi.nlm.nih.gov/30042849)\n\n[h.gov/30042849).](https://pubmed.ncbi.nlm.nih.gov/30042849)\n\n[136. Cerullo, Michael A. (September 2015). Kording, Konrad P. (ed.). \"The Problem with Phi: A](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706)\n\n[Critique of Integrated Information Theory\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC45](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706)\n\n[74706). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706) *PLOS Computational Biology* . **11** [ (9): e1004286. Bibcode:2015PLSCB..11E4286C](https://ui.adsabs.harvard.edu/abs/2015PLSCB..11E4286C)\n\n[(https://ui.adsabs.harvard.edu/abs/2015PLSCB..11E4286C).](https://ui.adsabs.harvard.edu/abs/2015PLSCB..11E4286C)\n\n[doi:10.1371/journal.pcbi.1004286 (https://doi.org/10.1371%2Fjournal.pcbi.1004286).](https://doi.org/10.1371%2Fjournal.pcbi.1004286)\n\n[PMC 4574706 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706). PMID 26378789](https://pubmed.ncbi.nlm.nih.gov/26378789)\n\n[(https://pubmed.ncbi.nlm.nih.gov/26378789).](https://pubmed.ncbi.nlm.nih.gov/26378789)\n\n[137. Mørch, Hedda Hassel (2017). \"The Integrated Information Theory of Consciousness\" (http](https://philosophynow.org/issues/121/The_Integrated_Information_Theory_of_Consciousness)\n\n[s://philosophynow.org/issues/121/The_Integrated_Information_Theory_of_Consciousness).](https://philosophynow.org/issues/121/The_Integrated_Information_Theory_of_Consciousness)\n\n*Philosophy Now* . Retrieved 22 April 2018.\n\n[138. Oizumi, Masafumi; Albantakis, Larissa; Tononi, Giulio (May 2014). \"From the](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402)\n\n[Phenomenology to the Mechanisms of Consciousness: Integrated Information Theory 3.0\"](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402)\n\n[(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402) *PLOS Computational Biology* . **10**\n\n[(5): e1003588. Bibcode:2014PLSCB..10E3588O (https://ui.adsabs.harvard.edu/abs/2014PL](https://ui.adsabs.harvard.edu/abs/2014PLSCB..10E3588O)\n\n[SCB..10E3588O). doi:10.1371/journal.pcbi.1003588 (https://doi.org/10.1371%2Fjournal.pcb](https://doi.org/10.1371%2Fjournal.pcbi.1003588)\n\n[i.1003588). PMC 4014402 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402).](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402)\n\n[PMID 24811198 (https://pubmed.ncbi.nlm.nih.gov/24811198).](https://pubmed.ncbi.nlm.nih.gov/24811198)\n\n[139. Mindt, Garrett (2017). \"The Problem with the 'Information' in Integrated Information Theory\"](http://newdualism.org/papers/G.Mindt/Mindt-JCS2017.pdf)\n\n[(http://newdualism.org/papers/G.Mindt/Mindt-JCS2017.pdf) (PDF). ](http://newdualism.org/papers/G.Mindt/Mindt-JCS2017.pdf) *Journal of*\n\n*Consciousness Studies* . **24** (7- 8): 130- 154. Retrieved 22 February 2022.\n\n140. Baars, Bernard J. (2005). \"Global workspace theory of consciousness: Toward a cognitive\n\nneuroscience of human experience\". *The Boundaries of Consciousness: Neurobiology and*\n\n*Neuropathology* . Progress in Brain Research. Vol. 150. pp. 45- 53.\n\n[CiteSeerX 10.1.1.456.2829 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.456.](https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.456.2829)\n\n[2829). doi:10.1016/S0079-6123(05)50004-9 (https://doi.org/10.1016%2FS0079-6123%280](https://doi.org/10.1016%2FS0079-6123%2805%2950004-9)\n\n[5%2950004-9). ISBN 9780444518514. PMID 16186014 (https://pubmed.ncbi.nlm.nih.gov/1](https://pubmed.ncbi.nlm.nih.gov/16186014)\n\n[6186014).](https://pubmed.ncbi.nlm.nih.gov/16186014)\n\n[141. Dehaene, Stanislas; Naccache, Lionel (2001). \"Towards a cognitive neuroscience of](http://zoo.cs.yale.edu/classes/cs671/12f/12f-papers/dehaene-consciousness.pdf)\n\n[consciousness: basic evidence and a workspace framework\" (http://zoo.cs.yale.edu/classes/](http://zoo.cs.yale.edu/classes/cs671/12f/12f-papers/dehaene-consciousness.pdf)\n\n[cs671/12f/12f-papers/dehaene-consciousness.pdf) (PDF). ](http://zoo.cs.yale.edu/classes/cs671/12f/12f-papers/dehaene-consciousness.pdf) *Cognition* . **79** (1- 2): 1- 37.\n\n[doi:10.1016/S0010-0277(00)00123-2 (https://doi.org/10.1016%2FS0010-0277%2800%2900](https://doi.org/10.1016%2FS0010-0277%2800%2900123-2)\n\n[123-2). PMID 11164022 (https://pubmed.ncbi.nlm.nih.gov/11164022). S2CID 1762431 (http](https://api.semanticscholar.org/CorpusID:1762431)\n\n[s://api.semanticscholar.org/CorpusID:1762431). Retrieved 5 April 2019.](https://api.semanticscholar.org/CorpusID:1762431)\n\n142. Dalton, J. W. (1997). \"The unfinished theatre\". *Journal of Consciousness Studies* . **4** (4):\n\n316- 318.\n\n143. Elitzur, Avshalom C. (1997). \"Why don't we know what Mary knows? Baars' reversing the\n\nproblem of qualia\". *Journal of Consciousness Studies* . **4** (4): 319- 324.\n\n144. *[The Meta-Problem of Consciousness | Professor David Chalmers | Talks at Google](https://www.youtube.com/watch?v=OsYUWtLQBS0)* (https://\n\n[www.youtube.com/watch?v=OsYUWtLQBS0), 2 April 2019, retrieved 2022-01-11](https://www.youtube.com/watch?v=OsYUWtLQBS0)\n\n145. Stoppard, Tom (28 January 2015). \"First Person\". *Programme notes* [. London: Royal](https://en.wikipedia.org/wiki/Royal_National_Theatre)\n\n[National Theatre.](https://en.wikipedia.org/wiki/Royal_National_Theatre)\n\n### **External links**",
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- "source_file": "wikipedia2.pdf"
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- "source_file": "1001.0764.pdf",
- "query": "What is the Ferrel-Glover-Tinkham sum rule?",
- "target_page": 1,
- "target_passage": "the redistribution of the spectral weight between normal and superconducting state",
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- "text": "[arXiv:1001.0764v2 [cond-mat.str-el] 13 Jan 2010](http://arxiv.org/abs/1001.0764v2)\n\n## Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in\n\nthe cuprates. We compute conductivities, optical integrals W , and ∆ W between superconducting\n\nand normal states for 2-D systems with lattice dispersion typical of the cuprates for four different\n\nmodels - a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a\n\ncollective boson model with a feedback from superconductivity on a collective boson. The goal of\n\nthe paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ω c ) placed on\n\nthe optical integral because in experiments W is measured up to frequencies of order bandwidth.\n\nFor a BCS model, the Kubo sum rule is almost fully reproduced at ω c equal to the bandwidth. But\n\nfor other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for\n\n∆ W , implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign\n\nof ∆ W . In all models we studied ∆ W is positive at small ω c , then crosses zero and approaches a\n\nnegative value at large ω c , i.e. the optical integral in a superconductor is smaller than in a normal\n\nstate. The point of zero crossing, however, increases with the interaction strength and in a collective\n\nboson model becomes comparable to the bandwidth at strong coupling. We argue that this model\n\nexhibits the behavior consistent with that in the cuprates.\n\nI. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper 1 in 1957, used\n\na general formalism of a statistical theory of irreversible\n\nprocesses to investigate the behavior of the conductivity\n\nin electronic systems. For a system of interacting elec-\n\ntrons, he derived the expression for the integral of the real\n\npart of a (complex) electric conductivity σ (Ω) and found\n\nthat it is independent on the nature of the interactions\n\nand reduces to\n\n� ∞\n\n0\n\nRe σ (Ω) d Ω= π 2\n\nne 2\n\nm (1)\n\nHere n is the density of the electrons in the system and\n\nm is the bare mass of the electron. This expression is\n\nexact provided that the integration extends truly up to\n\ninfinity, and its derivation uses the obvious fact that at\n\nenergies higher than the total bandwidth of a solid, elec-\n\ntrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temper-\n\nature and the state of a solid (e.g., a normal or a super-\n\nconducting state - henceforth referred to as NS and SCS\n\nrespectively) implies that, while the functional form of\n\nσ (Ω) changes with, e.g., temperature, the total spectral\n\nweight is conserved and only gets redistributed between\n\ndifferent frequencies as temperature changes. This con-\n\nservation of the total weight of σ (Ω) is generally called a\n\nsum rule.\n\nOne particular case, studied in detail for conventional\n\nsuperconductors, is the redistribution of the spectral\n\nweight between normal and superconducting states. This\n\nis known as Ferrel-Glover-Tinkham (FGT) sum rule: 2,3\n\n� ∞\n\n0+\n\nRe σ NS (Ω) = � ∞\n\n0+\n\nRe σ sc (Ω) + πn s e 2 2 m (2)\n\nwhere n s is the superfluid density, and πn s e 2 / (2 m ) is\n\nthe spectral weight under the δ -functional piece of the\n\nconductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency\n\nis hardly possible, and more relevant issue for practical\n\napplications is whether a sum rule is satisfied, at least ap-\n\nproximately, for a situation when there is a single electron\n\nband which crosses the Fermi level and is well separated\n\nfrom other bands. Kubo considered this case in the same\n\npaper of 1957 and derived the expression for the “band”,\n\nor Kubo sum rule\n\n� ‘ ∞ ′\n\n0\n\nRe σ (Ω) d Ω= W K = πe 2 2 N � ⃗k\n\n∇ 2 ⃗ k x ε ⃗k n ⃗k (3)\n\nwhere n ⃗k is the electronic distribution function and ε ⃗k is the band dispersion. Prime in the upper limit of the inte-\n\ngration has the practical implication that the upper limit\n\nis much larger than the bandwidth of a given band which\n\ncrosses the Fermi level, but smaller than the frequencies\n\nof interband transitions. Interactions with external ob-\n\njects, e.g., phonons or impurities, and interactions be-\n\ntween fermions are indirectly present in the distribution\n\nfunction which is expressed via the full fermionic Green’s\n\nfunction as n ⃗k = T � m G ( ⃗k, ω m ). For ǫ k = k 2 / 2 m ,\n\n∇ 2 ⃗ k x ε ⃗k = 1 /m , W K = πne 2 / (2 m ), and Kubo sum rule\n\nreduces to Eq. (1). In general, however, ε ⃗k is a lattice dispersion, and Eqs. (1) and (3) are different. Most im-\n\nportant, W K in Eq. (3) generally depends on T and on\n\nthe state of the system because of n ⃗k . In this situation,\n\nthe temperature evolution of the optical integral does not\n\nreduce to a simple redistribution of the spectral weight\n\n- the whole spectral weight inside the conduction band\n\nchanges with T . This issue was first studied in detail by Hirsch 4 who introduced the now-frequently-used nota-\n\ntion “violation of the conductivity sum rule”.\n\nIn reality, as already pointed out by Hirsch, there is no\n\ntrue violation as the change of the total spectral weight",
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- "text": ",. n\n\n,:,j ,-g # I",
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- "text": "in a given band is compensated by an appropriate change\n\nof the spectral weight in other bands such that the total\n\nspectral weight, integrated over all bands, is conserved,\n\nas in Eq. (1). Still, non-conservation of the spectral\n\nweight within a given band is an interesting phenomenon\n\nas the degree of non-conservation is an indicator of rele-\n\nvant energy scales in the problem. Indeed, when relevant\n\nenergy scales are much smaller than the Fermi energy,\n\ni.e., changes in the conductivity are confined to a near\n\nvicinity of a Fermi surface (FS), one can expand ε k near\n\nk F as ε k = v F ( k − k F ) + ( k − k F ) 2 / (2 m B ) + O ( k − k F ) 3 and obtain ∇ 2 ⃗ k x ε ⃗k ≈ 1 /m B [this approximation is equiv-\n\nalent to approximating the density of states (DOS) by a\n\nconstant]. Then W K becomes πne 2 / (2 m B ) which does\n\nnot depend on temperature. The scale of the tempera-\n\nture dependence of W K is then an indicator how far in\n\nenergy the changes in conductivity extend when, e.g., a\n\nsystem evolves from a normal metal to a superconductor.\n\nBecause relevant energy scales increase with the interac-\n\ntion strength, the temperature dependence of W K is also\n\nan indirect indicator of whether a system is in a weak,\n\nintermediate, or strong coupling regime.\n\nIn a conventional BCS superconductor the only rele-\n\nvant scales are the superconducting gap ∆and the impu-\n\nrity scattering rate Γ. Both are generally much smaller\n\nthan the Fermi energy, so the optical integral should be\n\nalmost T -independent, i.e., the spectral weight lost in a\n\nsuperconducting state at low frequencies because of gap\n\nopening is completely recovered by the zero-frequency δ -\n\nfunction. In a clean limit, the weight which goes into\n\na δ − function is recovered within frequencies up to 4∆.\n\nThis is the essence of FGT sum rule 2,3 . In a dirty limit,\n\nthis scale is larger, O (Γ), but still W K is T -independent\n\nand there was no “violation of sum rule”.\n\nThe issue of sum rule attracted substantial interest in\n\nthe studies of high T c cuprates 5- 18,21- 26 in which pairing\n\nis without doubts a strong coupling phenomenon. From a\n\ntheoretical perspective, the interest in this issue was orig-\n\ninally triggered by a similarity between W K and the ki-\n\nnetic energy K = 2 � ε ⃗k n ⃗k . 18- 20 For a model with a sim-\n\nple tight binding cosine dispersion ε k ∝ (cos k x + cos k y ), d 2 ε ⃗k d k 2 x ∼ − ε ⃗ k and W K = − K . For a more complex dis-\n\npersion there is no exact relation between W K and K , but several groups argued 17,27,28 that W K can still be\n\nregarded as a good monitor for the changes in the kinetic\n\nenergy. Now, in a BCS superconductor, kinetic energy\n\nincreases below T c because n k extends to higher frequen-\n\ncies (see Fig.2). At strong coupling, K not necessary\n\nincreases because of opposite trend associated with the\n\nfermionic self-energy: fermions are more mobile in the\n\nSCS due to less space for scattering at low energies than\n\nthey are in the NS. Model calculations show that above\n\nsome coupling strength, the kinetic energy decreases be-\n\nlow T c 29 . While, as we said, there is no one-to-one cor-\n\nrespondence between K and W K , it is still likely that,\n\nwhen K decreases, W K increases.\n\nA good amount of experimental effort has been put into\n\naddressing the issue of the optical sum rule in the c − axis 7 and in-plane conductivities 8- 16 in overdoped, optimally\n\ndoped, and underdoped cuprates. The experimental re-\n\nsults demonstrated, above all, outstanding achievements\n\nof experimental abilities as these groups managed to de-\n\ntect the value of the optical integral with the accuracy\n\nof a fraction of a percent. The analysis of the change\n\nof the optical integral between normal and SCS is even\n\nmore complex because one has to (i) extend NS data to\n\nT < T c and (ii) measure superfluid density with the same\n\naccuracy as the optical integral itself.\n\nThe analysis of the optical integral showed that in over-\n\ndoped cuprates it definitely decreases below T c , in con-\n\nsistency with the expectations at weak coupling 11 . For\n\nunderdoped cuprates, all experimental groups agree that\n\na relative change of the optical integral below T c gets\n\nmuch smaller. There is no agreement yet about the sign of the change of the optical integral : Molegraaf et al. 8 and Santander-Syro et al. 9 argued that the optical inte-\n\ngral increases below T c , while Boris et al. 10 argued that\n\nit decreases. Theoretical analysis of these results 21,22,25,28,30 added\n\none more degree of complexity to the issue. It is tempt-\n\ning to analyze the temperature dependence of W K and\n\nrelate it to the observed behavior of the optical integral, and some earlier works 25,28,30 followed this route. In the\n\nexperiments, however, optical conductivity is integrated\n\nonly up to a certain frequency ω c , and the quantity which\n\nis actually measured is\n\nW ( ω c ) = � ω c\n\n0\n\nRe σ (Ω) d Ω= W K + f ( ω c )\n\nf ( ω c ) = − � ′ ∞ ′\n\nω c\n\nRe σ (Ω) d Ω (4)\n\nThe Kubo formula, Eq. (3) is obtained assuming that\n\nthe second part is negligible. This is not guaranteed,\n\nhowever, as typical ω c ∼ 1 − 2 eV are comparable to the\n\nbandwidth.\n\nThe differential sum rule ∆ W is also a sum of two\n\nterms\n\n∆ W ( ω c ) = ∆ W K + ∆ f ( ω c ) (5)\n\nwhere ∆ W K is the variation of the r.h.s. of Eq. 3,\n\nand ∆ f ( ω c ) is the variation of the cutoff term. Because\n\nconductivity changes with T at all frequencies, ∆ f ( ω c )\n\nalso varies with temperature. It then becomes the issue\n\nwhether the experimentally observed ∆ W ( ω c ) is predom-\n\ninantly due to “intrinsic” ∆ W K , or to ∆ f ( ω c ). [A third\n\npossibility is non-applicability of the Kubo formula be-\n\ncause of the close proximity of other bands, but we will\n\nnot dwell on this.] For the NS, previous works 21,22 on particular models\n\nfor the cuprates indicated that the origin of the temper-\n\nature dependence of W ( ω c ) is likely the T dependence\n\nof the cutoff term f ( ω c ). Specifically, Norman et. al. 22\n\napproximated a fermionic DOS by a constant (in which",
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- "text": "Figure 7.26. Airflow Separation (sheet 2 of 2)",
- "page_start": 75,
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- "text": "8 of 33\n\ndivergence between the approximate posterior *q* ( *s* ) and the exact posterior, which is also\n\nsometimes called the perceptual divergence:\n\n*D* KL [ *q* ( *s* ) *∥* *p* ( *s* *|* *o* )] = ∑ *s* *q* ( *s* ) ln *q* ( *s* ) *p* ( *s* *|* *o* ) (2)\n\nIt is a property of the KL divergence that the two distributions are identical when\n\n*D* KL [ *q* ( *s* ) *∥* *p* ( *s* *|* *o* )] = 0. Minimising this divergence then corresponds to approximating the exact posterior *p* ( *s* *|* *o* ) with *q* ( *s* ) . We cannot evaluate this divergence directly since the exact posterior is still unknown. We therefore replace the expression of the exact posterior\n\nwith the right-hand side of Equation ( 1 ). Note that here we use the joint likelihood *p* ( *o* , *s* )\n\nnotation, fraction rule *a* *b* *c* = *a* *b* *∗* *c* and logarithmic rule ln ( *a* *∗* *b* ) = ln *a* + ln *b* :\n\n∑ *s* *q* ( *s* ) ln *q* ( *s* ) *p* ( *o* , *s* )\n\n*p* ( *o* )\n\n= ∑ *s* *q* ( *s* ) ln *q* ( *s* ) *p* ( *o* , *s* ) + ln *p* ( *o* ) (3)\n\nWe can now rewrite the first term of the right-hand side as the KL divergence of the\n\napproximate posterior from the joint likelihood, which is equal to the expression used in\n\nEquation ( 2 ):\n\n*D* KL [ *q* ( *s* ) *∥* *p* ( *s* *|* *o* )] = *D* KL [ *q* ( *s* ) *∥* *p* ( *o* , *s* )] + ln *p* ( *o* ) (4)\n\nWe now define the *VFE* ( *F* [ *q* ( *s* ) , *o* ]) as the KL divergence of the approximate posterior from the joint likelihood. The VFE is only a function of *q* ( *s* ) and *o* (and the generative model *m* ),\n\nand we can therefore calculate it without knowing the model evidence *p* ( *o* ) :\n\n*F* ≜ *D* KL [ *q* ( *s* ) *∥* *p* ( *o* , *s* )] = ∑ *s* *q* ( *s* ) ln *q* ( *s* ) *p* ( *o* , *s* ) (5)\n\nThe probability-weighted sum can be rewritten as an expectation, and the joint likelihood\n\ncan be decomposed into a prior and a likelihood:\n\n*F* ≜ E *q* ( *s* ) � ln *q* ( *s* ) *p* ( *o* , *s* ) � = E *q* ( *s* ) [ ln *q* ( *s* ) *−* ln *p* ( *o* *|* *s* ) *−* ln *p* ( *s* )] (6)\n\nWe can now combine our definition of *VFE* with Equation ( 4 ):\n\n*D* KL [ *q* ( *s* ) *∥* *p* ( *s* *|* *o* )] = *F* [ *q* ( *s* ) , *o* ] + ln *p* ( *o* ) (7)\n\nFinally, we can reorganise this equation to show that the VFE is the sum of the divergence of\n\nthe approximation posterior and exact posterior (if we could perform exact inference, this is\n\nwhat we would obtain) and the surprise *ℑ* = *−* ln ( *p* ( *o* )) (the negative log model evidence):\n\n*F* [ *q* ( *s* ) , *o* ] = *D* KL [ *q* ( *s* ) *∥* *p* ( *s* *|* *o* )] � �� � Divergence *−* ln *p* ( *o* ) � �� � Surprise\n\n(8)\n\nSince the KL divergence is non-negative, the *VFE* becomes an upper bound on the surprise:\n\n*F* [ *q* ( *s* ) , *o* ] *≥−* ln *p* ( *o* ) (9)\n\nBy rearranging the parts of this expression, we can express the *VFE* as a balance between\n\nthe complexity and accuracy, where the accuracy is how well the model predicts observa-\n\ntion, and the complexity is how much the beliefs need to change in order to maintain a\n\nhigh accuracy:",
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- "text": "Compare the following examples:\n\nExample A\n\nExample B",
- "page_start": 34,
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- "source_file": "basic-english-language-skills.PDF"
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- "text": "**63**\n\n**Statement of Comprehensive Income . . . . . . . . . . 64**\n\n**Statement of Financial Position . . . . . . . . . . . . . 65**\n\n**Statement of Changes in Equity . . . . . . . . . . . . . 66**\n\n**Statement of Cash Flows . . . . . . . . . . . . . . . 67**\n\n**Notes to the Financial Statements . . . . . . . . . . . . 68**\n\n1. Basis of Preparation . . . . . . . . . . . . . . 68\n\n2. Significant accounting policies . . . . . . . . . . . 68\n\na Principles of consolidation . . . . . . . . . . 68\n\nb Foreign currency translation . . . . . . . . . . 69\n\nc Revenue . . . . . . . . . . . . . . . . . 69\n\nd Income tax . . . . . . . . . . . . . . . . 69\n\ne Leases . . . . . . . . . . . . . . . . . . 70\n\nf Impairment of assets . . . . . . . . . . . . . 70\n\ng Cash and cash equivalents . . . . . . . . . . . 70\n\nh Trade and other receivables . . . . . . . . . . 70\n\ni Inventories . . . . . . . . . . . . . . . . 70\n\nj Non-derivative financial assets . . . . . . . . . 70\n\nk Derivative financial instruments . . . . . . . . . 71\n\nl Property, plant and equipment . . . . . . . . . 71\n\nm Deferred stripping costs . . . . . . . . . . . 72\n\nn Deferred mining services costs . . . . . . . . . 72\n\no Exploration, evaluation and feasibility expenditure . . 72\n\np Mine properties . . . . . . . . . . . . . . . 72\n\nq Investment in associates . . . . . . . . . . . 72\n\nr Trade and other payables . . . . . . . . . . . 73\n\ns Borrowings . . . . . . . . . . . . . . . . 73\n\nt Borrowing costs . . . . . . . . . . . . . . 73\n\nu Provisions . . . . . . . . . . . . . . . . . 73\n\nv Restoration and rehabilitation provision . . . . . . 73\n\nw Employee benefits . . . . . . . . . . . . . . 73\n\nx Dividends . . . . . . . . . . . . . . . . . 74\n\ny Earnings per share . . . . . . . . . . . . . . 74\n\nz. Contributed equity . . . . . . . . . . . . . 74\n\naa Goods and Services Tax (GST) . . . . . . . . . . 74\n\nbb Operating segment reporting . . . . . . . . . . 74\n\ncc New accounting standards and interpretations . . . 74\n\ndd Parent entity financial information . . . . . . . . 75\n\n3. Critical accounting estimates,\n\nassumptions and judgements . . . . . . . . . . . 75\n\n4. Segment information . . . . . . . . . . . . . . 76\n\n5. Revenue and expenses . . . . . . . . . . . . . . 78\n\n6. Income tax . . . . . . . . . . . . . . . . . . 80\n\n7. Cash and cash equivalents and restricted cash . . . . . 84\n\n8. Receivables . . . . . . . . . . . . . . . . . . 84\n\n9. Inventories . . . . . . . . . . . . . . . . . . 85\n\n10. Other assets . . . . . . . . . . . . . . . . . 85\n\n11. Available-for-sale financial assets . . . . . . . . . . 86\n\n12. Property plant and equipment . . . . . . . . . . . 86\n\n13. Exploration, evaluation and development . . . . . . . 87\n\n14. Investment in associate . . . . . . . . . . . . . 88\n\n15. Payables . . . . . . . . . . . . . . . . . . . 88\n\n16. Borrowings . . . . . . . . . . . . . . . . . . 89\n\n17. Provisions . . . . . . . . . . . . . . . . . . 91\n\n18. Contributed equity . . . . . . . . . . . . . . . 91\n\n19. Reserves and accumulated losses . . . . . . . . . . 92\n\n20. Commitments for expenditure . . . . . . . . . . . 93\n\n21. Controlled entities . . . . . . . . . . . . . . . 94\n\n22. Dividends . . . . . . . . . . . . . . . . . . 95\n\n23. Related parties . . . . . . . . . . . . . . . . 95\n\n24. Employee benefits and share-based payments . . . . . 95\n\n25. Reconciliation of profit after income tax\n\nto net cash flow from operating activities . . . . . . . 98\n\n26. Events occurring after reporting date . . . . . . . . 98\n\n27. Contingent liabilities . . . . . . . . . . . . . . 99\n\n28. Financial risk management and instruments . . . . . . 99\n\n29. Key management personnel disclosures . . . . . . . . 104\n\n30. Auditors remuneration . . . . . . . . . . . . . . 108\n\n31. Earnings per share . . . . . . . . . . . . . . . 109\n\n32. Parent entity financial information . . . . . . . . . 109\n\n33. Sale of exploration assets . . . . . . . . . . . . . 110\n\n**Financial Statements**\n\nfor the year ended 30 June 2013 Financial Statements\n\nFinancial Statements",
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- "text": "## FINANCIAL SECTION\n\nFINANCIAL SECTION",
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- "text": "* **Figure 46. Completeness screen - Example** *",
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- "text": "‘ :\n\n-.-\n\n* ,-. . :,,.\n\n_,: .-,A*",
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- "query": "What does Kitaev show about spin- 1/2 model?",
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- "target_passage": "spin- 1/2 model can be mapped to a model with one Majo- rana fermion per site coupled to Ising gauge fields on the links",
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- "text": "y x z z z\n\nz z z z\n\nz z\n\ny y\n\ny\n\nx\n\nx x\n\nx x x\n\ny y y\n\ny\n\nx\n\ny\n\nx\n\nz\n\nz\n\ny y\n\nx x x\n\ny\n\nz x\n\nx\n\nFIG. 1: The honeycomb lattice for the Kitaev model. Filled\n\nand open circles indicate two sublattices. x, y, z label the links\n\nalong three different directions used in (1).\n\nderived as well. There have been several proposals to\n\nopen the fermion gap for the non-Abelian phase without\n\nspoiling exact solvability 4,6 . And many generalizations\n\nto other(even 3D) lattices have been developed in the\n\nlast few years 10- 16 . All these efforts have significantly\n\nenriched our knowledge of exactly solvable models and\n\nquantum phases of matter.\n\nHowever, in the original Kitaev model and its later\n\ngeneralizations in the form of spin models, spin rotation\n\nsymmetry is explicitly broken. This makes them harder\n\nto realize in solid state systems. There are many pro-\n\nposals to realized the Kitaev model in more controllable\n\nsituations, e.g. in cold atom optical lattices 17,18 , or in\n\nsuperconducting circuits 19 . But it is still desirable for\n\ntheoretical curiosity and practical purposes to realize the\n\nKitaev-type models in spin rotation invariant systems.\n\nIn this paper we realize the Kitaev honeycomb lattice\n\nmodel as the low energy Hamiltonian for a spin rotation\n\ninvariant system. The trick is not to use the physical spin\n\nas the spin in the Kitaev model, instead the spin-1/2 in\n\nKitaev model is from some emergent two-fold degener-\n\nate low energy states in the elementary unit of physical\n\nsystem. This type of idea has been explored recently by\n\nJackeli and Khaliullin 20 , in which the spin-1/2 in the Ki-\n\ntaev model is the low energy Kramers doublet created by\n\nstrong spin-orbit coupling of t 2 g orbitals. In the model\n\npresented below, the Hilbert space of spin-1/2 in the Ki-\n\ntaev model is actually the two dimensional spin singlet\n\nsector of four antiferromagnetically coupled spin-1/2 mo-\n\nments, and the role of spin-1/2 operators(Pauli matrices)\n\nin the Kitaev model is replaced by certain combinations\n\nof S j · S k [or the spin-chirality S j · ( S k × S ℓ )] between the\n\nfour spins.\n\nOne major drawback of the model to be presented is\n\nthat it contains high order spin interactions(involves up\n\nto six or eight spins), thus is still unnatural. However it\n\nopens the possibility to realize exotic (exactly solvable)\n\nmodels from spin-1/2 Hamiltonian with spin rotation in-\n\nvariant interactions. We will discuss two possible routes\n\nto reduce this artificialness through controlled perturba-\n\ntive expansions, by coupling to optical phonons or by\n\nmagnetic couplings between the elementary units.\n\nThe outline of this paper is as follows. In Section II\n\nwe will lay out the pseudo-spin-1/2 construction. In Sec-\n\n4\n\n2 3\n\n1\n\n*z* *z*\n\n*x*\n\n*x*\n\n*y*\n\n*y*\n\n2 3\n\n4\n\n1\n\nFIG. 2: Left: the physical spin lattice for the model (8). The\n\ndash circles are honeycomb lattice sites, each of which is ac-\n\ntually a cluster of four physical spins. The dash straight lines\n\nare honeycomb lattice bonds, with their type x, y, z labeled.\n\nThe interaction between clusters connected by x, y, z bonds\n\nare the J x,y,z terms in (8) or (9) respectively. Note this is not the 3-12 lattice used in Ref. 9,10 . Right: enlarged picture of\n\nthe clusters with the four physical spins labeled as 1 , . . . , 4.\n\nThick solid bonds within one cluster have large antiferromag-\n\nnetic Heisenberg coupling J cluster .\n\ntion III the Kitaev model will be explicitly constructed\n\nusing this formalism, and some properties of this con-\n\nstruction will be discussed. In Section IV we will discuss\n\ntwo possible ways to generate the high order spin in-\n\nteractions involved in the construction of Section III by\n\nperturbative expansions. Conclusions and outlook will\n\nbe summarized in Section V.\n\nII. FORMULATION OF THE PSEUDO-SPIN-1/2\n\nFROM FOUR-SPIN CLUSTER.\n\nIn this Section we will construct the pseudo-spin-1/2\n\nfrom a cluster of four physical spins, and map the phys-\n\nical spin operators to pseudo-spin operators. The map-\n\nping constructed here will be used in later Sections to\n\nconstruct the effective Kitaev model. In this Section we\n\nwill work entirely within the four-spin cluster, all unspec-\n\nified physical spin subscripts take values 1 , . . . , 4.\n\nConsider a cluster of four spin-1/2 moments(called\n\nphysical spins hereafter), labeled by S 1 ,..., 4 , antiferro-\n\nmagnetically coupled to each other (see the right bot-\n\ntom part of FIG. 2). The Hamiltonian within the clus-\n\nter(up to a constant) is simply the Heisenberg antiferro-\n\nmagnetic(AFM) interactions,\n\nH cluster = ( J cluster / 2) ( S 1 + S 2 + S 3 + S 4 ) 2 (2)\n\nThe energy levels should be apparent from this form:\n\none group of spin-2 quintets with energy 3 J cluster , three\n\ngroups of spin-1 triplets with energy J cluster , and two spin\n\nsinglets with energy zero. We will consider large positive",
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- "text": "[arXiv:1001.0266v2 [cond-mat.str-el] 4 May 2010](http://arxiv.org/abs/1001.0266v2)\n\n## Realization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin\n\n## Rotation Invariant System\n\nFa Wang 1\n\n1 Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\n\nThe exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamil-\n\ntonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low\n\nenergy effective Hamiltonian is exact, without truncation errors in traditional perturbation series\n\nexpansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and\n\ncontains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model\n\nis represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet\n\nsector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin corre-\n\nlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this\n\nmodel. This exact construction is quite general and can be used to make other interesting spin-1/2\n\nmodels from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the\n\nhigh order spin interactions from more natural couplings, which involves perturbative expansions\n\nthus breaks the exact mapping, although in a controlled manner.\n\nPACS numbers: 75.10.Jm, 75.10.Kt\n\nContents\n\nI. Introduction. 1\n\nII. Formulation of the Pseudo-spin-1/2 from\n\nFour-spin Cluster. 2\n\nIII. Realization of the Kitaev Model. 3\n\nIV. Generate the High Order Physical Spin\n\nInteractions by Perturbative Expansion. 5\n\nA. Generate the High Order Terms by Coupling\n\nto Optical Phonon. 5\n\nB. Generate the High Order Terms by Magnetic\n\nInteractions between Clusters. 7\n\nV. Conclusions. 8\n\nAcknowledgments 8\n\nA. Coupling between Distortions of a\n\nTetrahedron and the Pseudo-spins 8\n\nB. Derivation of the Terms Generated by\n\nSecond Order Perturbation of Inter-cluster\n\nMagnetic Interactions 9\n\nReferences 10\n\nI. INTRODUCTION.\n\nKitaev’s exactly solvable spin-1/2 honeycomb lattice model 1 (noted as the Kitaev model hereafter) has in-\n\nspired great interest since its debut, due to its exact\n\nsolvability, fractionalized excitations, and the potential\n\nto realize non-Abelian anyons. The model simply reads\n\nH Kitaev = − � x − links \n\nJ x τ x j τ x k − � y − links \n\nJ y τ y j τ y k\n\n− � z − links \n\nJ z τ z j τ z k\n\n(1)\n\nwhere τ x,y,z are Pauli matrices, and x, y, z -links are de- fined in FIG. 1. It was shown by Kitaev 1 that this spin-\n\n1/2 model can be mapped to a model with one Majo-\n\nrana fermion per site coupled to Ising gauge fields on the\n\nlinks. And as the Ising gauge flux has no fluctuation, the\n\nmodel can be regarded as, under each gauge flux config-\n\nuration, a free Majorana fermion problem. The ground\n\nstate is achieved in the sector of zero gauge flux through\n\neach hexagon. The Majorana fermions in this sector have\n\nDirac-like gapless dispersion resembling that of graphene,\n\nas long as | J x | , | J y | , and | J z | satisfy the triangular rela- tion, sum of any two of them is greater than the third\n\none 1 . It was further proposed by Kitaev 1 that opening of\n\nfermion gap by magnetic field can give the Ising vortices\n\nnon-Abelian anyonic statistics, because the Ising vortex\n\nwill carry a zero-energy Majorana mode, although mag-\n\nnetic field destroys the exact solvability.\n\nGreat efforts have been invested to better understand\n\nthe properties of the Kitaev model. For example, sev-\n\neral groups have pointed out that the fractionalized Ma-\n\njorana fermion excitations may be understood from the\n\nmore familiar Jordan-Wigner transformation of 1D spin\n\nsystems 2,3 . The analogy between the non-Abelian Ising\n\nvortices and vortices in p + ip superconductors has been\n\nraised in serveral works 4- 7 . Exact diagonalization has\n\nbeen used to study the Kitaev model on small lattices 8 .\n\nAnd perturbative expansion methods have been devel-\n\noped to study the gapped phases of the Kitaev-type\n\nmodels 9 .\n\nMany generalizations of the Kitaev model have been",
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- "text": "Plug in the expressions (4) and (6) into (7), the Hamil- tonian reads explicitly as\n\nH = � j\n\n( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 − � z − links \n\nJ z (16 / 9)[ S j 2 · ( S j 3 × S j 4 )][ S k 2 · ( S k 3 × S k 4 )]\n\n− � x − links \n\nJ x (2 S j 1 · S j 2 + 1 / 2)(2 S k 1 · S k 2 + 1 / 2) − � y − links \n\nJ y (4 / 3)[ S j 1 · ( S j 3 − S j 4 )][ S k 1 · ( S k 3 − S k 4 )]\n\n(8)\n\nWhile by the represenation (4) and (5), the Hamilto- nian becomes\n\nH = � j\n\n( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2\n\n− � x − links \n\nJ x (2 S j 1 · S j 2 + 1 / 2)(2 S k 1 · S k 2 + 1 / 2) − � y − links \n\nJ y (4 / 3)[ S j 1 · ( S j 3 − S j 4 )][ S k 1 · ( S k 3 − S k 4 )]\n\n− � z − links \n\nJ z ( − 4 / 3)(2 S j 3 · S j 4 + 1 / 2)[ S j 1 · ( S j 3 − S j 4 )](2 S k 3 · S k 4 + 1 / 2)[ S k 1 · ( S k 3 − S k 4 )]\n\n(9)\n\nThis model, in terms of physical spins S , has full\n\nspin rotation symmetry and time-reversal symmetry. A\n\npseudo-magnetic field term � j ⃗h · ⃗τ j term can also be included under this mapping, however the resulting Ki-\n\ntaev model with magnetic field is not exactly solvable.\n\nIt is quite curious that such a formidably looking Hamil-\n\ntonian (8), with biquadratic and six-spin(or eight-spin)\n\nterms, has an exactly solvable low energy sector.\n\nWe emphasize that because the first intra-cluster term\n\n� cluster H cluster commutes with the latter Kitaev terms independent of the representation used, the Kitaev model is realized as the exact low energy Hamiltonian of this\n\nmodel without truncation errors of perturbation theories,\n\nnamely no ( | J x,y,z | /J cluster ) 2 or higher order terms will\n\nbe generated under the projection to low energy clus-\n\nter singlet space. This is unlike, for example, the t/U\n\nexpansion of the half-filled Hubbard model 22,23 , where\n\nat lowest t 2 /U order the effective Hamiltonian is the\n\nHeisenberg model, but higher order terms ( t 4 /U 3 etc.)\n\nshould in principle still be included in the low energy ef-\n\nfective Hamiltonian for any finite t/U . Similar compari-\n\nson can be made to the perturbative expansion studies of\n\nthe Kitaev-type models by Vidal et al. 9 , where the low\n\nenergy effective Hamiltonians were obtained in certian\n\nanisotropic (strong bond/triangle) limits. Although the\n\nspirit of this work, namely projection to low energy sec-\n\ntor, is the same as all previous perturbative approaches\n\nto effective Hamiltonians.\n\nNote that the original Kitaev model (1) has three-\n\nfold rotation symmetry around a honeycomb lattice site,\n\ncombined with a three-fold rotation in pseudo-spin space\n\n(cyclic permutation of τ x , τ y , τ z ). This is not apparent\n\nin our model (8) in terms of physical spins, under the\n\ncurrent representation of τ x,y,z . We can remedy this by using a different set of pseudo-spin Pauli matrices τ ′ x,y,z\n\nin (7),\n\nτ ′ x = � 1 / 3 τ z + � 2 / 3 τ x ,\n\nτ ′ y = � 1 / 3 τ z − � 1 / 6 τ x + � 1 / 2 τ y ,\n\nτ ′ z = � 1 / 3 τ z − � 1 / 6 τ x − � 1 / 2 τ y\n\nWith proper representation choice, they have a symmet-\n\nric form in terms of physical spins,\n\nτ ′ x = − (4 / 3) S 2 · ( S 3 × S 4 ) + � 2 / 3(2 S 1 · S 2 + 1 / 2)\n\nτ ′ y = − (4 / 3) S 3 · ( S 4 × S 2 ) + � 2 / 3(2 S 1 · S 3 + 1 / 2)\n\nτ ′ z = − (4 / 3) S 4 · ( S 2 × S 3 ) + � 2 / 3(2 S 1 · S 4 + 1 / 2)\n\n(10)\n\nSo the symmetry mentioned above can be realized by a\n\nthree-fold rotation of the honeycomb lattice, with a cyclic\n\npermutation of S 2 , S 3 and S 4 in each cluster. This is in\n\nfact the three-fold rotation symmetry of the physical spin\n\nlattice illustrated in FIG. 2. However this more symmet-\n\nric representation will not be used in later part of this\n\npaper.",
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- "text": "chirality interactions in cold atom optical lattices has\n\nbeen proposed 38 .\n\nOur model (8) is achieved at second order of the per-\n\nturbation series. Higher order terms become trunca-\n\ntion errors but may be controlled by small parameters\n\nλ x,y,z /J cluster ∼ � | J x,y,z | /J cluster .\n\nV. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model 1 as the exact low energy effective Hamiltonian of\n\na spin-1/2 model [equations (8) or (9)] with spin-rotation\n\nand time reversal symmetry. The spin in Kitaev model is\n\nrepresented as the pseudo-spin in the two-fold degenerate\n\nspin singlet subspace of a cluster of four antiferromag-\n\nnetically coupled spin-1/2 moments. The physical spin\n\nmodel is a honeycomb lattice of such four-spin clusters,\n\nwith certain inter-cluster interactions. The machinery\n\nfor the exact mapping to pseudo-spin Hamiltonian was\n\ndeveloped (see e.g. TABLE I), which is quite general\n\nand can be used to construct other interesting (exactly\n\nsolvable) spin-1/2 models from spin rotation invariant\n\nsystems.\n\nIn this construction the pseudo-spin correlations in the\n\nKitaev model will be mapped to dimer or spin-chirality\n\ncorrelations in the physical spin system. The correspond-\n\ning picture of the fractionalized Majorana fermion exci-\n\ntations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical\n\nspin interactions, which is undesirable for practical im-\n\nplementation. We described two possible approaches to\n\nreduce this problem: generating the high order spin in-\n\nteractions by perturbative expansion of the coupling to\n\noptical phonon, or the magnetic coupling between clus-\n\nters. This perturbative construction will introduce trun-\n\ncation error of perturbation series, which may be con-\n\ntrolled by small expansion parameters. Whether these\n\nconstructions can be experimentally engineered is how-\n\never beyond the scope of this study. It is conceivable that\n\nother perturbative expansion can also generate these high\n\norder spin interactions, but this possibility will be left for\n\nfuture works.\n\nAcknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek\n\nKim and Arun Paramekanti for inspiring discussions, and\n\nTodadri Senthil for critical comments. The author is sup-\n\nported by the MIT Pappalardo Fellowship in Physics.\n\nAppendix A: Coupling between Distortions of a\n\nTetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref. 35 the cou-\n\nplings of all tetrahedron distortion modes to the spin\n\nsystem. And convert them to pseudo-spin notation in\n\nthe physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron,\n\nthe spin Hamiltonian becomes\n\nH cluster , SL = ( J cluster / 2)( � ℓ\n\nS ℓ ) 2 + J ′ � ℓ′ is the derivative of J cluster with respect to\n\nbond length.\n\nThere are six orthogonal distortion modes of the tetra-\n\nhedron [TABLE 1.1 in Ref. 35 ]. One of the modes A is the\n\ntrivial representation of the tetrahedral group T d ; two E\n\nmodes form the two dimensional irreducible representa-\n\ntion of T d ; and three T 2 modes form the three dimen-\n\nsional irreducible representation. The E modes are also\n\nillustrated in FIG. 3.\n\nThe generic couplings in (A1) [second term] can be\n\nconverted to couplings to these orthogonal modes,\n\nJ ′ ( Q A f A + Q E 1 f E 1 + Q E 2 f E 2 + Q T 2 1 f T 2 1 + Q T 2 2 f T 2 2 + Q T 2 3 f T 2 3 )\n\nwhere Q are generalized coordinates of the corresponding\n\nmodes, functions f can be read off from TABLE 1.2 of\n\nRef. 35 . For the A mode, δr ℓm = � 2 / 3 Q A , so f A is\n\nf A = � 2 / 3 ( S 1 · S 2 + S 3 · S 4 + S 1 · S 3\n\n+ S 2 · S 4 + S 1 · S 4 + S 2 · S 3 ) .\n\nThe functions f E 1 , 2 for the E modes have been given before but are reproduced here,\n\nf E 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 − S 1 · S 4 − S 2 · S 3 ) ,\n\nf E 1 = � 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3\n\n− 2 S 1 · S 2 − 2 S 3 · S 4 ) .\n\nThe functions f T 2 1 , 2 , 3 for the T 2 modes are\n\nf T 2 1 = ( S 2 · S 3 − S 1 · S 4 ) ,\n\nf T 2 2 = ( S 1 · S 3 − S 2 · S 4 ) ,\n\nf T 2 3 = ( S 1 · S 2 − S 3 · S 4 )\n\nNow we can use TABLE I to convert the above cou- plings into pseudo-spin. It is easy to see that f A and\n\nf T 2 1 , 2 , 3 are all zero when converted to pseudo-spins, namely\n\nprojected to the physical spin singlet sector. But f E 1 =\n\n( P 14 + P 23 + P 24 + P 13 − 2 P 12 − 2 P 34 ) / (4 √ 3) = − ( √ 3 / 2) τ x\n\nand f E 2 = ( P 24 + P 13 − P 14 − P 23 ) / 4 = ( √ 3 / 2) τ y . This has already been noted by Tchernyshyov et al. 28 , only\n\nthe E modes can lift the degeneracy of the physical spin\n\nsinglet ground states of the tetrahedron. Therefore the\n\ngeneral spin lattice coupling is the form of (12) given in\n\nthe main text.",
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- "text": "modes of neighboring tetrahedra. And these coupling\n\nconstants λ x,y,z need to be tuned to produce J x,y,z of\n\nthe Kitaev model. This is still not easy to implement in\n\nsolid state systems. At lowest non-trivial order of pertur-\n\nbative expansion, we do get our model (9). Higher order\n\nterms in expansion destroy the exact solvability, but may\n\nbe controlled by the small parameters λ x,y,z /k .\n\nB. Generate the High Order Terms by Magnetic\n\nInteractions between Clusters.\n\nIn this Subsection we consider more conventional per-\n\nturbations, magnetic interactions between the clusters,\n\ne.g. the Heisenberg coupling S j · S k with j and k belong\n\nto different tetrahedra. This has the advantage over the\n\nprevious phonon approach for not introducing additional\n\ndegrees of freedom. But it also has a significant disad-\n\nvantage: the perturbation does not commute with the\n\ncluster Heisenberg Hamiltonian (2), so the cluster sin-\n\nglet subspace will be mixed with other total spin states.\n\nIn this Subsection we will use the spin-chirality represen-\n\ntation (6) for τ z .\n\nAgain consider two clusters j and k . For simplicity\n\nof notations define a projection operator P jk = P j P k ,\n\nwhere P j,k is projection into the singlet subspace of clus-\n\nter j and k , respectively, P j,k = � s = ± 1 | τ z j,k = s ⟩⟨ τ z j,k =\n\ns | . For a given perturbation λ H perturbation with small\n\nparameter λ (in factor λ/J cluster is the expansion param-\n\neter), lowest two orders of the perturbation series are\n\nλ P jk H perturbation P jk + λ 2 P jk H perturbation (1 −P jk )\n\n× [0 − H cluster j − H cluster k ] − 1 (1 −P jk ) H perturbation P jk\n\n(15)\n\nWith proper choice of λ and H perturbation we can generate\n\nthe desired J x,y,z terms in (8) from the first and second\n\norder of perturbations.\n\nThe calculation can be dramatically simplified by the following fact that any physical spin-1/2 operator S x,y,z ℓ converts the cluster spin singlet states | τ z = ± 1 ⟩ into spin-1 states of the cluster. This can be checked by\n\nexplicit calculations and will not be proved here. For\n\nall the perturbations to be considered later, the above\n\nmentioned fact can be exploited to replace the factor\n\n[0 − H cluster j − H cluster k ] − 1 in the second order pertur-\n\nbation to a c -number ( − 2 J cluster ) − 1 .\n\nThe detailed calculations are given in Appendix B. We\n\nwill only list the results here.\n\nThe perturbation on x -links is given by\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 + sgn( J x ) · ( S j 2 · S k 2 )]\n\n− J x ( S j 1 · S j 2 + S k 1 · S k 2 ) .\n\nwhere λ x = � 12 | J x | · J cluster , sgn( J x ) = ± 1 is the sign of J x .\n\nThe perturbation on y -links is\n\nλ y H perturbation , y\n\n= λ y [ S j 1 · S k 1 + sgn( J y ) · ( S j 3 − S j 4 ) · ( S k 3 − S k 4 )]\n\n−| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = � 4 | J y | · J cluster .\n\nThe perturbation on z -links is\n\nλ z H perturbation , z\n\n= λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )]\n\n−| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) .\n\nwith λ z = 4 � | J z | · J cluster .\n\nThe entire Hamiltonian H magnetic reads explicitly as,\n\nH magnetic = � cluster j\n\n( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2\n\n+ � x − links �� 12 | J x | · J cluster � S j 1 · S k 1 + sgn( J x ) · ( S j 2 · S k 2 ) � − J x ( S j 1 · S j 2 + S k 1 · S k 2 ) �\n\n+ � y − links � � 4 | J y | · J cluster � S j 1 · ( S k 3 − S k 4 ) + sgn( J y ) S k 1 · ( S j 3 − S j 4 ) � −| J y | ( S j 3 · S j 4 + S k 3 · S k 4 ) �\n\n+ � z − links � 4 � | J z | · J cluster � S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) S k 2 · ( S j 3 × S j 4 ) � −| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) � .\n\n(16)\n\nIn (16), we have been able to reduce the four spin in-\n\nteractions in (8) to inter-cluster Heisenberg interactions,\n\nand the six-spin interactions in (8) to inter-cluster spin-\n\nchirality interactions. The inter-cluster Heisenberg cou-\n\nplings in H perturbation x,y may be easier to arrange. The\n\ninter-cluster spin-chirality coupling in H perturbation z ex-\n\nplicitly breaks time reversal symmetry and is probably\n\nharder to implement in solid state systems. However\n\nspin-chirality order may have important consequences\n\nin frustrated magnets 36,37 , and a realization of spin-",
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- "text": "J cluster limit. So only the singlet sector remains in low\n\nenergy.\n\nThe singlet sector is then treated as a pseudo-spin-1/2\n\nHilbert space. From now on we denote the pseudo-spin-\n\n1/2 operators as T = (1 / 2) ⃗τ , with ⃗τ the Pauli matri-\n\nces. It is convenient to choose the following basis of the\n\npseudo-spin\n\n| τ z = ± 1 ⟩ = 1 √ 6 � | ↓↓↑↑⟩ + ω − τ z | ↓↑↓↑⟩ + ω τ z | ↓↑↑↓⟩\n\n+ | ↑↑↓↓⟩ + ω − τ z | ↑↓↑↓⟩ + ω τ z | ↑↓↓↑⟩ �\n\n(3)\n\nwhere ω = e 2 πi/ 3 is the complex cubic root of unity,\n\n| ↓↓↑↑⟩ and other states on the right-hand-side(RHS) are basis states of the four-spin system, in terms of S z quan-\n\ntum numbers of physical spins 1 , . . . , 4 in sequential or-\n\nder. This pseudo-spin representation has been used by Harris et al. to study magnetic ordering in pyrochlore\n\nantiferromagnets 21 .\n\nWe now consider the effect of Heisenberg-type inter-\n\nactions S j · S k inside the physical singlet sector. Note\n\nthat since any S j · S k within the cluster commutes with\n\nthe cluster Hamiltonian H cluster (2), their action do not\n\nmix physical spin singlet states with states of other total\n\nphysical spin. This property is also true for the spin-\n\nchirality operator used later. So the pseudo-spin Hamil-\n\ntonian constructed below will be exact low energy Hamil-\n\ntonian, without truncation errors in typical perturbation\n\nseries expansions.\n\nIt is simpler to consider the permutation operators\n\nP jk ≡ 2 S j · S k + 1 / 2, which just exchange the states\n\nof the two physical spin-1/2 moments j and k ( j ̸ = k ). As an example we consider the action of P 34 ,\n\nP 34 | τ z = − 1 ⟩ = 1 √ 6 � | ↓↓↑↑⟩ + ω | ↓↑↑↓⟩ + ω 2 | ↓↑↓↑⟩\n\n+ | ↑↑↓↓⟩ + ω | ↑↓↓↑⟩ + ω 2 | ↑↓↑↓⟩ �\n\n= | τ z = +1 ⟩\n\nand similarly P 34 | τ z = − 1 ⟩ = | τ z = +1 ⟩ . Therefore P 34 is just τ x in the physical singlet sector. A complete list\n\nof all permutation operators is given in TABLE I. We can choose the following representation of τ x and τ y ,\n\nτ x = P 12 = 2 S 1 · S 2 + 1 / 2\n\nτ y = ( P 13 − P 14 ) / √ 3 = (2 / √ 3) S 1 · ( S 3 − S 4 ) (4)\n\nMany other representations are possible as well, because\n\nseveral physical spin interactions may correspond to the\n\nsame pseudo-spin interaction in the physical singlet sec-\n\ntor, and we will take advantage of this later. For τ z we can use τ z = − iτ x τ y , where i is the imagi-\n\nnary unit,\n\nτ z = − i (2 / √ 3)(2 S 1 · S 2 + 1 / 2) S 1 · ( S 3 − S 4 ) (5)\n\nphysical spin pseudo-spin\n\nP 12 , and P 34 τ x\n\nP 13 , and P 24 − (1 / 2) τ x + ( √ 3 / 2) τ y\n\nP 14 , and P 23 − (1 / 2) τ x − ( √ 3 / 2) τ y\n\n− χ 234 , χ 341 , − χ 412 , and χ 123 ( √ 3 / 4) τ z\n\nTABLE I: Correspondence between physical spin operators\n\nand pseudo-spin operators in the physical spin singlet sector of\n\nthe four antiferromagnetically coupled physical spins. P jk =\n\n2 S j · S k +1 / 2 are permutation operators, χ jkℓ = S j · ( S k × S ℓ )\n\nare spin-chirality operators. Note that several physical spin\n\noperators may correspond to the same pseudo-spin operator.\n\nHowever there is another simpler representation of τ z ,\n\nby the spin-chirality operator χ jkℓ = S j · ( S k × S ℓ ). Ex-\n\nplicit calculation shows that the effect of S 2 · ( S 3 × S 4 ) is\n\n− ( √ 3 / 4) τ z in the physical singlet sector. This can also\n\nbe proved by using the commutation relation [ S 2 · S 3 , S 2 · S 4 ] = i S 2 · ( S 3 × S 4 ). A complete list of all chirality\n\noperators is given in TABLE I. Therefore we can choose\n\nanother representation of τ z ,\n\nτ z = − χ 234 / ( √ 3 / 4) = − (4 / √ 3) S 2 · ( S 3 × S 4 ) (6)\n\nThe above representations of τ x,y,z are all invariant under\n\nglobal spin rotation of the physical spins.\n\nWith the machinery of equations (4), (5), and (6), it\n\nwill be straightforward to construct various pseudo-spin-\n\n1/2 Hamiltonians on various lattices, of the Kitaev vari-\n\nety and beyond, as the exact low energy effective Hamil-\n\ntonian of certain spin-1/2 models with spin-rotation sym-\n\nmetry. In these constructions a pseudo-spin lattice site\n\nactually represents a cluster of four spin-1/2 moments.\n\nIII. REALIZATION OF THE KITAEV MODEL.\n\nIn this Section we will use directly the results of the\n\nprevious Section to write down a Hamiltonian whose low\n\nenergy sector is described by the Kitaev model. The\n\nHamiltonian will be constructed on the physical spin lat-\n\ntice illustrated in FIG. 2. In this Section we will use\n\nj, k to label four-spin clusters (pseudo-spin-1/2 sites), the\n\nphysical spins in cluster j are labeled as S j 1 , . . . , S j 4 .\n\nApply the mappings developed in Section II, we have\n\nthe desired Hamiltonian in short notation,\n\nH = � cluster\n\nH cluster − � x − links \n\nJ x τ x j τ x k\n\n− � y − links \n\nJ y τ y j τ y k − � z − links \n\nJ z τ z j τ z k\n\n(7)\n\nwhere j, k label the honeycomb lattice sites thus the four-\n\nspin clusters, H cluster is given by (2), τ x,y,z should be\n\nreplaced by the corresponding physical spin operators in\n\n(4) and (5) or (6), or some other equivalent representa-\n\ntions of personal preference.",
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- "text": "Another note to take is that it is not necessary to have\n\nsuch a highly symmetric cluster Hamiltonian (2). The\n\nmappings to pseudo-spin-1/2 should work as long as the\n\nground states of the cluster Hamiltonian are the two-fold\n\ndegenerate singlets. One generalization, which conforms\n\nthe symmetry of the lattice in FIG. 2, is to have\n\nH cluster = ( J cluster / 2)( r · S 1 + S 2 + S 3 + S 4 ) 2 (11)\n\nwith J cluster > 0 and 0 < r < 3. However this is not\n\nconvenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its\n\nlow energy states are entirely in the space that each of the\n\nclusters is a physical spin singlet (called cluster singlet\n\nsubspace hereafter). Therefore physical spin correlations\n\nare strictly confined within each cluster. The excitations\n\ncarrying physical spin are gapped, and their dynamics\n\nare ‘trivial’ in the sense that they do not move from one\n\ncluster to another. But there are non-trivial low energy\n\nphysical spin singlet excitations, described by the pseudo-\n\nspins defined above. The correlations of the pseudo-spins\n\ncan be mapped to correlations of their corresponding\n\nphysical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation\n\nbecomes chirality-chirality correlation, or four-dimer cor-\n\nrelation. It will be interesting to see the corresponding\n\npicture of the exotic excitations in the Kitaev model, e.g.\n\nthe Majorana fermion and the Ising vortex. However this\n\nwill be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liq-\n\nuid with spin gap ( ∼ J cluster ), an extremely short-range\n\nresonating valence bond(RVB) state, from a model with\n\nspin rotation and time reversal symmetry. However it\n\nshould be noted that the unit cell of this model contains\n\nan even number of spin-1/2 moments (so does the orig-\n\ninal Kitaev model) which does not satisfy the stringent\n\ndefinition of spin liquid requiring odd number of elec-\n\ntrons per unit cell. Several parent Hamiltonians of spin\n\nliquids have already been constructed. See for example,\n\nRef. 24- 27 .\n\nIV. GENERATE THE HIGH ORDER PHYSICAL\n\nSPIN INTERACTIONS BY PERTURBATIVE\n\nEXPANSION.\n\nOne major drawback of the present construction is that\n\nit involves high order interactions of physical spins[see\n\n(8) and (9)], thus is ‘unnatural’. In this Section we will\n\nmake compromises between exact solvability and natu-\n\nralness. We consider two clusters j and k and try to\n\ngenerate the J x,y,z interactions in (7) from perturbation\n\nseries expansion of more natural(lower order) physical\n\nspin interactions. Two different approaches for this pur-\n\npose will be laid out in the following two Subsections. In\n\nSubsection IV A we will consider the two clusters as two\n\ntetrahedra, and couple the spin system to certain opti-\n\ncal phonons, further coupling between the phonon modes\n\n(a) (b) (c) (d)\n\n(b) (c) (d)\n\n### Q E 2\n\n### Q E 1\n\n(a)\n\n1 1 1 1\n\n1 1 1\n\n2\n\n2\n\n2\n\n2\n\n2\n\n2 2\n\n2\n\n3\n\n3\n\n3 3 3\n\n3 3 4 4\n\n4 4\n\n3\n\n4\n\n4\n\n4\n\n4\n\n1\n\nFIG. 3: Illustration of the tetragonal to orthorhombic\n\nQ E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective\n\nview of the tetrahedron. 1 , . . . , 4 label the spins. Arrows in-\n\ndicate the motion of each spin under the distortion mode. (b)\n\nTop view of (a). (c)(d) Side view of (a).\n\nof the two clusters can generate at lowest order the de-\n\nsired high order spin interactions. In Subsection IV B we\n\nwill introduce certain magnetic, e.g. Heisenberg-type, in-\n\nteractions between physical spins of different clusters, at\n\nlowest order(second order) of perturbation theory the de-\n\nsired high order spin interactions can be achieved. These\n\napproaches involve truncation errors in the perturbation\n\nseries, thus the mapping to low energy effect Hamilto-\n\nnian will no longer be exact. However the error intro-\n\nduced may be controlled by small expansion parameters.\n\nIn this Section we denote the physical spins on cluster\n\nj ( k ) as j 1 , . . . , j 4 ( k 1 , . . . , k 4), and denote pseudo-spins\n\non cluster j ( k ) as ⃗τ j ( ⃗τ k ).\n\nA. Generate the High Order Terms by Coupling to\n\nOptical Phonon.\n\nIn this Subsection we regard each four-spin cluster\n\nas a tetrahedron, and consider possible optical phonon\n\nmodes(distortions) and their couplings to the spin sys-\n\ntem. The basic idea is that the intra-cluster Heisen-\n\nberg coupling J cluster can linearly depend on the dis-\n\ntance between physical spins. Therefore certain distor-\n\ntions of the tetrahedron couple to certain linear combi-\n\nnations of S ℓ · S m . Integrating out phonon modes will\n\nthen generate high order spin interactions. This idea has\n\nbeen extensively studied and applied to several magnetic\n\nmaterials 28- 34 . More details can be found in a recent\n\nreview by Tchernyshyov and Chern 35 . And we will fre-\n\nquently use their notations. In this Subsection we will\n\nuse the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins\n\n1 , . . . , 4. The general distortions of this tetrahedron can\n\nbe classified by their symmetry (see for example Ref. 35 ).\n\nOnly two tetragonal to orthorhombic distortion modes,\n\nQ E 1 and Q E 2 (illustrated in FIG. 3), couple to the pseudo- spins defined in Section II. A complete analysis of all\n\nmodes is given in Appendix A. The coupling is of the",
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- "text": "Figure 7.26. Airflow Separation (sheet 2 of 2)",
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- "text": "form\n\nJ ′ ( Q E 1 f E 1 + Q E 2 f E 2 )\n\nwhere J ′ is the derivative of Heisenberg coupling J cluster\n\nbetween two spins ℓ and m with respect to their distance\n\nr ℓm , J ′ = d J cluster / d r ℓm ; Q E 1 , 2 are the generalized coor-\n\ndinates of these two modes; and the functions f E 1 , 2 are\n\nf E 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 − S 1 · S 4 − S 2 · S 3 ) ,\n\nf E 1 = � 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3\n\n− 2 S 1 · S 2 − 2 S 3 · S 4 ) .\n\nAccording to TABLE I we have f E 1 = − ( √ 3 / 2) τ x and\n\nf E 2 = ( √ 3 / 2) τ y . Then the coupling becomes\n\n( √ 3 / 2) J ′ ( − Q E 1 τ x + Q E 2 τ y ) (12)\n\nThe spin-lattice(SL) Hamiltonian on a single cluster j\n\nis [equation (1.8) in Ref. 35 ],\n\nH cluster j, SL = H cluster j + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2\n\n− √ 3 2 J ′ ( Q E 1 j τ x j − Q E 2 j τ y j ) ,\n\n(13)\n\nwhere k > 0 is the elastic constant for these phonon modes, J ′ is the spin-lattice coupling constant, Q E 1 j and\n\nQ E 2 j are the generalized coordinates of the Q E 1 and Q E 2\n\ndistortion modes of cluster j , H cluster j is (2). As al-\n\nready noted in Ref. 35 , this model does not really break\n\nthe pseudo-spin rotation symmetry of a single cluster.\n\nNow we put two clusters j and k together, and in-\n\nclude a perturbation λ H perturbation to the optical phonon\n\nHamiltonian,\n\nH jk, SL = H cluster j, SL + H cluster k, SL\n\n+ λ H perturbation [ Q E 1 j , Q E 2 j , Q E 1 k , Q E 2 k ]\n\nwhere λ (in fact λ/k ) is the expansion parameter.\n\nConsider the perturbation H perturbation = Q E 1 j · Q E 1 k ,\n\nwhich means a coupling between the Q E 1 distortion\n\nmodes of the two tetrahedra. Integrate out the optical\n\nphonons, at lowest non-trivial order, it produces a term (3 J ′ 2 λ ) / (4 k 2 ) τ x j · τ x k . This can be seen by minimizing separately the two cluster Hamiltonians with respect to\n\nQ E 1 , which gives Q E 1 = ( √ 3 J ′ ) / (2 k ) τ x , then plug this\n\ninto the perturbation term. Thus we have produced the\n\nJ x term in the Kitaev model with J x = − (3 J ′ 2 λ ) / (4 k 2 ).\n\nSimilarly the perturbation H perturbation = Q E 2 j · Q E 2 k will generate (3 J ′ 2 λ ) / (4 k 2 ) τ y j · τ y k at lowest non-trivial\n\norder. So we can make J y = − (3 J ′ 2 λ ) / (4 k 2 ).\n\nThe τ z j · τ z k coupling is more difficult to get. We treat it as − τ x j τ y j · τ x k τ y k . By the above reasoning, we\n\nneed an anharmonic coupling H perturbation = Q E 1 j Q E 2 j · Q E 1 k Q E 2 k . It will produce at lowest non-trivial or- der (9 J ′ 4 λ ) / (16 k 4 ) τ x j τ y j · τ x k τ y k . Thus we have J z = (9 J ′ 4 λ ) / (16 k 4 ).\n\nFinally we have made up a spin-lattice model H SL ,\n\nwhich involves only S ℓ · S m interaction for physical spins,\n\nH SL = � cluster\n\nH cluster , SL + � x − links \n\nλ x Q E 1 j · Q E 1 k\n\n+ � y − links \n\nλ y Q E 2 j · Q E 2 k\n\n+ � z − links \n\nλ z Q E 1 j Q E 2 j · Q E 1 k Q E 2 k\n\nwhere Q E 1 j is the generalized coordinate for the Q E 1 mode\n\non cluster j , and Q E 1 k , Q E 2 j , Q E 2 k are similarly defined;\n\nλ x,y = − (4 J x,y k 2 ) / (3 J ′ 2 ) and λ z = (16 J z k 4 ) / (9 J ′ 4 ); the\n\nsingle cluster spin-lattice Hamiltonian H cluster , SL is (13).\n\nCollect the results above we have the spin-lattice\n\nHamiltonian H SL explicitly written as,\n\nH SL = � cluster j\n\n� ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2\n\n+ J ′ � Q E 1 j\n\nS j 1 · S j 4 + S j 2 · S j 3 + S j 2 · S j 4 + S j 1 · S j 3 − 2 S j 1 · S j 2 − 2 S j 3 · S j 4 √ 12\n\n+ Q E 2 j\n\nS j 2 · S j 4 + S j 1 · S j 3 − S j 1 · S j 4 − S j 2 · S j 3\n\n2 ��\n\n− � x − links \n\n4 J x k 2 3 J ′ 2 Q E 1 j · Q E 1 k − � y − links \n\n4 J y k 2 3 J ′ 2 Q E 2 j · Q E 2 k + � z − links \n\n16 J z k 4\n\n9 J ′ 4 Q E 1 j Q E 2 j · Q E 1 k Q E 2 k\n\n(14)\n\nThe single cluster spin-lattice Hamiltonian [first three\n\nlines in (14)] is quite natural. However we need some\n\nharmonic(on x - and y -links of honeycomb lattice) and an-\n\nharmonic coupling (on z -links) between optical phonon",
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- "text": "* **Figure 46. Completeness screen - Example** *",
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- "query": "How can fractionalised Majorana fermion excitations be understood?",
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- "target_passage": "from the more familiar Jordan-Wigner transformation of 1D spin systems",
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- "text": "high-energy fermions and is an input for the low-energy\n\ntheory. Below we follow Refs. 31,33 and assume that\n\nthe momentum dependence of a collective boson is flat\n\nnear ( π, π ). The self energy within such model has been\n\nworked out consistently in Ref. 31,33. In the normal\n\nstate\n\nΣ ′′ ( ω ) = − 1 2 λ n ω sf log � 1 + ω 2 ω 2 sf �\n\nΣ ′ ( ω ) = − λ n ω sf arctan ω ω sf\n\n(19)\n\nwhere λ n is the spin-fermion coupling constant, and ω sf\n\nis a typical spin relaxation frequency of overdamped spin\n\ncollective excitations with a propagator\n\nχ ( q ∼ Q, Ω) = χ Q\n\n1 − i Ω ω sf\n\n(20)\n\nwhere χ Q is the uniform static susceptibility. If we use\n\nOrnstein-Zernike form of χ ( q ) and use either Eliashberg 45 or FLEX computational schemes 48 , we get rather sim-\n\nilar behavior of Σ as a function of frequency and rather\n\nsimilar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in\n\nthe fact that the coupling λ and the bosonic frequency\n\nω sf are related: λ scales as ξ 2 , where ξ is the bosonic\n\nmass (the distance to a bosonic instability), and ω sf ∝ ξ − 2 (see Ref. 49). For a flat χ ( q ∼ Q ) the product λω sf\n\ndoes not depend on ξ and is the overall dimensional scale\n\nfor boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This\n\ngap affects fermionic self-energy in two ways: directly, via\n\nthe change of the dispersion of an intermediate boson in\n\nthe exchange process involving a CB, and indirectly, via\n\nthe change of the propagator of a CB. We remind our-\n\nselves that the dynamics of a CB comes from a particle-\n\nhole bubble which is indeed affected by ∆.\n\nThe effect of a d − wave pairing gap on a CB has been\n\ndiscussed in a number of papers, most recently in 31 . In\n\na SCS a gapless continuum described by Eq. (20) trans-\n\nforms into a gaped continuum, with a gap about 2∆and\n\na resonance at ω = ω 0 < 2∆, where for a d − wave gap we\n\ndefine ∆as a maximum of a d − wave gap.\n\nThe spin susceptibility near ( π, π ) in a superconductor\n\ncan generally be written up as\n\nχ ( q ∼ Q, Ω) = χ Q\n\n1 − i Π(Ω) ω sf\n\n(21)\n\nwhere Π is evaluated by adding up the bubbles made\n\nout of two normal and two anomalous Green’s functions.\n\nBelow 2∆, Π(Ω) is real ( ∼ Ω 2 / ∆for small Ω), and the\n\nresonance emerges at Ω= ω 0 at which Π( ω 0 ) = ω sf . At\n\nfrequencies larger than 2∆, Π(Ω) has an imaginary part,\n\nand this gives rise to a gaped continuum in χ (Ω).\n\nThe imaginary part of the spin susceptibility around\n\nthe resonance frequency ω 0 is 31\n\nχ ′′ ( q, Ω) = πZ o ω 0\n\n2 δ (Ω − ω 0 ) (22)\n\nwhere Z o ∼ 2 ω sf χ 0 / ∂ Π ∂ω | Ω= ω 0 . The imaginary part of the spin susceptibility describing a gaped continuum\n\nexists for for Ω ≥ 2∆and is\n\nχ ′′ ( q, Ω) = Im � χ 0\n\n1 − 1\n\nω sf � 4∆ 2 Ω D ( 4∆ 2 Ω 2 ) + i Ω K 2 (1 − 4∆ 2 Ω 2 ) � �\n\n≈ Im � χ 0\n\n1 − 1\n\nω sf � π ∆ 2\n\nΩ + i π 2 Ω � � f or Ω >> 2∆ (23)\n\nIn Eq. (23) D ( x ) = K 1 ( x ) − K 2 ( x ) x , and K 1 ( x ) and K 2 ( x )\n\nare Elliptic integrals of first and second kind. The real\n\npart of χ is obtained by Kramers-Kr¨onig transform of the\n\nimaginary part.\n\nSubstituting Eq 6 for χ ( q, Ω) into the formula for the\n\nself-energy one obtains Σ ′′ ( ω ) in a SCS state as a sum of\n\ntwo terms 31\n\nΣ ′′ ( ω ) = Σ ′′ A ( ω ) + Σ ′′ B ( ω ) (24)\n\nwhere,\n\nΣ ′′ A ( ω ) = πZ o 2 λ n ω o Re � ω + ω o\n\n� ( ω + ω o ) 2 − ∆ 2 �\n\ncomes from the interaction with the resonance and\n\nΣ ′′ B ( ω ) = − λ n � | E |\n\n2∆\n\ndx Re ω + x\n\n� ( ω + x ) 2 − ∆ 2\n\nx\n\nω sf K 2 � 1 − 4∆ 2 x 2 � � 1 − 4∆ 2 xω sf D � 4∆ 2\n\nx 2 � � 2 + � x\n\nω sf K 2 � 1 − 4∆ 2 x 2 � � 2 (25)\n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-",
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- "text": "[arXiv:1001.0266v2 [cond-mat.str-el] 4 May 2010](http://arxiv.org/abs/1001.0266v2)\n\n## Realization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin\n\n## Rotation Invariant System\n\nFa Wang 1\n\n1 Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\n\nThe exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamil-\n\ntonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low\n\nenergy effective Hamiltonian is exact, without truncation errors in traditional perturbation series\n\nexpansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and\n\ncontains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model\n\nis represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet\n\nsector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin corre-\n\nlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this\n\nmodel. This exact construction is quite general and can be used to make other interesting spin-1/2\n\nmodels from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the\n\nhigh order spin interactions from more natural couplings, which involves perturbative expansions\n\nthus breaks the exact mapping, although in a controlled manner.\n\nPACS numbers: 75.10.Jm, 75.10.Kt\n\nContents\n\nI. Introduction. 1\n\nII. Formulation of the Pseudo-spin-1/2 from\n\nFour-spin Cluster. 2\n\nIII. Realization of the Kitaev Model. 3\n\nIV. Generate the High Order Physical Spin\n\nInteractions by Perturbative Expansion. 5\n\nA. Generate the High Order Terms by Coupling\n\nto Optical Phonon. 5\n\nB. Generate the High Order Terms by Magnetic\n\nInteractions between Clusters. 7\n\nV. Conclusions. 8\n\nAcknowledgments 8\n\nA. Coupling between Distortions of a\n\nTetrahedron and the Pseudo-spins 8\n\nB. Derivation of the Terms Generated by\n\nSecond Order Perturbation of Inter-cluster\n\nMagnetic Interactions 9\n\nReferences 10\n\nI. INTRODUCTION.\n\nKitaev’s exactly solvable spin-1/2 honeycomb lattice model 1 (noted as the Kitaev model hereafter) has in-\n\nspired great interest since its debut, due to its exact\n\nsolvability, fractionalized excitations, and the potential\n\nto realize non-Abelian anyons. The model simply reads\n\nH Kitaev = − � x − links \n\nJ x τ x j τ x k − � y − links \n\nJ y τ y j τ y k\n\n− � z − links \n\nJ z τ z j τ z k\n\n(1)\n\nwhere τ x,y,z are Pauli matrices, and x, y, z -links are de- fined in FIG. 1. It was shown by Kitaev 1 that this spin-\n\n1/2 model can be mapped to a model with one Majo-\n\nrana fermion per site coupled to Ising gauge fields on the\n\nlinks. And as the Ising gauge flux has no fluctuation, the\n\nmodel can be regarded as, under each gauge flux config-\n\nuration, a free Majorana fermion problem. The ground\n\nstate is achieved in the sector of zero gauge flux through\n\neach hexagon. The Majorana fermions in this sector have\n\nDirac-like gapless dispersion resembling that of graphene,\n\nas long as | J x | , | J y | , and | J z | satisfy the triangular rela- tion, sum of any two of them is greater than the third\n\none 1 . It was further proposed by Kitaev 1 that opening of\n\nfermion gap by magnetic field can give the Ising vortices\n\nnon-Abelian anyonic statistics, because the Ising vortex\n\nwill carry a zero-energy Majorana mode, although mag-\n\nnetic field destroys the exact solvability.\n\nGreat efforts have been invested to better understand\n\nthe properties of the Kitaev model. For example, sev-\n\neral groups have pointed out that the fractionalized Ma-\n\njorana fermion excitations may be understood from the\n\nmore familiar Jordan-Wigner transformation of 1D spin\n\nsystems 2,3 . The analogy between the non-Abelian Ising\n\nvortices and vortices in p + ip superconductors has been\n\nraised in serveral works 4- 7 . Exact diagonalization has\n\nbeen used to study the Kitaev model on small lattices 8 .\n\nAnd perturbative expansion methods have been devel-\n\noped to study the gapped phases of the Kitaev-type\n\nmodels 9 .\n\nMany generalizations of the Kitaev model have been",
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- "text": "� d cos θ\n\n2 |M 2 | 2 = λ 4 N � ∂ Ψ\n\n∂h � 4 � − 8 − I 22 + J 22 ln ���� A + 2 b\n\nA − 2 b ���� � , (B8)\n\n� d cos θ\n\n2 M 1 M ∗ 2 = 4 m N λ 3 N � ∂ Ψ\n\n∂h � 2 � ∂ Ψ\n\n∂h\n\ni\n\ns − M 2 h + iM h Γ h iλ hhh + ∂ Ψ ∂H\n\ni\n\ns − M 2 H + iM H Γ H iλ Hhh �\n\n� − 4 + s − 4 m 2 N + A\n\n2 b ln ���� A + 2 b\n\nA − 2 b ���� � , (B9)\n\nwhere θ is the scattering angle in the center of mass frame. The auxiliary functions appear\n\nabove are defined as\n\nI 22 ( s ) ≡ 4 ( A + 2 a ) 2 − 2( s + 4 m 2 N ) A − s ( A + m 2 N ) − 3 m 2 N ( s − 4 m 2 N ) A 2 − 4 b 2 , (B10)\n\nJ 22 ( s, m h ) ≡ 1\n\nAb � 2 A ( A + 2 a ) − A ( s + 4 m 2 N ) + A 2 − 4 a 2 − ( s − 2 m 2 N )( m 2 N − m 2 h )\n\n+3 m 2 N ( s − 4 m 2 N ) � , (B11)\n\nA ( s, m h ) ≡− s 2 + m 2 h , (B12)\n\nb ( s, m N , m h ) ≡ � s 4 − m 2 h � s 4 − m 2 N . (B13)\n\n## Appendix C: Thermal averaged annihilation cross section\n\nIn partial wave expansion, the thermal averaged cross section is given by\n\n⟨ σv ⟩ = 1\n\nm 2 N � w ( s ) − 3 2 � 2 w ( s ) − 4 m 2 N\n\ndw\n\nds � T\n\nm N ����� s =4 m 2 N\n\n(C1)\n\n= 6 dw ds ���� s =4 m 2 N\n\nT\n\nm N\n\n, (C2)\n\nwith\n\n4 w ( s ) ≡ � d LIPS � |M| 2 = 1 8 π � s − 4 m 2 final\n\ns � d cos θ\n\n2 � |M| 2 , (C3)\n\nwhere m final is the mass of final state particle.\n\n[1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in\n\nthe Universe , Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979),\n\np 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity , Proceedings of Workshop,\n\n12",
- "page_start": 11,
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- "source_file": "1002.2525.pdf"
- },
- {
- "text": "10\n\nthis term becomes\n\n− λ 2\n\n6 J cluster · (3 / 4)[3 / 16 + ( τ x / 2 − 1 / 4) 2 ]\n\n= − ( λ 2 ) / (32 J cluster ) · (2 − τ x k ) .\n\nAnother second order perturbation term r 2 λ 2 P jk S k 2 · ( S j 3 × S j 4 )(1 −P jk )[0 − H cluster j − H cluster k ] − 1 (1 − P jk ) S k 2 · ( S j 3 × S j 4 ) P jk can be computed in the similar way and gives the result − ( r 2 λ 2 ) / (32 J cluster ) · (2 − τ x j ). For one of the cross term\n\nr λ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 −P jk )\n\n× [0 − H cluster j − H cluster k ] − 1\n\n× (1 −P jk ) S k 2 · ( S j 3 × S j 4 ) P jk\n\nWe can use the previous argument for both cluster j and\n\nk , so (1 −P AB )[0 − H cluster j − H cluster k ] − 1 (1 −P jk ) can be\n\nreplace by c -number ( − 2 J cluster ) − 1 . This term becomes\n\n− r λ 2\n\n2 J cluster P jk [ S j 2 · ( S k 3 × S k 4 )][ S k 2 · ( S j 3 × S j 3 )] P jk .\n\nSpin rotation symmetry again helps to separate the terms\n\nfor cluster j and k , and we get − ( r λ 2 ) / (32 J cluster ) · τ z j τ z k . The other cross term r λ 2 P jk S k 2 · ( S j 3 × S j 4 )(1 − P jk )[0 − H cluster j − H cluster k ] − 1 (1 −P jk ) S j 2 · ( S k 3 × S k 4 ) P jk gives the same result.\n\nIn summary the second order perturbation from λ [ S j 2 · ( S j 3 × S j 4 ) + r S k 2 · ( S j 3 × S j 4 )] is\n\n− r λ 2\n\n16 J cluster · τ z j τ z k + λ 2\n\n32 J cluster\n\n( τ x k + r 2 τ x j − 2 r 2 − 2) .\n\nUsing this result we can choose the following pertur-\n\nbation on z -links,\n\nλ z H perturbation , z\n\n= λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )]\n\n−| J z | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ z = 4 � | J z | J cluster , r = sgn( J z ) is the sign of J z .\n\nThe last term on the right-hand-side is to cancel the non- trivial terms ( r 2 τ x j + τ x k ) λ 2 z / (32 J cluster ) from the second\n\norder perturbation of the first term. Up to second order\n\nperturbation this will produce − J z τ z j τ z k interactions.\n\nFinally we have been able to reduce the high order\n\ninteractions to at most three spin terms, the Hamiltonian\n\nH magnetic is\n\nH magnetic = � j\n\nH cluster j + � x − links \n\nλ x H perturbation x\n\n+ � y − links \n\nλ y H perturbation y\n\n+ � z − links \n\nλ z H perturbation z\n\nwhere H cluster j are given by (2), λ x,y,z H perturbation x,y,z\n\nare given above. Plug in relevant equations we get (16)\n\nin Subsection IV B.\n\n1 Alexei Kitaev, Ann. Phys. (N.Y.) 321 , 2 (2006). 2 Xiao-Yong Feng, Guang-Ming Zhang, Tao Xiang, Phys.\n\nRev. Lett. 98 , 087204 (2007). 3 Han-Dong Chen, Zohar Nussinov, J. Phys. A: Math.\n\nTheor. 41 , 075001 (2008). 4 Dung-Hai Lee, Guang-Ming Zhang, Tao Xiang, Phys. Rev.\n\nLett. 99 , 196805 (2007). 5 Yue Yu, Nucl. Phys. B 799 , 345 (2008). 6 Yue Yu, Ziqiang Wang, Europhys. Lett. 84 , 57002 (2008). 7 G. Kells, J. K. Slingerland, J. Vala, Phys. Rev. B 80 ,\n\n125415 (2009). 8 [ Han-Dong Chen, B. Wang, S. Das Sarma, arXiv:0906.0017](http://arxiv.org/abs/0906.0017)\n\n(2009). 9 K.P. Schmidt, S. Dusuel, and J. Vidal, Phys. Rev. Lett.\n\n100 , 057208 (2008); J. Vidal, K.P. Schmidt, and S. Dusuel,\n\nPhys. Rev. B 78 , 245121 (2008); S. Dusuel, K.P. Schmidt,\n\nJ. Vidal, and R.L. Zaffino, Phys. Rev. B 78 , 125102 (2008). 10 Hong Yao, Steven A. Kivelson, Phys. Rev. Lett. 99 , 247203\n\n(2007). 11 S. Yang, D. L. Zhou, C. P. Sun, Phys. Rev. B 76 ,\n\n180404(R) (2007). 12 Hong Yao, Shou-Cheng Zhang, Steven A. Kivelson, Phys.\n\nRev. Lett. 102 , 217202 (2009). 13 Zohar Nussinov, Gerardo Ortiz, Phys. Rev. B 79 , 214440\n\n(2009). 14 Congjun Wu, Daniel Arovas, Hsiang-Hsuan Hung, Phys.\n\nRev. B 79 , 134427 (2009). 15 Shinsei Ryu, Phys. Rev. B 79 , 075124 (2009). 16 [ G. Baskaran, G. Santhosh, R. Shankar, arXiv:0908.1614](http://arxiv.org/abs/0908.1614)\n\n(2009). 17 L.-M. Duan, E. Demler, M. D. Lukin, Phys. Rev. Lett. 91 ,\n\n090402 (2003). 18 A. Micheli, G. K. Brennen, P. Zoller, Nature Physics 2 ,\n\n341 (2006). 19 J. Q. You, Xiao-Feng Shi, Xuedong Hu, Franco Nori, Phys.\n\nRev. B 81 , 014505 (2010). 20 G. Jackeli, G. Khaliullin, Phys. Rev. Lett. 102 , 017205\n\n(2009). 21 A. B. Harris, A. J. Berlinsky, C. Bruder, J. Appl. Phys.\n\n69 , 5200 (1991). 22 K. A. Chao, J. Spa�lek, A. M. Ole´s, Phys. Rev. B 18 , 3453\n\n(1978). 23 A. H. MacDonald, S. M. Girvin, D. Yoshioka, Phys. Rev.\n\nB 37 , 9753 (1988). 24 J. T. Chayes, L. Chayes, S. A. Kivelson, Commun. Math.\n\nPhys. 123 , 53 (1989). 25 C. D. Batista, S. A. Trugman, Phys. Rev. Lett. 93 , 217202\n\n(2004).",
- "page_start": 9,
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- "text": "Another note to take is that it is not necessary to have\n\nsuch a highly symmetric cluster Hamiltonian (2). The\n\nmappings to pseudo-spin-1/2 should work as long as the\n\nground states of the cluster Hamiltonian are the two-fold\n\ndegenerate singlets. One generalization, which conforms\n\nthe symmetry of the lattice in FIG. 2, is to have\n\nH cluster = ( J cluster / 2)( r · S 1 + S 2 + S 3 + S 4 ) 2 (11)\n\nwith J cluster > 0 and 0 < r < 3. However this is not\n\nconvenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its\n\nlow energy states are entirely in the space that each of the\n\nclusters is a physical spin singlet (called cluster singlet\n\nsubspace hereafter). Therefore physical spin correlations\n\nare strictly confined within each cluster. The excitations\n\ncarrying physical spin are gapped, and their dynamics\n\nare ‘trivial’ in the sense that they do not move from one\n\ncluster to another. But there are non-trivial low energy\n\nphysical spin singlet excitations, described by the pseudo-\n\nspins defined above. The correlations of the pseudo-spins\n\ncan be mapped to correlations of their corresponding\n\nphysical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation\n\nbecomes chirality-chirality correlation, or four-dimer cor-\n\nrelation. It will be interesting to see the corresponding\n\npicture of the exotic excitations in the Kitaev model, e.g.\n\nthe Majorana fermion and the Ising vortex. However this\n\nwill be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liq-\n\nuid with spin gap ( ∼ J cluster ), an extremely short-range\n\nresonating valence bond(RVB) state, from a model with\n\nspin rotation and time reversal symmetry. However it\n\nshould be noted that the unit cell of this model contains\n\nan even number of spin-1/2 moments (so does the orig-\n\ninal Kitaev model) which does not satisfy the stringent\n\ndefinition of spin liquid requiring odd number of elec-\n\ntrons per unit cell. Several parent Hamiltonians of spin\n\nliquids have already been constructed. See for example,\n\nRef. 24- 27 .\n\nIV. GENERATE THE HIGH ORDER PHYSICAL\n\nSPIN INTERACTIONS BY PERTURBATIVE\n\nEXPANSION.\n\nOne major drawback of the present construction is that\n\nit involves high order interactions of physical spins[see\n\n(8) and (9)], thus is ‘unnatural’. In this Section we will\n\nmake compromises between exact solvability and natu-\n\nralness. We consider two clusters j and k and try to\n\ngenerate the J x,y,z interactions in (7) from perturbation\n\nseries expansion of more natural(lower order) physical\n\nspin interactions. Two different approaches for this pur-\n\npose will be laid out in the following two Subsections. In\n\nSubsection IV A we will consider the two clusters as two\n\ntetrahedra, and couple the spin system to certain opti-\n\ncal phonons, further coupling between the phonon modes\n\n(a) (b) (c) (d)\n\n(b) (c) (d)\n\n### Q E 2\n\n### Q E 1\n\n(a)\n\n1 1 1 1\n\n1 1 1\n\n2\n\n2\n\n2\n\n2\n\n2\n\n2 2\n\n2\n\n3\n\n3\n\n3 3 3\n\n3 3 4 4\n\n4 4\n\n3\n\n4\n\n4\n\n4\n\n4\n\n1\n\nFIG. 3: Illustration of the tetragonal to orthorhombic\n\nQ E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective\n\nview of the tetrahedron. 1 , . . . , 4 label the spins. Arrows in-\n\ndicate the motion of each spin under the distortion mode. (b)\n\nTop view of (a). (c)(d) Side view of (a).\n\nof the two clusters can generate at lowest order the de-\n\nsired high order spin interactions. In Subsection IV B we\n\nwill introduce certain magnetic, e.g. Heisenberg-type, in-\n\nteractions between physical spins of different clusters, at\n\nlowest order(second order) of perturbation theory the de-\n\nsired high order spin interactions can be achieved. These\n\napproaches involve truncation errors in the perturbation\n\nseries, thus the mapping to low energy effect Hamilto-\n\nnian will no longer be exact. However the error intro-\n\nduced may be controlled by small expansion parameters.\n\nIn this Section we denote the physical spins on cluster\n\nj ( k ) as j 1 , . . . , j 4 ( k 1 , . . . , k 4), and denote pseudo-spins\n\non cluster j ( k ) as ⃗τ j ( ⃗τ k ).\n\nA. Generate the High Order Terms by Coupling to\n\nOptical Phonon.\n\nIn this Subsection we regard each four-spin cluster\n\nas a tetrahedron, and consider possible optical phonon\n\nmodes(distortions) and their couplings to the spin sys-\n\ntem. The basic idea is that the intra-cluster Heisen-\n\nberg coupling J cluster can linearly depend on the dis-\n\ntance between physical spins. Therefore certain distor-\n\ntions of the tetrahedron couple to certain linear combi-\n\nnations of S ℓ · S m . Integrating out phonon modes will\n\nthen generate high order spin interactions. This idea has\n\nbeen extensively studied and applied to several magnetic\n\nmaterials 28- 34 . More details can be found in a recent\n\nreview by Tchernyshyov and Chern 35 . And we will fre-\n\nquently use their notations. In this Subsection we will\n\nuse the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins\n\n1 , . . . , 4. The general distortions of this tetrahedron can\n\nbe classified by their symmetry (see for example Ref. 35 ).\n\nOnly two tetragonal to orthorhombic distortion modes,\n\nQ E 1 and Q E 2 (illustrated in FIG. 3), couple to the pseudo- spins defined in Section II. A complete analysis of all\n\nmodes is given in Appendix A. The coupling is of the",
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- "text": "chirality interactions in cold atom optical lattices has\n\nbeen proposed 38 .\n\nOur model (8) is achieved at second order of the per-\n\nturbation series. Higher order terms become trunca-\n\ntion errors but may be controlled by small parameters\n\nλ x,y,z /J cluster ∼ � | J x,y,z | /J cluster .\n\nV. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model 1 as the exact low energy effective Hamiltonian of\n\na spin-1/2 model [equations (8) or (9)] with spin-rotation\n\nand time reversal symmetry. The spin in Kitaev model is\n\nrepresented as the pseudo-spin in the two-fold degenerate\n\nspin singlet subspace of a cluster of four antiferromag-\n\nnetically coupled spin-1/2 moments. The physical spin\n\nmodel is a honeycomb lattice of such four-spin clusters,\n\nwith certain inter-cluster interactions. The machinery\n\nfor the exact mapping to pseudo-spin Hamiltonian was\n\ndeveloped (see e.g. TABLE I), which is quite general\n\nand can be used to construct other interesting (exactly\n\nsolvable) spin-1/2 models from spin rotation invariant\n\nsystems.\n\nIn this construction the pseudo-spin correlations in the\n\nKitaev model will be mapped to dimer or spin-chirality\n\ncorrelations in the physical spin system. The correspond-\n\ning picture of the fractionalized Majorana fermion exci-\n\ntations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical\n\nspin interactions, which is undesirable for practical im-\n\nplementation. We described two possible approaches to\n\nreduce this problem: generating the high order spin in-\n\nteractions by perturbative expansion of the coupling to\n\noptical phonon, or the magnetic coupling between clus-\n\nters. This perturbative construction will introduce trun-\n\ncation error of perturbation series, which may be con-\n\ntrolled by small expansion parameters. Whether these\n\nconstructions can be experimentally engineered is how-\n\never beyond the scope of this study. It is conceivable that\n\nother perturbative expansion can also generate these high\n\norder spin interactions, but this possibility will be left for\n\nfuture works.\n\nAcknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek\n\nKim and Arun Paramekanti for inspiring discussions, and\n\nTodadri Senthil for critical comments. The author is sup-\n\nported by the MIT Pappalardo Fellowship in Physics.\n\nAppendix A: Coupling between Distortions of a\n\nTetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref. 35 the cou-\n\nplings of all tetrahedron distortion modes to the spin\n\nsystem. And convert them to pseudo-spin notation in\n\nthe physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron,\n\nthe spin Hamiltonian becomes\n\nH cluster , SL = ( J cluster / 2)( � ℓ\n\nS ℓ ) 2 + J ′ � ℓ′ is the derivative of J cluster with respect to\n\nbond length.\n\nThere are six orthogonal distortion modes of the tetra-\n\nhedron [TABLE 1.1 in Ref. 35 ]. One of the modes A is the\n\ntrivial representation of the tetrahedral group T d ; two E\n\nmodes form the two dimensional irreducible representa-\n\ntion of T d ; and three T 2 modes form the three dimen-\n\nsional irreducible representation. The E modes are also\n\nillustrated in FIG. 3.\n\nThe generic couplings in (A1) [second term] can be\n\nconverted to couplings to these orthogonal modes,\n\nJ ′ ( Q A f A + Q E 1 f E 1 + Q E 2 f E 2 + Q T 2 1 f T 2 1 + Q T 2 2 f T 2 2 + Q T 2 3 f T 2 3 )\n\nwhere Q are generalized coordinates of the corresponding\n\nmodes, functions f can be read off from TABLE 1.2 of\n\nRef. 35 . For the A mode, δr ℓm = � 2 / 3 Q A , so f A is\n\nf A = � 2 / 3 ( S 1 · S 2 + S 3 · S 4 + S 1 · S 3\n\n+ S 2 · S 4 + S 1 · S 4 + S 2 · S 3 ) .\n\nThe functions f E 1 , 2 for the E modes have been given before but are reproduced here,\n\nf E 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 − S 1 · S 4 − S 2 · S 3 ) ,\n\nf E 1 = � 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3\n\n− 2 S 1 · S 2 − 2 S 3 · S 4 ) .\n\nThe functions f T 2 1 , 2 , 3 for the T 2 modes are\n\nf T 2 1 = ( S 2 · S 3 − S 1 · S 4 ) ,\n\nf T 2 2 = ( S 1 · S 3 − S 2 · S 4 ) ,\n\nf T 2 3 = ( S 1 · S 2 − S 3 · S 4 )\n\nNow we can use TABLE I to convert the above cou- plings into pseudo-spin. It is easy to see that f A and\n\nf T 2 1 , 2 , 3 are all zero when converted to pseudo-spins, namely\n\nprojected to the physical spin singlet sector. But f E 1 =\n\n( P 14 + P 23 + P 24 + P 13 − 2 P 12 − 2 P 34 ) / (4 √ 3) = − ( √ 3 / 2) τ x\n\nand f E 2 = ( P 24 + P 13 − P 14 − P 23 ) / 4 = ( √ 3 / 2) τ y . This has already been noted by Tchernyshyov et al. 28 , only\n\nthe E modes can lift the degeneracy of the physical spin\n\nsinglet ground states of the tetrahedron. Therefore the\n\ngeneral spin lattice coupling is the form of (12) given in\n\nthe main text.",
- "page_start": 7,
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- "text": "modes of neighboring tetrahedra. And these coupling\n\nconstants λ x,y,z need to be tuned to produce J x,y,z of\n\nthe Kitaev model. This is still not easy to implement in\n\nsolid state systems. At lowest non-trivial order of pertur-\n\nbative expansion, we do get our model (9). Higher order\n\nterms in expansion destroy the exact solvability, but may\n\nbe controlled by the small parameters λ x,y,z /k .\n\nB. Generate the High Order Terms by Magnetic\n\nInteractions between Clusters.\n\nIn this Subsection we consider more conventional per-\n\nturbations, magnetic interactions between the clusters,\n\ne.g. the Heisenberg coupling S j · S k with j and k belong\n\nto different tetrahedra. This has the advantage over the\n\nprevious phonon approach for not introducing additional\n\ndegrees of freedom. But it also has a significant disad-\n\nvantage: the perturbation does not commute with the\n\ncluster Heisenberg Hamiltonian (2), so the cluster sin-\n\nglet subspace will be mixed with other total spin states.\n\nIn this Subsection we will use the spin-chirality represen-\n\ntation (6) for τ z .\n\nAgain consider two clusters j and k . For simplicity\n\nof notations define a projection operator P jk = P j P k ,\n\nwhere P j,k is projection into the singlet subspace of clus-\n\nter j and k , respectively, P j,k = � s = ± 1 | τ z j,k = s ⟩⟨ τ z j,k =\n\ns | . For a given perturbation λ H perturbation with small\n\nparameter λ (in factor λ/J cluster is the expansion param-\n\neter), lowest two orders of the perturbation series are\n\nλ P jk H perturbation P jk + λ 2 P jk H perturbation (1 −P jk )\n\n× [0 − H cluster j − H cluster k ] − 1 (1 −P jk ) H perturbation P jk\n\n(15)\n\nWith proper choice of λ and H perturbation we can generate\n\nthe desired J x,y,z terms in (8) from the first and second\n\norder of perturbations.\n\nThe calculation can be dramatically simplified by the following fact that any physical spin-1/2 operator S x,y,z ℓ converts the cluster spin singlet states | τ z = ± 1 ⟩ into spin-1 states of the cluster. This can be checked by\n\nexplicit calculations and will not be proved here. For\n\nall the perturbations to be considered later, the above\n\nmentioned fact can be exploited to replace the factor\n\n[0 − H cluster j − H cluster k ] − 1 in the second order pertur-\n\nbation to a c -number ( − 2 J cluster ) − 1 .\n\nThe detailed calculations are given in Appendix B. We\n\nwill only list the results here.\n\nThe perturbation on x -links is given by\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 + sgn( J x ) · ( S j 2 · S k 2 )]\n\n− J x ( S j 1 · S j 2 + S k 1 · S k 2 ) .\n\nwhere λ x = � 12 | J x | · J cluster , sgn( J x ) = ± 1 is the sign of J x .\n\nThe perturbation on y -links is\n\nλ y H perturbation , y\n\n= λ y [ S j 1 · S k 1 + sgn( J y ) · ( S j 3 − S j 4 ) · ( S k 3 − S k 4 )]\n\n−| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = � 4 | J y | · J cluster .\n\nThe perturbation on z -links is\n\nλ z H perturbation , z\n\n= λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )]\n\n−| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) .\n\nwith λ z = 4 � | J z | · J cluster .\n\nThe entire Hamiltonian H magnetic reads explicitly as,\n\nH magnetic = � cluster j\n\n( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2\n\n+ � x − links �� 12 | J x | · J cluster � S j 1 · S k 1 + sgn( J x ) · ( S j 2 · S k 2 ) � − J x ( S j 1 · S j 2 + S k 1 · S k 2 ) �\n\n+ � y − links � � 4 | J y | · J cluster � S j 1 · ( S k 3 − S k 4 ) + sgn( J y ) S k 1 · ( S j 3 − S j 4 ) � −| J y | ( S j 3 · S j 4 + S k 3 · S k 4 ) �\n\n+ � z − links � 4 � | J z | · J cluster � S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) S k 2 · ( S j 3 × S j 4 ) � −| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) � .\n\n(16)\n\nIn (16), we have been able to reduce the four spin in-\n\nteractions in (8) to inter-cluster Heisenberg interactions,\n\nand the six-spin interactions in (8) to inter-cluster spin-\n\nchirality interactions. The inter-cluster Heisenberg cou-\n\nplings in H perturbation x,y may be easier to arrange. The\n\ninter-cluster spin-chirality coupling in H perturbation z ex-\n\nplicitly breaks time reversal symmetry and is probably\n\nharder to implement in solid state systems. However\n\nspin-chirality order may have important consequences\n\nin frustrated magnets 36,37 , and a realization of spin-",
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- "text": "## **References**\n\n[1] M. Sikora and G. Madejski, in *American Insti-*\n\n*tute of Physics Conference Series* , edited by F. A.\n\nAharonian and H. J. V¨olk (2001), vol. 558 of\n\n*American Institute of Physics Conference Series* ,\n\npp. 275- 288.\n\n[2] M. Sikora, in *Blazar Demographics and Physics* ,\n\nedited by P. Padovani and C. M. Urry (2001), vol.\n\n227 of *Astronomical Society of the Pacific Con-*\n\n*ference Series* , pp. 95- 104.\n\n[3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H.\n\nHughes, W. K. Gear, H. Terasranta, E. Valtaoja,\n\nand M. Tornikoski, ApJ **437** , 91 (1994).\n\n[4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl\n\n**616** , L1 (2004).\n\n[5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R.\n\nDarrah, and C. A. Katz, in *From Z-Machines to*\n\n*ALMA: (Sub)Millimeter Spectroscopy of Galax-*\n\n*ies* , edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375\n\nof *Astronomical Society of the Pacific Conference*\n\n*Series* , p. 234.\n\n[6] S. E. Healey, R. W. Romani, G. Cotter, P. F.\n\nMichelson, E. F. Schlafly, A. C. S. Readhead,\n\nP. Giommi, S. Chaty, I. A. Grenier, and L. C.\n\nWeintraub, ApJS **175** , 97 (2008).\n\n[7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. At-\n\nwood, M. Axelsson, L. Baldini, J. Ballet, G. Bar-\n\nbiellini, D. Bastieri, B. M. Baughman, et al., ApJ\n\n**700** , 597 (2009).\n\n[8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Val-\n\ntaoja, M. F. Aller, and H. D. Aller, A&A **485** , 51\n\n(2008).\n\n[9] B. C. Kelly, J. Bechtold, and A. Siemiginowska,\n\nApJ **698** , 895 (2009).\n\n[10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ\n\n**675** , 71 (2008).\n\n**eConf C091122**",
- "page_start": 5,
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- "source_file": "1001.0806.pdf"
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- "text": "#### b. Annihilation into ν s , ν s (heavy sterile-like neutrinos)\n\n|M| 2 =\n\n32 ���� g 2 B − L q f q N s − M 2 Z ′ + iM Z ′ Γ Z ′ ���� 2\n\n( s − 4 m 2 N ) � 3 8 s − 1 2 � s 2 + m 2 ν s � + 1 2 � s 4 + m 2 ν s � cos 2 θ �\n\n+4 λ 2 N λ 2 ν s ���� ∂ Ψ\n\n∂h\n\ni\n\ns − M 2 h + iM h Γ h\n\n∂ Ψ ∂h + ∂ Ψ ∂H\n\ni\n\ns − M 2 H + iM H Γ H\n\n∂ Ψ\n\n∂H ���� 2\n\n( s − 4 m 2 N )( s − 4 m 2 ν s ) .\n\n(B3)\n\n### 3. Annihilation into W + W −\n\n|M| 2 = 8 λ 2 N � 1 2 g 2 v � 2 ���� ∂ Ψ\n\n∂h\n\n1\n\ns − M 2 h + iM h Γ h\n\n∂φ ∂h + ∂ Ψ ∂H\n\n1\n\ns − M 2 H + iM H Γ H\n\n∂φ\n\n∂H ���� 2\n\n( s − 4 m 2 N ) � 1 + 1\n\n2 M 4 W � s 2 − M 2 W � 2 � . (B4)\n\n### 4. Annihilation into ZZ\n\n|M| 2 = 8 λ 2 N � 1 4 ( g 2 + g ′ 2 ) v � 2 ���� ∂ Ψ\n\n∂h\n\n1\n\ns − M 2 h + iM h Γ h\n\n∂φ ∂h + ∂ Ψ ∂H\n\n1\n\ns − M 2 H + iM H Γ H\n\n∂φ\n\n∂H ���� 2\n\n( s − 4 m 2 N ) � 1 + 1\n\n2 M 4 Z � s 2 − M 2 Z � 2 � . (B5)\n\n### 5. Annihilation into hh\n\nM 1 denotes the amplitude by s -channel Higgs bosons h and H exchange, while M 2 does\n\nthat for t ( u )-channel N exchange diagram. The formulas for NN → hH and HH can be\n\nobtained by appropriate replacement of the vertexes, e.g., λ hhh → λ hhH .\n\n|M| 2 = |M 1 + M 2 | 2 , (B6)\n\n|M 1 | 2 = λ 2 N � s 2 − 2 m 2 N � ���� ∂ Ψ\n\n∂h\n\ni\n\ns − M 2 h + iM h Γ h iλ hhh + ∂ Ψ ∂H\n\ni\n\ns − M 2 H + iM H Γ H iλ Hhh ���� 2\n\n, (B7)\n\n11",
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- "source_file": "1002.2525.pdf"
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- "text": "tion of correlated VHE and X-ray flux variability, as\n\nwell as correlated spectral hardening in both the VHE\n\nand X-ray bands. The VHE MWL observations were\n\nperformed in both ”quiescent” and flaring states for\n\nsome of the observed blazars. For the observed HBL\n\nobjects, the SEDs can be well described by a simple\n\nSSC model in both high and low states. However, an\n\nadditional external Compton component is necessary\n\nto adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant im-\n\npact on the blazar KSP. In future seasons, the VER-\n\nITAS blazar discovery program will focus its dis-\n\ncovery program on hard-spectrum blazars detected\n\nby Fermi-LAT, and will likely have a greater focus\n\non high-risk/high-reward objects at larger redshifts\n\n(0 . 3 < z < 0 . 7). In addition, the number of VHE\n\nblazars studied in pre-planned MWL campaigns will\n\nincrease as data from the Fermi-LAT will be publicly\n\navailable. In particular, the extensive pre-planned\n\nMWL campaigns will focus on objects that are note-\n\nworthy for the impact their data may have on under-\n\nstanding the EBL. The simultaneous observations of\n\nblazars by VERITAS and Fermi-LAT will completely\n\nresolve the higher-energy SED peak, often for the first\n\ntime, enabling unprecedented constraints on the un-\n\nderlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US\n\nDepartment of Energy, the US National Science Foun-\n\ndation, and the Smithsonian Institution, by NSERC in\n\nCanada, by Science Foundation Ireland, and by STFC\n\nin the UK. We acknowledge the excellent work of the\n\ntechnical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation\n\nof the instrument.\n\n### **References**\n\n[1] F. Aharonian et al. 2007, ApJ , 664 , L71\n\n[2] F. Aharonian et al. 2006, Nature , 440 , 1018\n\n[3] F. Aharonian et al. 2007, A&A , 475 , L9\n\n[4] J. Holder, et al. 2008, AIPC , 1085 , 657\n\n[5] L. Costamante & G. Ghisellini 2002, A&A , 384 ,\n\n56\n\n[6] E.S. Perlman 2000, AIPC , 515 , 53\n\n[7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n\n[8] P. Giommi et al. 2005, A&A , 434 , 385\n\n[9] S. Turriziani et al. 2007, A&A , 472 , 699\n\n[10] L. Costamante 2006, arXiv:0612709\n\n[11] P. Padovani et al. 2002, ApJ , 581 , 895\n\n[12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n\n[13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n\n[14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n\n[15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n\n[16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n\n[17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n\n[[18] L.C. Reyes 2009, arXiv:0907.5175](http://arxiv.org/abs/0907.5175)\n\n[19] R.A. Ong 2009, ATel , 1941\n\n[20] R.A. Ong et al. 2009, ATel , 2272\n\n[21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n\n[22] R.A. Ong et al. 2009, ATel , 2301\n\n[23] R.A. Ong et al. 2009, ATel , 2260\n\n[24] R.A. Ong et al. 2009, ATel , 2309\n\n[[25] W. Benbow 2009, arXiv:0908.1412](http://arxiv.org/abs/0908.1412)\n\n[26] V.A. Acciari et al. 2009, ApJ , submitted\n\n[27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n\n[28] V.A. Acciari et al. 2009, ApJ , in press\n\n[[29] J. Grube 2009, arXiv:0907.4862](http://arxiv.org/abs/0907.4862)\n\neConf C091122",
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- "query": "What happens when the spin-rotation symmetry is explicitly broken?",
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- "text": "form\n\nJ ′ ( Q E 1 f E 1 + Q E 2 f E 2 )\n\nwhere J ′ is the derivative of Heisenberg coupling J cluster\n\nbetween two spins ℓ and m with respect to their distance\n\nr ℓm , J ′ = d J cluster / d r ℓm ; Q E 1 , 2 are the generalized coor-\n\ndinates of these two modes; and the functions f E 1 , 2 are\n\nf E 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 − S 1 · S 4 − S 2 · S 3 ) ,\n\nf E 1 = � 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3\n\n− 2 S 1 · S 2 − 2 S 3 · S 4 ) .\n\nAccording to TABLE I we have f E 1 = − ( √ 3 / 2) τ x and\n\nf E 2 = ( √ 3 / 2) τ y . Then the coupling becomes\n\n( √ 3 / 2) J ′ ( − Q E 1 τ x + Q E 2 τ y ) (12)\n\nThe spin-lattice(SL) Hamiltonian on a single cluster j\n\nis [equation (1.8) in Ref. 35 ],\n\nH cluster j, SL = H cluster j + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2\n\n− √ 3 2 J ′ ( Q E 1 j τ x j − Q E 2 j τ y j ) ,\n\n(13)\n\nwhere k > 0 is the elastic constant for these phonon modes, J ′ is the spin-lattice coupling constant, Q E 1 j and\n\nQ E 2 j are the generalized coordinates of the Q E 1 and Q E 2\n\ndistortion modes of cluster j , H cluster j is (2). As al-\n\nready noted in Ref. 35 , this model does not really break\n\nthe pseudo-spin rotation symmetry of a single cluster.\n\nNow we put two clusters j and k together, and in-\n\nclude a perturbation λ H perturbation to the optical phonon\n\nHamiltonian,\n\nH jk, SL = H cluster j, SL + H cluster k, SL\n\n+ λ H perturbation [ Q E 1 j , Q E 2 j , Q E 1 k , Q E 2 k ]\n\nwhere λ (in fact λ/k ) is the expansion parameter.\n\nConsider the perturbation H perturbation = Q E 1 j · Q E 1 k ,\n\nwhich means a coupling between the Q E 1 distortion\n\nmodes of the two tetrahedra. Integrate out the optical\n\nphonons, at lowest non-trivial order, it produces a term (3 J ′ 2 λ ) / (4 k 2 ) τ x j · τ x k . This can be seen by minimizing separately the two cluster Hamiltonians with respect to\n\nQ E 1 , which gives Q E 1 = ( √ 3 J ′ ) / (2 k ) τ x , then plug this\n\ninto the perturbation term. Thus we have produced the\n\nJ x term in the Kitaev model with J x = − (3 J ′ 2 λ ) / (4 k 2 ).\n\nSimilarly the perturbation H perturbation = Q E 2 j · Q E 2 k will generate (3 J ′ 2 λ ) / (4 k 2 ) τ y j · τ y k at lowest non-trivial\n\norder. So we can make J y = − (3 J ′ 2 λ ) / (4 k 2 ).\n\nThe τ z j · τ z k coupling is more difficult to get. We treat it as − τ x j τ y j · τ x k τ y k . By the above reasoning, we\n\nneed an anharmonic coupling H perturbation = Q E 1 j Q E 2 j · Q E 1 k Q E 2 k . It will produce at lowest non-trivial or- der (9 J ′ 4 λ ) / (16 k 4 ) τ x j τ y j · τ x k τ y k . Thus we have J z = (9 J ′ 4 λ ) / (16 k 4 ).\n\nFinally we have made up a spin-lattice model H SL ,\n\nwhich involves only S ℓ · S m interaction for physical spins,\n\nH SL = � cluster\n\nH cluster , SL + � x − links \n\nλ x Q E 1 j · Q E 1 k\n\n+ � y − links \n\nλ y Q E 2 j · Q E 2 k\n\n+ � z − links \n\nλ z Q E 1 j Q E 2 j · Q E 1 k Q E 2 k\n\nwhere Q E 1 j is the generalized coordinate for the Q E 1 mode\n\non cluster j , and Q E 1 k , Q E 2 j , Q E 2 k are similarly defined;\n\nλ x,y = − (4 J x,y k 2 ) / (3 J ′ 2 ) and λ z = (16 J z k 4 ) / (9 J ′ 4 ); the\n\nsingle cluster spin-lattice Hamiltonian H cluster , SL is (13).\n\nCollect the results above we have the spin-lattice\n\nHamiltonian H SL explicitly written as,\n\nH SL = � cluster j\n\n� ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2\n\n+ J ′ � Q E 1 j\n\nS j 1 · S j 4 + S j 2 · S j 3 + S j 2 · S j 4 + S j 1 · S j 3 − 2 S j 1 · S j 2 − 2 S j 3 · S j 4 √ 12\n\n+ Q E 2 j\n\nS j 2 · S j 4 + S j 1 · S j 3 − S j 1 · S j 4 − S j 2 · S j 3\n\n2 ��\n\n− � x − links \n\n4 J x k 2 3 J ′ 2 Q E 1 j · Q E 1 k − � y − links \n\n4 J y k 2 3 J ′ 2 Q E 2 j · Q E 2 k + � z − links \n\n16 J z k 4\n\n9 J ′ 4 Q E 1 j Q E 2 j · Q E 1 k Q E 2 k\n\n(14)\n\nThe single cluster spin-lattice Hamiltonian [first three\n\nlines in (14)] is quite natural. However we need some\n\nharmonic(on x - and y -links of honeycomb lattice) and an-\n\nharmonic coupling (on z -links) between optical phonon",
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- "text": "10\n\nthis term becomes\n\n− λ 2\n\n6 J cluster · (3 / 4)[3 / 16 + ( τ x / 2 − 1 / 4) 2 ]\n\n= − ( λ 2 ) / (32 J cluster ) · (2 − τ x k ) .\n\nAnother second order perturbation term r 2 λ 2 P jk S k 2 · ( S j 3 × S j 4 )(1 −P jk )[0 − H cluster j − H cluster k ] − 1 (1 − P jk ) S k 2 · ( S j 3 × S j 4 ) P jk can be computed in the similar way and gives the result − ( r 2 λ 2 ) / (32 J cluster ) · (2 − τ x j ). For one of the cross term\n\nr λ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 −P jk )\n\n× [0 − H cluster j − H cluster k ] − 1\n\n× (1 −P jk ) S k 2 · ( S j 3 × S j 4 ) P jk\n\nWe can use the previous argument for both cluster j and\n\nk , so (1 −P AB )[0 − H cluster j − H cluster k ] − 1 (1 −P jk ) can be\n\nreplace by c -number ( − 2 J cluster ) − 1 . This term becomes\n\n− r λ 2\n\n2 J cluster P jk [ S j 2 · ( S k 3 × S k 4 )][ S k 2 · ( S j 3 × S j 3 )] P jk .\n\nSpin rotation symmetry again helps to separate the terms\n\nfor cluster j and k , and we get − ( r λ 2 ) / (32 J cluster ) · τ z j τ z k . The other cross term r λ 2 P jk S k 2 · ( S j 3 × S j 4 )(1 − P jk )[0 − H cluster j − H cluster k ] − 1 (1 −P jk ) S j 2 · ( S k 3 × S k 4 ) P jk gives the same result.\n\nIn summary the second order perturbation from λ [ S j 2 · ( S j 3 × S j 4 ) + r S k 2 · ( S j 3 × S j 4 )] is\n\n− r λ 2\n\n16 J cluster · τ z j τ z k + λ 2\n\n32 J cluster\n\n( τ x k + r 2 τ x j − 2 r 2 − 2) .\n\nUsing this result we can choose the following pertur-\n\nbation on z -links,\n\nλ z H perturbation , z\n\n= λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )]\n\n−| J z | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ z = 4 � | J z | J cluster , r = sgn( J z ) is the sign of J z .\n\nThe last term on the right-hand-side is to cancel the non- trivial terms ( r 2 τ x j + τ x k ) λ 2 z / (32 J cluster ) from the second\n\norder perturbation of the first term. Up to second order\n\nperturbation this will produce − J z τ z j τ z k interactions.\n\nFinally we have been able to reduce the high order\n\ninteractions to at most three spin terms, the Hamiltonian\n\nH magnetic is\n\nH magnetic = � j\n\nH cluster j + � x − links \n\nλ x H perturbation x\n\n+ � y − links \n\nλ y H perturbation y\n\n+ � z − links \n\nλ z H perturbation z\n\nwhere H cluster j are given by (2), λ x,y,z H perturbation x,y,z\n\nare given above. Plug in relevant equations we get (16)\n\nin Subsection IV B.\n\n1 Alexei Kitaev, Ann. Phys. (N.Y.) 321 , 2 (2006). 2 Xiao-Yong Feng, Guang-Ming Zhang, Tao Xiang, Phys.\n\nRev. Lett. 98 , 087204 (2007). 3 Han-Dong Chen, Zohar Nussinov, J. Phys. A: Math.\n\nTheor. 41 , 075001 (2008). 4 Dung-Hai Lee, Guang-Ming Zhang, Tao Xiang, Phys. Rev.\n\nLett. 99 , 196805 (2007). 5 Yue Yu, Nucl. Phys. B 799 , 345 (2008). 6 Yue Yu, Ziqiang Wang, Europhys. Lett. 84 , 57002 (2008). 7 G. Kells, J. K. Slingerland, J. Vala, Phys. Rev. B 80 ,\n\n125415 (2009). 8 [ Han-Dong Chen, B. Wang, S. Das Sarma, arXiv:0906.0017](http://arxiv.org/abs/0906.0017)\n\n(2009). 9 K.P. Schmidt, S. Dusuel, and J. Vidal, Phys. Rev. Lett.\n\n100 , 057208 (2008); J. Vidal, K.P. Schmidt, and S. Dusuel,\n\nPhys. Rev. B 78 , 245121 (2008); S. Dusuel, K.P. Schmidt,\n\nJ. Vidal, and R.L. Zaffino, Phys. Rev. B 78 , 125102 (2008). 10 Hong Yao, Steven A. Kivelson, Phys. Rev. Lett. 99 , 247203\n\n(2007). 11 S. Yang, D. L. Zhou, C. P. Sun, Phys. Rev. B 76 ,\n\n180404(R) (2007). 12 Hong Yao, Shou-Cheng Zhang, Steven A. Kivelson, Phys.\n\nRev. Lett. 102 , 217202 (2009). 13 Zohar Nussinov, Gerardo Ortiz, Phys. Rev. B 79 , 214440\n\n(2009). 14 Congjun Wu, Daniel Arovas, Hsiang-Hsuan Hung, Phys.\n\nRev. B 79 , 134427 (2009). 15 Shinsei Ryu, Phys. Rev. B 79 , 075124 (2009). 16 [ G. Baskaran, G. Santhosh, R. Shankar, arXiv:0908.1614](http://arxiv.org/abs/0908.1614)\n\n(2009). 17 L.-M. Duan, E. Demler, M. D. Lukin, Phys. Rev. Lett. 91 ,\n\n090402 (2003). 18 A. Micheli, G. K. Brennen, P. Zoller, Nature Physics 2 ,\n\n341 (2006). 19 J. Q. You, Xiao-Feng Shi, Xuedong Hu, Franco Nori, Phys.\n\nRev. B 81 , 014505 (2010). 20 G. Jackeli, G. Khaliullin, Phys. Rev. Lett. 102 , 017205\n\n(2009). 21 A. B. Harris, A. J. Berlinsky, C. Bruder, J. Appl. Phys.\n\n69 , 5200 (1991). 22 K. A. Chao, J. Spa�lek, A. M. Ole´s, Phys. Rev. B 18 , 3453\n\n(1978). 23 A. H. MacDonald, S. M. Girvin, D. Yoshioka, Phys. Rev.\n\nB 37 , 9753 (1988). 24 J. T. Chayes, L. Chayes, S. A. Kivelson, Commun. Math.\n\nPhys. 123 , 53 (1989). 25 C. D. Batista, S. A. Trugman, Phys. Rev. Lett. 93 , 217202\n\n(2004).",
- "page_start": 9,
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- "source_file": "1001.0266.pdf"
- },
- {
- "text": "#### b. Annihilation into ν s , ν s (heavy sterile-like neutrinos)\n\n|M| 2 =\n\n32 ���� g 2 B − L q f q N s − M 2 Z ′ + iM Z ′ Γ Z ′ ���� 2\n\n( s − 4 m 2 N ) � 3 8 s − 1 2 � s 2 + m 2 ν s � + 1 2 � s 4 + m 2 ν s � cos 2 θ �\n\n+4 λ 2 N λ 2 ν s ���� ∂ Ψ\n\n∂h\n\ni\n\ns − M 2 h + iM h Γ h\n\n∂ Ψ ∂h + ∂ Ψ ∂H\n\ni\n\ns − M 2 H + iM H Γ H\n\n∂ Ψ\n\n∂H ���� 2\n\n( s − 4 m 2 N )( s − 4 m 2 ν s ) .\n\n(B3)\n\n### 3. Annihilation into W + W −\n\n|M| 2 = 8 λ 2 N � 1 2 g 2 v � 2 ���� ∂ Ψ\n\n∂h\n\n1\n\ns − M 2 h + iM h Γ h\n\n∂φ ∂h + ∂ Ψ ∂H\n\n1\n\ns − M 2 H + iM H Γ H\n\n∂φ\n\n∂H ���� 2\n\n( s − 4 m 2 N ) � 1 + 1\n\n2 M 4 W � s 2 − M 2 W � 2 � . (B4)\n\n### 4. Annihilation into ZZ\n\n|M| 2 = 8 λ 2 N � 1 4 ( g 2 + g ′ 2 ) v � 2 ���� ∂ Ψ\n\n∂h\n\n1\n\ns − M 2 h + iM h Γ h\n\n∂φ ∂h + ∂ Ψ ∂H\n\n1\n\ns − M 2 H + iM H Γ H\n\n∂φ\n\n∂H ���� 2\n\n( s − 4 m 2 N ) � 1 + 1\n\n2 M 4 Z � s 2 − M 2 Z � 2 � . (B5)\n\n### 5. Annihilation into hh\n\nM 1 denotes the amplitude by s -channel Higgs bosons h and H exchange, while M 2 does\n\nthat for t ( u )-channel N exchange diagram. The formulas for NN → hH and HH can be\n\nobtained by appropriate replacement of the vertexes, e.g., λ hhh → λ hhH .\n\n|M| 2 = |M 1 + M 2 | 2 , (B6)\n\n|M 1 | 2 = λ 2 N � s 2 − 2 m 2 N � ���� ∂ Ψ\n\n∂h\n\ni\n\ns − M 2 h + iM h Γ h iλ hhh + ∂ Ψ ∂H\n\ni\n\ns − M 2 H + iM H Γ H iλ Hhh ���� 2\n\n, (B7)\n\n11",
- "page_start": 10,
- "page_end": 10,
- "source_file": "1002.2525.pdf"
- },
- {
- "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\n\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44 ,\n\n912 (1980).\n\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44 , 1316 (1980) [Erratum-ibid. 44 ,\n\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91 , 222 (1980).\n\n[3] S. Khalil, J. Phys. G 35 , 055001 (2008).\n\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676 , 81 (2009); Phys. Rev. D 80 , 115007\n\n(2009).\n\n[5] W. Emam and S. Khalil, Eur. Phys. J. C 522 , 625 (2007).\n\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101 , 181802 (2008).\n\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80 , 055030\n\n(2009).\n\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80 , 073015 (2009).\n\n[9] S. Khalil and O. Seto, JCAP 0810 , 024 (2008).\n\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70 , 093009 (2004).\n\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74 , 033011 (2006).\n\n[12] S. Dawson and W. Yan, Phys. Rev. D 79 , 095002 (2009).\n\n[[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].](http://arxiv.org/abs/1002.1939)\n\n[14] E. W. Kolb and M. S. Turner, The Early Universe , Addison-Wesley (1990).\n\n[15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170 , 377 (2007).\n\n[16] J. McDonald, Phys. Rev. D 50 , 3637 (1994).\n\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619 , 709 (2001).\n\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609 , 117 (2005).\n\n[19] T. Kikuchi and N. Okada, Phys. Lett. B 665 , 186 (2008).\n\n[20] C. E. Yaguna, JCAP 0903 , 003 (2009).\n\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67 , 085002 (2003).\n\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67 , 043516 (2003).\n\n[23] K. Cheung and O. Seto, Phys. Rev. D 69 , 113009 (2004).\n\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n\n[25] Z. Ahmed et al. [ [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].](http://arxiv.org/abs/0912.3592)\n\n[[26] http://xenon.astro.columbia.edu/.](http://xenon.astro.columbia.edu/)\n\n13",
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- "page_start": 13,
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- "text": "Appendix B: Derivation of the Terms Generated by\n\nSecond Order Perturbation of Inter-cluster\n\nMagnetic Interactions\n\nIn this Appendix we derive the second order pertur-\n\nbations of inter-cluster Heisenberg and spin-chirality in-\n\nteractions. The results can then be used to construct\n\n(16).\n\nFirst consider the perturbation λ H perturbation = λ [ S j 1 · S k 1 + r ( S j 2 · S k 2 )], where r is a real number to be tuned\n\nlater. Due to the fact mentioned in Subsection IV B,\n\nthe action of H perturbation on any cluster singlet state\n\nwill produce a state with total spin-1 for both cluster j\n\nand k . Thus the first order perturbation in (15) van-\n\nishes. And the second order perturbation term can be\n\ngreatly simplified: operator (1 −P jk )[0 − H cluster j − H cluster k ] − 1 (1 −P jk ) can be replaced by a c -number\n\n( − 2 J cluster ) − 1 . Therefore the perturbation up to second\n\norder is\n\n− λ 2\n\n2 J cluster P jk ( H perturbation ) 2 P jk\n\nThis is true for other perturbations considered later in\n\nthis Appendix. The cluster j and cluster k parts can be\n\nseparated, this term then becomes ( a, b = x, y, z ),\n\n− λ 2\n\n2 J cluster � a,b � P j S a j 1 S b j 1 P j · P k S a k 1 S b k 1 P k\n\n+ 2 r P j S a j 1 S b j 2 P j · P k S a k 1 S b k 2 P k + r 2 P j S a j 2 S b j 2 P j · P k S a k 2 S b k 2 P k �\n\nThen use the fact that P j S a jℓ S b jm P j = δ ab (1 / 3) P j ( S jℓ · S jm ) P j by spin rotation symmetry, the perturbation be-\n\ncomes\n\n− λ 2\n\n6 J cluster � 9 + 9 r 2\n\n16 + 2 r P jk ( S j 1 · S j 2 )( S k 1 · S k 2 ) P jk �\n\n= − λ 2\n\n6 J cluster � 9 + 9 r 2\n\n16 + ( r/ 2) τ x j τ x k − r/ 2\n\n− r P jk ( S j 1 · S j 2 + S k 1 · S k 2 ) P jk � .\n\nSo we can choose − ( r λ 2 ) / (12 J cluster ) = − J x , and include\n\nthe last intra-cluster S j 1 · S j 2 + S k 1 · S k 2 term in the first\n\norder perturbation.\n\nThe perturbation on x -links is then (not unique),\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 + sgn( J x ) · ( S j 2 · S k 2 )]\n\n− J x ( S j 1 · S j 2 + S k 1 · S k 2 )\n\nwith λ x = � 12 | J x | · J cluster , and r = sgn( J x ) is the sign\n\nof J x . The non-trivial terms produced by up to second\n\norder perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster\n\nHamiltonians so it does not produce second or higher\n\norder perturbations.\n\nSimilarly considering the following perturbation on y -\n\nlinks, λ H perturbation = λ [ S j 1 · ( S k 3 − S k 4 ) + r S k 1 · ( S j 3 − S j 4 )]. Following similar procedures we get the second\n\norder perturbation from this term\n\n− λ 2\n\n6 J cluster � 9 + 9 r 2\n\n8\n\n+ 2 r P jk [ S j 1 · ( S j 3 − S j 4 )][ S k 1 · ( S k 3 − S k 4 )] P jk\n\n− (3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk �\n\n= − λ 2\n\n6 J cluster � 9 + 9 r 2\n\n8 + 2 r (3 / 4) τ y j τ y k\n\n− (3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk �\n\nSo we can choose − ( r λ 2 ) / (4 J cluster ) = − J y , and include\n\nthe last intra-cluster S k 3 · S k 4 + r 2 S j 3 · S j 4 term in the\n\nfirst order perturbation.\n\nTherefore we can choose the following perturbation on\n\ny -links (not unique),\n\nλ y H perturbation , y\n\n= λ y [ S j 1 · S k 1 + sgn( J y ) · ( S j 3 − S j 4 ) · ( S k 3 − S k 4 )]\n\n−| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = � 4 | J y | · J cluster , r = sgn( J y ) is the sign of J y .\n\nThe τ z j τ z k term is again more difficult to get. We use the representation of τ z by spin-chirality (6). And con-\n\nsider the following perturbation\n\nH perturbation = S j 2 · ( S j 3 × S j 4 ) + r S k 2 · ( S j 3 × S j 4 )\n\nThe first order term in (15) vanishes due to the same\n\nreason as before. There are four terms in the second\n\norder perturbation. The first one is\n\nλ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 −P jk )\n\n× [0 − H cluster j − H cluster k ] − 1\n\n× (1 −P jk ) S j 2 · ( S k 3 × S k 4 ) P jk\n\nFor the cluster j part we can use the same arguments\n\nas before, the H cluster j can be replaced by a c -number\n\nJ cluster . For the cluster k part, consider the fact that\n\nS k 3 × S k 4 equals to the commutator − i [ S k 4 , S k 3 · S k 4 ],\n\nthe action of S k 3 × S k 4 on physical singlet states of k will\n\nalso only produce spin-1 state. So we can replace the\n\nH cluster k in the denominator by a c -number J cluster as\n\nwell. Use spin rotation symmetry to separate the j and\n\nk parts, this term simplifies to\n\n− λ 2\n\n6 J cluster P j S j 2 · S j 2 P j · P k ( S k 3 × S k 4 ) · ( S k 3 × S k 4 ) P k .\n\nUse ( S ) 2 = 3 / 4 and\n\n( S k 3 × S k 4 ) · ( S k 3 × S k 4 )\n\n= � a,b\n\n( S a k 3 S b k 4 S a k 3 S b k 4 − S a k 3 S b k 4 S b k 3 S a k 4 )\n\n= ( S k 3 · S k 3 )( S k 4 · S k 4 ) − � a,b\n\nS a k 3 S b k 3 [ δ ab / 2 − S a k 4 S b k 4 ]\n\n= 9 / 16 + ( S k 3 · S k 4 )( S k 3 · S k 4 ) − (3 / 8)",
- "page_start": 8,
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- "text": "Another note to take is that it is not necessary to have\n\nsuch a highly symmetric cluster Hamiltonian (2). The\n\nmappings to pseudo-spin-1/2 should work as long as the\n\nground states of the cluster Hamiltonian are the two-fold\n\ndegenerate singlets. One generalization, which conforms\n\nthe symmetry of the lattice in FIG. 2, is to have\n\nH cluster = ( J cluster / 2)( r · S 1 + S 2 + S 3 + S 4 ) 2 (11)\n\nwith J cluster > 0 and 0 < r < 3. However this is not\n\nconvenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its\n\nlow energy states are entirely in the space that each of the\n\nclusters is a physical spin singlet (called cluster singlet\n\nsubspace hereafter). Therefore physical spin correlations\n\nare strictly confined within each cluster. The excitations\n\ncarrying physical spin are gapped, and their dynamics\n\nare ‘trivial’ in the sense that they do not move from one\n\ncluster to another. But there are non-trivial low energy\n\nphysical spin singlet excitations, described by the pseudo-\n\nspins defined above. The correlations of the pseudo-spins\n\ncan be mapped to correlations of their corresponding\n\nphysical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation\n\nbecomes chirality-chirality correlation, or four-dimer cor-\n\nrelation. It will be interesting to see the corresponding\n\npicture of the exotic excitations in the Kitaev model, e.g.\n\nthe Majorana fermion and the Ising vortex. However this\n\nwill be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liq-\n\nuid with spin gap ( ∼ J cluster ), an extremely short-range\n\nresonating valence bond(RVB) state, from a model with\n\nspin rotation and time reversal symmetry. However it\n\nshould be noted that the unit cell of this model contains\n\nan even number of spin-1/2 moments (so does the orig-\n\ninal Kitaev model) which does not satisfy the stringent\n\ndefinition of spin liquid requiring odd number of elec-\n\ntrons per unit cell. Several parent Hamiltonians of spin\n\nliquids have already been constructed. See for example,\n\nRef. 24- 27 .\n\nIV. GENERATE THE HIGH ORDER PHYSICAL\n\nSPIN INTERACTIONS BY PERTURBATIVE\n\nEXPANSION.\n\nOne major drawback of the present construction is that\n\nit involves high order interactions of physical spins[see\n\n(8) and (9)], thus is ‘unnatural’. In this Section we will\n\nmake compromises between exact solvability and natu-\n\nralness. We consider two clusters j and k and try to\n\ngenerate the J x,y,z interactions in (7) from perturbation\n\nseries expansion of more natural(lower order) physical\n\nspin interactions. Two different approaches for this pur-\n\npose will be laid out in the following two Subsections. In\n\nSubsection IV A we will consider the two clusters as two\n\ntetrahedra, and couple the spin system to certain opti-\n\ncal phonons, further coupling between the phonon modes\n\n(a) (b) (c) (d)\n\n(b) (c) (d)\n\n### Q E 2\n\n### Q E 1\n\n(a)\n\n1 1 1 1\n\n1 1 1\n\n2\n\n2\n\n2\n\n2\n\n2\n\n2 2\n\n2\n\n3\n\n3\n\n3 3 3\n\n3 3 4 4\n\n4 4\n\n3\n\n4\n\n4\n\n4\n\n4\n\n1\n\nFIG. 3: Illustration of the tetragonal to orthorhombic\n\nQ E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective\n\nview of the tetrahedron. 1 , . . . , 4 label the spins. Arrows in-\n\ndicate the motion of each spin under the distortion mode. (b)\n\nTop view of (a). (c)(d) Side view of (a).\n\nof the two clusters can generate at lowest order the de-\n\nsired high order spin interactions. In Subsection IV B we\n\nwill introduce certain magnetic, e.g. Heisenberg-type, in-\n\nteractions between physical spins of different clusters, at\n\nlowest order(second order) of perturbation theory the de-\n\nsired high order spin interactions can be achieved. These\n\napproaches involve truncation errors in the perturbation\n\nseries, thus the mapping to low energy effect Hamilto-\n\nnian will no longer be exact. However the error intro-\n\nduced may be controlled by small expansion parameters.\n\nIn this Section we denote the physical spins on cluster\n\nj ( k ) as j 1 , . . . , j 4 ( k 1 , . . . , k 4), and denote pseudo-spins\n\non cluster j ( k ) as ⃗τ j ( ⃗τ k ).\n\nA. Generate the High Order Terms by Coupling to\n\nOptical Phonon.\n\nIn this Subsection we regard each four-spin cluster\n\nas a tetrahedron, and consider possible optical phonon\n\nmodes(distortions) and their couplings to the spin sys-\n\ntem. The basic idea is that the intra-cluster Heisen-\n\nberg coupling J cluster can linearly depend on the dis-\n\ntance between physical spins. Therefore certain distor-\n\ntions of the tetrahedron couple to certain linear combi-\n\nnations of S ℓ · S m . Integrating out phonon modes will\n\nthen generate high order spin interactions. This idea has\n\nbeen extensively studied and applied to several magnetic\n\nmaterials 28- 34 . More details can be found in a recent\n\nreview by Tchernyshyov and Chern 35 . And we will fre-\n\nquently use their notations. In this Subsection we will\n\nuse the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins\n\n1 , . . . , 4. The general distortions of this tetrahedron can\n\nbe classified by their symmetry (see for example Ref. 35 ).\n\nOnly two tetragonal to orthorhombic distortion modes,\n\nQ E 1 and Q E 2 (illustrated in FIG. 3), couple to the pseudo- spins defined in Section II. A complete analysis of all\n\nmodes is given in Appendix A. The coupling is of the",
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- "text": "Plug in the expressions (4) and (6) into (7), the Hamil- tonian reads explicitly as\n\nH = � j\n\n( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 − � z − links \n\nJ z (16 / 9)[ S j 2 · ( S j 3 × S j 4 )][ S k 2 · ( S k 3 × S k 4 )]\n\n− � x − links \n\nJ x (2 S j 1 · S j 2 + 1 / 2)(2 S k 1 · S k 2 + 1 / 2) − � y − links \n\nJ y (4 / 3)[ S j 1 · ( S j 3 − S j 4 )][ S k 1 · ( S k 3 − S k 4 )]\n\n(8)\n\nWhile by the represenation (4) and (5), the Hamilto- nian becomes\n\nH = � j\n\n( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2\n\n− � x − links \n\nJ x (2 S j 1 · S j 2 + 1 / 2)(2 S k 1 · S k 2 + 1 / 2) − � y − links \n\nJ y (4 / 3)[ S j 1 · ( S j 3 − S j 4 )][ S k 1 · ( S k 3 − S k 4 )]\n\n− � z − links \n\nJ z ( − 4 / 3)(2 S j 3 · S j 4 + 1 / 2)[ S j 1 · ( S j 3 − S j 4 )](2 S k 3 · S k 4 + 1 / 2)[ S k 1 · ( S k 3 − S k 4 )]\n\n(9)\n\nThis model, in terms of physical spins S , has full\n\nspin rotation symmetry and time-reversal symmetry. A\n\npseudo-magnetic field term � j ⃗h · ⃗τ j term can also be included under this mapping, however the resulting Ki-\n\ntaev model with magnetic field is not exactly solvable.\n\nIt is quite curious that such a formidably looking Hamil-\n\ntonian (8), with biquadratic and six-spin(or eight-spin)\n\nterms, has an exactly solvable low energy sector.\n\nWe emphasize that because the first intra-cluster term\n\n� cluster H cluster commutes with the latter Kitaev terms independent of the representation used, the Kitaev model is realized as the exact low energy Hamiltonian of this\n\nmodel without truncation errors of perturbation theories,\n\nnamely no ( | J x,y,z | /J cluster ) 2 or higher order terms will\n\nbe generated under the projection to low energy clus-\n\nter singlet space. This is unlike, for example, the t/U\n\nexpansion of the half-filled Hubbard model 22,23 , where\n\nat lowest t 2 /U order the effective Hamiltonian is the\n\nHeisenberg model, but higher order terms ( t 4 /U 3 etc.)\n\nshould in principle still be included in the low energy ef-\n\nfective Hamiltonian for any finite t/U . Similar compari-\n\nson can be made to the perturbative expansion studies of\n\nthe Kitaev-type models by Vidal et al. 9 , where the low\n\nenergy effective Hamiltonians were obtained in certian\n\nanisotropic (strong bond/triangle) limits. Although the\n\nspirit of this work, namely projection to low energy sec-\n\ntor, is the same as all previous perturbative approaches\n\nto effective Hamiltonians.\n\nNote that the original Kitaev model (1) has three-\n\nfold rotation symmetry around a honeycomb lattice site,\n\ncombined with a three-fold rotation in pseudo-spin space\n\n(cyclic permutation of τ x , τ y , τ z ). This is not apparent\n\nin our model (8) in terms of physical spins, under the\n\ncurrent representation of τ x,y,z . We can remedy this by using a different set of pseudo-spin Pauli matrices τ ′ x,y,z\n\nin (7),\n\nτ ′ x = � 1 / 3 τ z + � 2 / 3 τ x ,\n\nτ ′ y = � 1 / 3 τ z − � 1 / 6 τ x + � 1 / 2 τ y ,\n\nτ ′ z = � 1 / 3 τ z − � 1 / 6 τ x − � 1 / 2 τ y\n\nWith proper representation choice, they have a symmet-\n\nric form in terms of physical spins,\n\nτ ′ x = − (4 / 3) S 2 · ( S 3 × S 4 ) + � 2 / 3(2 S 1 · S 2 + 1 / 2)\n\nτ ′ y = − (4 / 3) S 3 · ( S 4 × S 2 ) + � 2 / 3(2 S 1 · S 3 + 1 / 2)\n\nτ ′ z = − (4 / 3) S 4 · ( S 2 × S 3 ) + � 2 / 3(2 S 1 · S 4 + 1 / 2)\n\n(10)\n\nSo the symmetry mentioned above can be realized by a\n\nthree-fold rotation of the honeycomb lattice, with a cyclic\n\npermutation of S 2 , S 3 and S 4 in each cluster. This is in\n\nfact the three-fold rotation symmetry of the physical spin\n\nlattice illustrated in FIG. 2. However this more symmet-\n\nric representation will not be used in later part of this\n\npaper.",
- "page_start": 3,
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- {
- "text": "11\n\n26 K. S. Raman, R. Moessner, S. L. Sondhi, Phys. Rev. B 72 ,\n\n064413 (2005). 27 D. F. Schroeter, E. Kapit, R. Thomale, and M. Greiter,\n\nPhys. Rev. Lett. 99 , 097202 (2007); R. Thomale, E. Kapit,\n\nD. F. Schroeter, and M. Greiter, Phys. Rev. B 80 , 104406\n\n(2009). 28 O. Tchernyshyov, R. Moessner, S. L. Sondhi, Phys. Rev.\n\nLett. 88 , 067203 (2002). 29 F. Becca, F. Mila, Phys. Rev. Lett. 89 , 037204 (2002). 30 K. Penc, N. Shannon, H. Shiba, Phys. Rev. Lett. 93 ,\n\n197203 (2004). 31 C. Weber, F. Becca, F. Mila, Phys. Rev. B 72 , 024449\n\n(2005). 32 G.-W. Chern, C. J. Fennie, O. Tchernyshyov, Phys. Rev.\n\nB 74 , 060405(R) (2006). 33 D. L. Bergman, R. Shindou, G. A. Fiete, L. Balents, Phys.\n\nRev. B 74 , 134409 (2006). 34 Fa Wang, Ashvin Vishwanath, Phys. Rev. Lett. 100 ,\n\n077201 (2008). 35 [ O. Tchernyshyov, G.-W. Chern, arXiv:0907.1693 (2009).](http://arxiv.org/abs/0907.1693) 36 Y. Taguchi, Y. Oohara, H. Yoshizawa, N. Nagaosa, Y.\n\nTokura, Science 291 , 2573 (2001). 37 X. G. Wen, Frank Wilczek, A. Zee, Phys. Rev. B 39, 11413\n\n(1989); X. G. Wen, Phys. Rev. B 40 , 7387 (1989). 38 Dimitris I. Tsomokos, Juan Jos´e Garc´ıa-Ripoll, Nigel R.\n\nCooper, Jiannis K. Pachos, Phys. Rev. A 77 , 012106\n\n(2008).",
- "page_start": 10,
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- "references": {
- "source_file": "basic-english-language-skills.PDF",
- "query": "What is the Oxbridge Academy email?",
- "target_page": 59,
- "target_passage": "Email: info@oxbridgeacademy.co.za",
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- "text": "###### Did you enjoy reading this book?\n\nJoin our online social community and share your opinion:\n\nwww.facebook.com/oxbridgeacademysa\n\ntwitter.com/oxbridgeEdu\n\nwww.linkedin.com/company/oxbridge-academy\n\nOxbridge Academy is an established distance learning college offer\n\ning skills courses, national qualifications, and internationally recognised\n\ncourses to students in South Africa and abroad.\n\nWith our head office in Stellenbosch in the Western Cape, we cater to our\n\nstudents’ needs by recruiting industry-expert tutors to provide academic\n\nassistance via telephone and e-mail, as well as by designing our study\n\nmaterial in such a way that it is clear, simple, and easy for our students\n\nto understand.\n\nWith us, studying from home is easy, affordable, and convenient.\n\nCONTACT NUMBERS:\n\nTel: 021 1100 200\n\nTel:+2721 883 2454 (international)\n\nFax: 086 111 2121\n\nFax: +2721 883 2378 (international)\n\nWhatsapp: 0605671585\n\nEmail: info@oxbridgeacademy.co.za\n\nPostal Address:\n\nPO Box 12723, Die Boord, Stellenbosch, 7613\n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section\n\n31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.\n\n*Developed for Oxbridge Academy*",
- "page_start": 58,
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- "text": "SEND YOUR REGISTRATION FORM\n\nCHOOSE YOUR COURSE **1**\n\nFILL IN THE\n\nREGISTRATION FORM\n\n## **2**\n\nThe registration form follows an easy-to-complete four step layout.\n\n## **3**\n\n## **4 5**\n\nIF YOU ARE REGISTERING\n\nFOR an ICB, or NATED\n\nCOURSE\n\nmake sure to indicate your preferred exam centre.\n\nIF YOU ARE UNDER\n\n18, OR IF YOU ARE\n\nUNEMPLOYED\n\nmake sure that your parent/guardian/guarantor signs the form.\n\nATTACH THE FOLLOWING\n\nDOCUMENTS\n\n1. Copy of your ID\n\n2. Proof of highest grade passed\n\n3. Proof of other qualifications\n\n4. Proof of payment\n\nPAY YOUR\n\nREGISTRATION FEE\n\nSend your registration form to the\n\nregistrations office at Oxbridge Academy via\n\none of the following channels:\n\nFax: 086 262 5550\n\nPost: PO Box 12723, Die Boord, 7613\n\nE-mail: registrar@oxbridgeacademy.co.za\n\n## **6**\n\nA Summary of the Registration Process at Oxbridge Academy\n\nAs soon as your details\n\nhave been captured\n\non our system you will\n\nreceive confirmation\n\nof your registration via\n\ne-mail or SMS",
- "page_start": 26,
- "page_end": 26,
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- "text": "###### CHAPTER 5:\n\nTIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\n\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a\n\ndaunting experience. Not only do you need to choose a course, but you\n\nalso need to make sure that you:\n\n- meet the entry requirements\n\n- meet the deadlines\n\n- fill in the forms correctly\n\n- send the forms to the right address\n\n- include all the necessary attachments\n\nTo make the college registration process easier for you, we’ve compiled a\n\ncomprehensive guide on how to register at Oxbridge Academy\n\n(www.oxbridgeacademy.co.za/enrol-now/) . The guide also includes general\n\ntips that will be relevant to the application and registration processes at\n\nother colleges.\n\n**There are 4 steps you need to follow when you want to register as a student at Oxbridge Academy:**\n\n**1.** Select Your Course\n\n**2.** Fill in Your Student Details\n\n**3.** Select Your Delivery Option\n\n**4.** Pay Your Registration Fee and Send in Your Form",
- "page_start": 20,
- "page_end": 20,
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- "text": "STEP 4 - PAY YOUR REGISTRATION FEE AND SEND IN YOUR FORM\n\nDifferent courses have different registration fees. Please check the course\n\nfees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to\n\nfind out how much you need to pay to register for your chosen course, and\n\npay this amount using the banking details provided at the bottom of the\n\nregistration form. Remember to attach your proof of payment.\n\nIf you are under the age of 18, your parent or guardian will need to sign\n\nthis section of the form to state that they are aware of your registration\n\nwith Oxbridge Academy, and that they do not have any objections. If you\n\nare unemployed, you will need a guarantor to sign this section of the\n\nform. Your parent or guarantor will be held responsible if you miss any of\n\nyour payments in relation to your course fees.",
- "page_start": 25,
- "page_end": 25,
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- "text": "All rights reserved. No part of this publication may be reproduced or transmitted\n\nin any form or by any means, electronic or mechanical, including photocopying,\n\nrecording, or any information storage or retrieval system, without prior permission in\n\nwriting from the publisher. Subject to any applicable licensing terms and conditions in\n\nthe case of electronically supplied publications, a person may engage in fair dealing\n\nwith a copy of this publication for his or her personal or private use, or his or her\n\nresearch or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978.\n\nThe authors and the publisher have made every effort to obtain permission for and\n\nto acknowledge the use of copyright material. Should any infringement of copyright\n\nhave occurred, please contact the publisher, and every effort will be made to rectify\n\nomissions or errors in the event of a reprint or new edition.\n\nDeveloped for Oxbridge Academy - 2015",
- "page_start": 1,
- "page_end": 1,
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- },
- {
- "text": "## BASIC ENGLISH language skills",
- "page_start": 0,
- "page_end": 0,
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- "text": "If you have any questions about your course work, you are always\n\nwelcome to approach your tutors for help. Just remember that your\n\ntutors cannot guess what your needs are: you will have to make\n\ncontact with your tutors and communicate your questions clearly if\n\nyou want to get the assistance that you need.\n\nWhen it comes to contacting your tutors, your best option will\n\nusually be to send an e-mail.\n\nHere are some important tips to keep in mind when\n\nrequesting help from a tutor via e-mail:\n\n**Use a relevant and descriptive subject line.**\n\nThis way, your tutor will immediately know what your e-mail is\n\nabout, and he or she will be more likely to open it. A good subject\n\nline might read as follows: “Enquiry regarding Assignment 1 for\n\nSafety Management 101”\n\n####### **Be polite, and use an appropriate form of address.**\n\nAlways start your e-mail with an appropriate form of address,\n\nsuch as “Hello Mr/Ms …” and sign it off with your full name and\n\nstudent number. This will help to give your message a friendly, yet\n\nprofessional tone.\n\n####### **Be clear and concise.**\n\nMake sure that your tutor will be able to understand what it is that\n\nyou are asking.",
- "page_start": 33,
- "page_end": 33,
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- "text": "###### CHAPTER 8:\n\nTIPS FOR COMPLETING YOUR WRITTEN ASSIGNMENTS\n\nDepending on which course you study, you will either be assessed\n\nby means of written assignments, or through a combination of\n\nwritten assignments and exams. Assignments not only help to\n\ndeepen your understanding of the work, but they often also count\n\ntoward your final mark.\n\nIt is therefore important that you put effort into your assignments,\n\nand that you complete them to the best of your ability.\n\nWe realise that, like many other students, you might be unsure of\n\nhow to go about completing your assignments, or that you might be\n\nafraid of failure.\n\nIf you are an Oxbridge Academy student, we’d like you to know\n\nthat we are here to help you every step of the way, and that we will\n\ngive you the opportunity to resubmit your assignments if you don’t\n\nachieve a pass mark the first time around.",
- "page_start": 36,
- "page_end": 36,
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- "text": "STEP 1 - SELECT YOUR COURSE\n\nBefore you start filling in the registration form, you need to choose your\n\ncourse. Once you’ve identified the course that you would like to study,\n\nremember to check that you meet the entry requirements.\n\nYou can find the course name and course code for your chosen course on\n\nthe relevant detailed course information page on our website. Have a look\n\nat the example in the screenshot below (the course name and course code\n\nare circled in red):\n\nPlease make sure to check the accreditation status of your chosen course.\n\nSome of our courses are non-credit bearing skills development courses,\n\nwhich are neither accredited by external bodies nor registered on the NQF.\n\nPlease go to our website: *oxbridgeacademy.co.za* for more information\n\nabout our skills development courses.\n\nOxbridge Academy Short Course: Marketing Management\n\nADV101",
- "page_start": 21,
- "page_end": 21,
- "source_file": "basic-english-language-skills.PDF"
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- {
- "text": "###### Board of Directors",
- "page_start": 29,
- "page_end": 29,
- "source_file": "NYSE_HIG_2001.pdf"
- }
- ]
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- {
- "references": {
- "source_file": "sg247938.pdf",
- "query": "When is it necessary to use a host multipathing driver for load balancing?",
- "target_page": 340,
- "target_passage": "For load balancing and access redundancy on the host side, the use of a host multipathing driver is required in the following situations: Protection from fabric link failures, including port failures on the IBM Spectrum Virtualize system nodes Protection from a host HBA failure (if two HBAs are in use) Protection from fabric failures if the host is connected through two HBAs to two separate fabrics Provide load balancing across the host HBA",
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- "text": "**56** Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\n*Figure 3-4 Overview of four-path host zoning*\n\nWhen possible, use the minimum number of paths that are necessary to achieve a sufficient\n\nlevel of redundancy. For the Storwize V7000 environment, no more than four paths per I/O\n\nGroup are required to accomplish this layout.\n\nAll paths must be managed by the multipath driver on the host side. Make sure that the\n\nmultipath driver on each server can handle the number of paths required to access all\n\nvolumes mapped to the host.\n\nFor hosts that use four HBAs/ports with eight connections to an I/O Group, use the zoning\n\nschema that is shown in Figure 3-5 on page 57. You can combine this schema with the\n\nprevious four-path zoning schema.",
- "page_start": 77,
- "page_end": 77,
- "source_file": "sg247938.pdf"
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- "text": "The IBM Storwize V7000 system supports a wide range of host types (both IBM and\n\nnon-IBM). This feature makes it possible to consolidate storage in an open systems\n\nenvironment into a common pool of storage. Then, you can use and manage the storage pool\n\nmore efficiently as a single entity from a central point on the storage area network (SAN).\n\nThe ability to consolidate storage for attached open systems hosts provides the following\n\nbenefits:\n\n� Easier storage management\n\n� Increased utilization rate of the installed storage capacity\n\n� Advanced Copy Services functions offered across storage systems from separate vendors\n\n� Only one multipath driver is required for attached hosts\n\nHosts can be connected to Storwize V7000 system using any of the following protocols:\n\n� Fibre Channel (FC)\n\n� Fibre Channel over Ethernet (FCoE)\n\n� Internet Small Computer System Interface (iSCSI)\n\n� iSCSI Extensions over RDMA (iSER)\n\n� Non-Volatile Memory Express (NVMe)\n\nHosts that connect to the Storwize V7000 system by using fabric switches that use FC or\n\nFCoE protocol must be zoned correctly, as described in 3.6, “SAN configuration planning” on\n\npage 50.\n\nHosts that connect to the Storwize V7000 system with iSCSI protocol must be configured\n\ncorrectly, as described in Chapter 3, “Planning” on page 43.\n\nFor load balancing and access redundancy on the host side, the use of a host multipathing\n\ndriver is required in the following situations:\n\n� Protection from fabric link failures, including port failures on the IBM Spectrum Virtualize\n\nsystem nodes\n\n� Protection from a host HBA failure (if two HBAs are in use)\n\n� Protection from fabric failures if the host is connected through two HBAs to two separate\n\nfabrics\n\n� Provide load balancing across the host HBAs\n\nFor more information about various host operating systems and versions that are supported\n\nby IBM Storwize V7000, see [this page ](https://www.ibm.com/systems/support/storage/ssic/interoperability.wss) of the IBM System Storage Interoperation Center\n\n(SSIC).\n\nFor more information about how to attach various supported host operating systems to IBM\n\nStorwize V7000, see [IBM Knowledge Center](https://ibm.biz/BdjKmd) .\n\nIf your host operating system is not in SSIC, you can ask an IBM representative to submit a\n\nspecial request for support by using the [Storage Customer Opportunity REquest (SCORE) ](https://www.ibm.com/systems/support/storage/scorerpq/int/logon.do)\n\n[tool](https://www.ibm.com/systems/support/storage/scorerpq/int/logon.do) for evaluation (log in required).\n\n**Note:** Certain host operating systems can be directly connected to the Storwize V7000\n\nsystem without the need for FC fabric switches. For more information, see [this page ](https://www.ibm.com/systems/support/storage/ssic/interoperability.wss) of the\n\nIBM System Storage Interoperation Center (SSIC).",
- "page_start": 339,
- "page_end": 339,
- "source_file": "sg247938.pdf"
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- "text": "## Appendix A. Performance data and statistics gathering\n\n� Number of paths per host multipath device\n\nThe maximum supported number of paths per multipath device that is visible on the host is\n\neight. Although the IBM Subsystem Device Driver Path Control Module (SDDPCM),\n\nrelated products, and most vendor multipathing software can support more paths, the\n\nStorwize V7000 expects a maximum of eight paths. In general, you see only an effect on\n\nperformance from more paths than eight. Although the IBM Spectrum Virtualize can work\n\nwith more than eight paths, this design is technically unsupported.\n\n� Do not intermix dissimilar array types or sizes\n\nAlthough the IBM Spectrum Virtualize supports an intermix of differing storage within\n\nstorage pools, it is best to always use the same array model, Redundant Array of\n\nIndependent Disks (RAID) mode. RAID size (RAID 5 6+P+S does not mix well with RAID 6\n\n14+2), and drive speeds.\n\nRules and guidelines are no substitution for monitoring performance. Monitoring performance\n\ncan provide a validation that design expectations are met, and identify opportunities for\n\nimprovement.\n\n#### **IBM Spectrum Virtualize performance perspectives**\n\nIBM Spectrum Virtualize software was developed by the IBM Research Group. It is designed\n\nto run on commodity hardware (mass-produced Intel-based processors [CPUs] with\n\nmass-produced expansion cards) and to provide distributed cache and a scalable cluster\n\narchitecture. One of the main goals of this design was to use refreshes in hardware. Currently,\n\nthe Storwize V7000 cluster is scalable up to eight nodes (four control enclosures).\n\nThe performance is near linear when nodes are added into the cluster until performance\n\neventually becomes limited by the attached components. Although virtualization provides\n\nsignificant flexibility in terms of the components that are used, it does not diminish the\n\nnecessity of designing the system around the components so that it can deliver the level of\n\nperformance that you want.\n\nThe key item for planning is your SAN layout. Switch vendors have slightly different planning\n\nrequirements, but the goal is that you always want to maximize the bandwidth that is available\n\nto the Storwize V7000 ports. The Storwize V7000 is one of the few devices that can drive\n\nports to their limits on average; therefore, it is imperative that you put significant thought into\n\nplanning the SAN layout.\n\nEssentially, performance improvements are gained by selecting the most appropriate internal\n\ndisk drive types, spreading the workload across a greater number of back-end resources\n\nwhen using external storage, and adding more caching. These capabilities are provided by\n\nthe Storwize V7000 cluster. However, the performance of individual resources eventually\n\nbecomes the limiting factor.",
- "page_start": 762,
- "page_end": 762,
- "source_file": "sg247938.pdf"
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- "text": "Chapter 3. Planning **57**\n\n*Figure 3-5 Overview of eight-path host zoning*\n\nFor more information, see Chapter 8, “Hosts” on page 317.\n\n#### **3.6.6 Zoning considerations for Metro Mirror and Global Mirror**\n\nThe SAN configurations that use intercluster Metro Mirror and Global Mirror relationships\n\nrequire the following other switch zoning considerations:\n\n� Review the latest requirements and recommendations at [this website](https://ibm.biz/BdjKDJ) .\n\n� If two ISLs are connecting the sites, split the ports from each node between the ISLs. That\n\nis, exactly one port from each node must be zoned across each ISL.\n\n� Local clustered system zoning continues to follow the standard requirement for all ports on\n\nall nodes in a clustered system to be zoned to one another.\n\nWhen designing zoning for a geographically dispersed solution, consider the effect of the\n\ncross-site links on the performance of the local system.\n\nThe use of mixed port speeds for intercluster communication can lead to port congestion,\n\nwhich can negatively affect the performance and resiliency of the SAN. Therefore, it is not\n\nsupported.\n\n**Important:** Be careful when you perform the zoning so that ports that are dedicated for\n\nintra-cluster communication are *not* used for Host/Storage traffic in the 8-port and 12-port\n\nconfigurations.",
- "page_start": 78,
- "page_end": 78,
- "source_file": "sg247938.pdf"
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- "text": "**94** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n\nWhen configuring multiple masters, the cluster installation process supports the native HA\n\nmethod. This method uses the native HA master capabilities that are built into OpenShift\n\nContainer Platform and can be combined with any Load Balancing solution.\n\nIf a host is defined in the [lb] section of the inventory file, Ansible installs and configures\n\nHAProxy automatically as the load balancing solution. If no host is defined, it is assumed that\n\nyou pre-configured an external load balancing solution of your choice to balance the master\n\nAPI (port 8443) on all master hosts.\n\n**DNS**\n\nDNS service is an important component in the Red Hat OpenShift Container Platform\n\nenvironment. Regardless of the provider of DNS, an organization is required to have certain\n\nrecords in place to serve the various Red Hat OpenShift Container Platform components.\n\nConsidering the Load Balancer values for the Red Hat OpenShift Container Platform master\n\nservice and infrastructure nodes running router Pods are known beforehand, entries must be\n\nconfigured into the DNS before starting the deployment procedure.\n\n* **DNS for OpenShift applications** *\n\nApplications that are served by OpenShift are accessible by the router on ports 80/TCP and\n\n443/TCP. The router uses a wildcard record to map all host names under a specific sub\n\ndomain to the same IP address without requiring a separate record for each name. This\n\nprocess allows Red Hat OpenShift Container Platform to add applications with arbitrary\n\nnames if they are under that sub domain.\n\nFor example, a wildcard record for *.apps.example.com causes DNS name lookups for\n\napp1.apps.example.com and app2.apps.example.com to both return the same IP address:\n\n9.109.x.y . All traffic is forwarded to the OpenShift Infrastructure Nodes (Routers). The\n\nRouters examine the HTTP headers of the queries and forward them to the correct\n\ndestination.\n\nWith a load-balancer host address of 9.109.x.y , the wildcard DNS record for\n\n*.apps.example.com resolves IP address 9.109.x.y .\n\nA simple DNS round-robin resolution can be used to spread traffic across infrastructure\n\nnodes.\n\nFor production environments, it is recommended to have more advanced load balancing\n\ncapabilities to distribute the traffic among the OpenShift Routers. In those cases, an external\n\nLoad Balancer is used.\n\n**OpenShift Software Defined Networking (SDN)**\n\nRed Hat OpenShift Container Platform offers the ability to specify how pods communicate\n\nwith each other. This process can be done by using Red Hat provided Software-defined\n\nnetworks (SDN) or a third-party SDN.\n\nDeciding on the suitable internal network for an Red Hat OpenShift Container Platform step is\n\na crucial step. Unfortunately, no correct answer exists regarding the suitable pod network to\n\nchose because this choice varies based on the specific scenario requirements for how a Red\n\nHat OpenShift Container Platform environment is to be used.\n\n**Note:** The HAProxy Load Balancer is intended to demonstrate the API server’s HA mode\n\nand is not recommended for production environments. If you are deploying to a cloud\n\nprovider, Red Hat recommends deploying a cloud-native TCP-based Load Balancer or\n\ntake other steps to provide a highly available load balancer.",
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- "text": "**90** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n\n� Use PowerVC to manage the LPM feature to migrate VMs from one host to another. The\n\nLPM is important for frame evacuation during maintenance operations. It is recommended\n\nto include a dedicated Network interface for VIO management.\n\nFigure 5-9 shows how LPM is working with HMC configuration.\n\n*Figure 5-9 Live Partition Mobility (LPM) with PowerVC and HMC*\n\n� Master/Infrastructure nodes are configured with the automatic remote restart; in case of\n\nhost failure, PowerVC automatically restarts the VMs (LPARs) on different hosts.\n\n� Create Server Groups for OpenShift VMs and configure soft-anti-affinity rules.\n\n* **OpenShift HA** *\n\nOpenShift is also deployed for HA. In this reference architecture, the etcd state database is\n\ncolocated across the master nodes. The etcd requires a minimum of three nodes for HA. All\n\nmaster nodes are configured in PowerVC to automatically restart in case of any host failure.\n\nThis reference architecture also uses three infrastructure nodes. Infrastructure nodes host\n\nOpenShift infrastructure components, such as the registry, containers for log aggregation,\n\nand metrics. A minimum of three infrastructure nodes are needed for HA when a shared\n\naggregated logging database is used, and to ensure that service interruptions do not occur\n\nduring a restart. All infrastructure nodes are configured in PowerVC to automatically restart in\n\ncase of any host failure.",
- "page_start": 105,
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- "text": "**66** Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n\nFinally, if the Pod connects to an external host, the traffic flow from the eth0 interface in the\n\npod to the vethX in the Linux bridge then to the br0 interface in the OVS uses the tun0\n\ninterface through the eth0 to the physical network.\n\nAlmost all packet delivery decisions are performed with OpenFlow rules in the OVS bridge\n\nbr0, which simplifies the plug-in network architecture and provides flexible routing. In the case\n\nof the ovs-multitenant plug-in, this configuration also provides enforceable network isolation.\n\n#### **4.2.3 OpenShift external cluster communication**\n\nOpenShift Container Platform provides different ways to access the applications or services\n\nthat are running inside the cluster.\n\nAdministrators can make available a service endpoint that external traffic can reach by\n\nassigning a unique external IP address to that service from a range of external IP addresses.\n\nThis IP address range is specified by using a CIDR notation, which allows an application user\n\nto make a request against the cluster for an external IP address.\n\nEach IP address must be assigned to only one service to ensure that each service has a\n\nunique endpoint.\n\nThe recommendation, in order or preference, is:\n\n� Use a router if you use HTTP/HTTPS or TLS-encrypted protocol other than HTTPS.\n\n� Use a Load Balancer, an External IP, or a NodePort.\n\n**OpenShift Container Platform Router plug-in**\n\nThe following OpenShift Router plug-ins are available:\n\n� HAProxy Template Router: The HAProxy template uses the openshift3/ose-haproxy-router\n\nimage to deploy one or more Router Pods (container) that are running on Infrastructure\n\nNodes on the OpenShift Container Platform.\n\n� F5 BIG-IP Router plug-in: The F5 router integrates with a F5 BIG-IP system in your\n\nenvironment to synchronize routes. F5 BIG-IP version 11.4 or newer is required to have\n\nthe F5 iControl REST API.\n\nFor more information about the use of the router HAProxy plug-in, see [this web page](https://red.ht/34fbQfq) .\n\n**Assigning a public IP by using a load balancer service**\n\nThis method allows traffic to nonstandard ports through an IP address that is assigned from a\n\npool.\n\nIf you do not need a specific external IP address, you can configure a load balancer service to\n\nallow external access to an OpenShift Container Platform cluster.\n\nA load balancer service allocates a unique IP from a configured pool. The load balancer\n\nfeatures a single edge router IP (which can be a virtual IP (VIP), but is still a single machine\n\nfor initial load balancing).\n\n**Manually assigning an external IP to a service**\n\nA Kubernetes service serves as an internal load balancer. It identifies a set of replicated pods\n\nto proxy the connections it receives to them. Backing pods can be added to or removed from\n\na service arbitrarily, although the service remains consistently available, which enables\n\nanything that depends on the service to refer to it at a consistent address.",
- "page_start": 81,
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- "text": "Chapter 12. Scalability, reliability, and availability architectures\n\n*Figure 12-4 Horizontal and vertical scaling with multiple LPARs*\n\nThis scenario is in organizations with large systems, such as AIX or z/OS, that are installed\n\nand that have enough available capacity to support the required Content Manager\n\nOnDemand workload. One advantage of this configuration is that you can control the priority\n\nof work and computer resource distribution to each of the LPARs, such as the number of\n\nprocessors or the processing priority (depending on the computer system/operating system\n\narchitecture) that is allocated to each of the LPARs. So, for example, load jobs can be\n\nassigned a low priority during the day when the focus is on data retrieval and a high priority\n\nduring the night when the focus is on data loading.\n\nThis setup supports horizontal scalability by using multiple technologies as appropriate. The\n\nmain constraint is that clients must have access to all systems through TCP/IP.\n\n#### **12.2.6 Multiple server configuration rules**\n\nThe following general rules apply when you configure multiple Content Manager OnDemand\n\nservers. In all cases, for additional guidance, see the appropriate Content Manager\n\nOnDemand documentation or contact Content Manager OnDemand Lab Services.\n\n� Each Content Manager OnDemand server has its own set of configuration files.\n\n� The parameters in all configuration files must be set so that all of the servers are part of\n\nthe same instance.\n\n� The Content Manager OnDemand clients connect to the IP address listening port of the\n\nContent Manager OnDemand server (library server module).\n\n� The documents are retrieved from the various object servers based on the location\n\ninformation that is returned by the library server. This retrieval is transparent to the client\n\nsystems.\n\n� Parallel load processes must have separate temp directories.\n\nFigure 12-5 on page 292 depicts this configuration type.\n\nLPAR\n\n1\n\nLPAR\n\n2\n\nLPAR\n\nn\n\n**Syst em A**\n\nLPAR\n\n1\n\nLPAR\n\n2\n\nLPAR\n\nn\n\n**System B**\n\nLibrary\n\nServer\n\nObject\n\nServer\n\nObject\n\nServer\n\n+\n\n**OnDemand Instance**\n\nLoad\n\nProcess\n\nLoad\n\nProcess\n\n+\n\nLPAR\n\n2\n\nLPAR\n\n2",
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- "text": "Chapter 3. Planning **55**\n\n� Balanced host load across HBA ports\n\nIf the host has more than one HBA port per fabric, zone each host port with a separate\n\ngroup of Storwize V7000 ports.\n\n� Balanced host load across Storwize V7000 ports\n\nTo obtain the best overall performance of the subsystem and to prevent overloading, the\n\nload of each Storwize V7000 port should be equal. Assuming a similar load is generated\n\nby each host, you can achieve this balance by zoning approximately the same number of\n\nhost ports to each Storwize V7000 port.\n\nFigure 3-4 on page 56 shows an example of a balanced zoning configuration that was\n\ncreated by completing the following steps:\n\n1. Divide ports on the I/O Group into two disjoint sets, such that each set contains two ports\n\nfrom each I/O Group node, each connected to a different fabric.\n\nFor consistency, use the same port number on each I/O Group node. The example that is\n\nshown in Figure 3-4 on page 56 assigns ports 1 and 4 to one port set, and ports 2 and 3 to\n\nthe second set.\n\nBecause the I/O Group nodes have four FC ports each, two port sets are created.\n\n2. Divide hosts attached to the I/O Group into two equally numerous groups.\n\nIn general, for I/O Group nodes with more than four ports, divide the hosts into as many\n\ngroups as you created sets in step 1.\n\n3. Map each host group to exactly one port set.\n\n4. Zone all hosts from each group to the corresponding set of I/O Group node ports.\n\nThe host connections in the example on Figure 3-4 on page 56 are defined in the following\n\nmanner:\n\n- Hosts in group one are always zoned to ports 1 and 4 on both nodes.\n\n- Hosts in group two are always zoned to ports 2 and 3 on both nodes of the I/O Group.\n\nThe use of this schema provides four paths to one I/O Group for each host, and helps to\n\nmaintain an equal distribution of host connections on Storwize V7000 ports.\n\n**Tip:** Create an alias for the I/O Group port set. This step makes it easier to correctly zone\n\nhosts to the correct set of I/O Group ports. It also makes host group membership visible in\n\nthe FC switch configuration.\n\n**Tip:** To maximize performance from the host point of view, distribute volumes that are\n\nmapped to each host between both I/O Group nodes.",
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- "text": "Chapter 5. Red Hat OpenShift installation planning and considerations **85**\n\n* **PowerVM HA** *\n\nThe VIOS configuration includes the following specifications when LPAR is used with a\n\nproduction OpenShift Container Platform:\n\n� If I/O virtualization is used, a dual-VIOS setup is mandatory. You can have more than two\n\nVIOSes in the system that separates different environments, such as production and test\n\nor multiple customers\n\n� Each VIOS must be configured with at least two dedicated or dedicated donating cores for\n\nany production systems. Size them as needed and monitor CPU usage to adapt to\n\nworkload changes over the life of the system.\n\n� At least one Fibre Channel card per VIOS is needed. It is recommended to have two to\n\nremove the single points of failure (SPOFs).\n\n� At least two Ethernet cards per VIOS are needed. Interfaces with 10 GbE are needed at a\n\nminimum for scale-up systems. For scale-out systems, a speed of at least 10 GbE is\n\nmandatory.\n\n� Enable VIO servers for Live Partition Mobility (LPM).\n\n� Configure your VIO servers with NPIV (if present) and are supported by the operating\n\nsystem, or with the Shared Ethernet Adapter (SEA) Failover with Load Sharing if they are\n\nnot supported. The following options are available for setting up virtual networks on your\n\nVIO servers:\n\n- SR_IOV\n\nNot supported by PowerVC. Shares parts of a dedicated network adapter among\n\nseveral partitions. Works with all current IBM AIX, IBM i, and Linux distributions.\n\nRestrictions: Prevents Live Partition Mobility, restrictions on Etherchannel. Max 20 VM\n\nper network port.\n\n- vNIC\n\nSR_IOV enhanced with Live Partition Mobility support. No Etherchannel or bonding\n\nsupport. Maximum 20 VM per network port.\n\n- vNIC failover\n\nProvides server-side high availability solution (similar to SEA failover). In the vNIC\n\nfailover configuration, a vNIC client adapter can be backed by multiple logical ports,\n\npreferably allocated from a different SR-IOV adapter and hosted by different VIOSes to\n\navoid a single point failure.\n\nAt any time, only one logical port is connected with the vNIC adapter. If the active\n\n(connected) backing device or its hosting VIOS fails, a new backing device is selected\n\nto serve the client. The selection of the active backing device is done by the POWER\n\nHypervisor.\n\nIn contrast to the SEA failover, the vNIC failover does not rely on any communication\n\nprotocol between or among the multiple backing devices. The vNIC failover resorts to\n\nthe POWER Hypervisor as the decision maker because it (the POWER Hypervisor)\n\nhas a complete view and receives the real-time status of all the backing devices and is\n\nbest situated for selecting the correct logical port. Without the implementation of the\n\ncommunication protocol, the vNIC failover is a much simpler, and more robust solution.",
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- "source_file": "1001.0955.pdf",
- "query": "Which orbiting instrument provides near-continuous full-sky coverage in the hard X-ray/low-energy gamma-ray range?",
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- "target_passage": "Gamma ray Burst Monitor",
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- "text": "**Observations of Soft Gamma Ray Sources** *>* 100 **keV Using Earth Occultation**\n\n**with GBM**\n\nG.L. Case, M.L. Cherry, J. Rodi\n\n*Dept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA*\n\nA. Camero-Arranz\n\n*Fundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain*\n\nE. Beklen\n\n*Middle East Technical University (METU), 06531, Ankara, Turkey*\n\nC. A. Wilson-Hodge\n\n*NASA Marshall Space Flight Center, Huntsville, AL 35812*\n\nP. Jenke\n\n*NASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812*\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece\n\n*University of Alabama in Huntsville, Huntsville, AL 35899*\n\nM.H. Finger\n\n*USRA, National Space Science and Technology Center, Huntsville, AL 35899*\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being\n\nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth\n\noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma\n\nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient\n\noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage\n\nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies\n\nbelow *∼* 25 keV and above *∼* 1 *.* 5 MeV. We describe the technique and present preliminary results after the first *∼* 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source\n\nXTE J1752-223.\n\n## **I. INTRODUCTION**\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is\n\ncurrently the only instrument in orbit providing nearly\n\ncontinuous full sky coverage in the hard X-ray/low\n\nenergy gamma ray energy range. The Earth occul-\n\ntation technique, used very successfully on BATSE,\n\nhas been adapted to GBM. An initial catalog of 64\n\nsources is currently being monitored and continuously\n\naugmented. At energies above 100 keV, six steady\n\nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E\n\n1740-29, Cen A, GRS 1915+105) and one transient\n\nsource (XTE J1752-223) have been detected in the\n\nfirst year of observation. We describe the instrument,\n\noutline the technique, and present light curves for the\n\nseven sources.\n\n**II. GBM AND THE EARTH OCCULTATION**\n\n**OBSERVATIONAL TECHNIQUE**\n\nThe Gamma ray Burst Monitor is the secondary\n\ninstrument onboard the Fermi satellite [1, 2]. It con-\n\nsists of 12 NaI detectors 5 *′′* in diameter by 0.5 *′′* thick\n\nmounted on the corners of the spacecraft and oriented\n\nsuch that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 5 *′′* in di- ameter by 5 *′′* thick located on opposite sides of the\n\nspacecraft. None of the GBM detectors have direct\n\nimaging capability.\n\nKnown sources of gamma ray emission can be mon-\n\nitored with non-imaging detectors using the Earth oc-\n\ncultation technique, as was successfully demonstrated\n\nwith BATSE [3, 4]. When a source of gamma rays\n\nis occulted by the Earth, the count rate measured by\n\nthe detector will drop, producing a step-like feature.\n\nWhen the source reappears from behind the Earths\n\nlimb, the count rate will increase, producing another\n\nstep. The diameter of the Earth seen from Fermi is\n\n*∼* 140 *◦* , so roughly 30% of the sky is occulted by the\n\nEarth at any one time. Coupled with the *±* 35 *◦* slew-\n\ning of the pointing direction every orbit, this means\n\nthat the entire sky is occulted every two orbits. With\n\nan altitude of 565 km, a period of 96 minutes, and\n\nan orbital inclination of 26 *.* 5 *◦* , individual occultation\n\nsteps last for *∼* 10 seconds (Fig. 1).\n\n**eConf C091122**\n\narXiv:1001.0955v2 [astro-ph.HE] 6 Jan 2010 FIG. 1: Single Crab occultation step in a single GBM NaI",
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- "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified\n\nJulian days.\n\nto observe these breaks, GBM is able to see significant\n\nemission above 300 keV, consistent with the canonical\n\nhard spectrum.\n\n**Cen A** (Fig. 3) is a Sy 2 galaxy that is the brightest\n\nAGN in hard x-rays/low energy gamma rays. It has\n\na hard spectrum (Γ = 1 *.* 8) and has been observed at\n\nenergies *>* 1 MeV [9]. The GBM results are consis-\n\ntent with this hard spectrum, though GBM does not\n\nhave the sensitivity to determine if the hard spectrum\n\ncontinues beyond 300 keV or if the spectrum cuts off.\n\n**Cyg X-1** (Fig. 4) is a HMXB and one of the\n\nfirst systems determined to contain a black hole. It\n\nhas been observed to emit significant emission above\n\n100 keV including a power law tail extending out to\n\ngreater than 1 MeV [10, 11]. The GBM results show\n\nsignificant emission above 300 keV, consistent with\n\nthe power law tail observed when Cyg X-1 is in its\n\nhard state.\n\n**GRS 1915+105** (Fig. 5) is a LMXB with the com-\n\npact object being a massive black hole. Evidence for\n\nemission above 100 keV has been seen previously [12]\n\nwith BATSE. The GBM light curve integrated over\n\n490 days shows significant emission above 100 keV.\n\n**1E 1740-29** (Fig. 6) is a LMXB very near the\n\nGalactic Center. It is a microquasar, and spends most\n\nof its time in the low/hard state. Integral observa-\n\ntions indicate the presence of a power law tail above\n\n200 keV [13]. The present GBM results are consis-\n\ntent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modi-\n\nfied Julian days.\n\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in\n\nmodified Julian days.\n\n**eConf C091122**",
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- "text": "tion of correlated VHE and X-ray flux variability, as\n\nwell as correlated spectral hardening in both the VHE\n\nand X-ray bands. The VHE MWL observations were\n\nperformed in both ”quiescent” and flaring states for\n\nsome of the observed blazars. For the observed HBL\n\nobjects, the SEDs can be well described by a simple\n\nSSC model in both high and low states. However, an\n\nadditional external Compton component is necessary\n\nto adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant im-\n\npact on the blazar KSP. In future seasons, the VER-\n\nITAS blazar discovery program will focus its dis-\n\ncovery program on hard-spectrum blazars detected\n\nby Fermi-LAT, and will likely have a greater focus\n\non high-risk/high-reward objects at larger redshifts\n\n(0 . 3 < z < 0 . 7). In addition, the number of VHE\n\nblazars studied in pre-planned MWL campaigns will\n\nincrease as data from the Fermi-LAT will be publicly\n\navailable. In particular, the extensive pre-planned\n\nMWL campaigns will focus on objects that are note-\n\nworthy for the impact their data may have on under-\n\nstanding the EBL. The simultaneous observations of\n\nblazars by VERITAS and Fermi-LAT will completely\n\nresolve the higher-energy SED peak, often for the first\n\ntime, enabling unprecedented constraints on the un-\n\nderlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US\n\nDepartment of Energy, the US National Science Foun-\n\ndation, and the Smithsonian Institution, by NSERC in\n\nCanada, by Science Foundation Ireland, and by STFC\n\nin the UK. We acknowledge the excellent work of the\n\ntechnical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation\n\nof the instrument.\n\n### **References**\n\n[1] F. Aharonian et al. 2007, ApJ , 664 , L71\n\n[2] F. Aharonian et al. 2006, Nature , 440 , 1018\n\n[3] F. Aharonian et al. 2007, A&A , 475 , L9\n\n[4] J. Holder, et al. 2008, AIPC , 1085 , 657\n\n[5] L. Costamante & G. Ghisellini 2002, A&A , 384 ,\n\n56\n\n[6] E.S. Perlman 2000, AIPC , 515 , 53\n\n[7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n\n[8] P. Giommi et al. 2005, A&A , 434 , 385\n\n[9] S. Turriziani et al. 2007, A&A , 472 , 699\n\n[10] L. Costamante 2006, arXiv:0612709\n\n[11] P. Padovani et al. 2002, ApJ , 581 , 895\n\n[12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n\n[13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n\n[14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n\n[15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n\n[16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n\n[17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n\n[[18] L.C. Reyes 2009, arXiv:0907.5175](http://arxiv.org/abs/0907.5175)\n\n[19] R.A. Ong 2009, ATel , 1941\n\n[20] R.A. Ong et al. 2009, ATel , 2272\n\n[21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n\n[22] R.A. Ong et al. 2009, ATel , 2301\n\n[23] R.A. Ong et al. 2009, ATel , 2260\n\n[24] R.A. Ong et al. 2009, ATel , 2309\n\n[[25] W. Benbow 2009, arXiv:0908.1412](http://arxiv.org/abs/0908.1412)\n\n[26] V.A. Acciari et al. 2009, ApJ , submitted\n\n[27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n\n[28] V.A. Acciari et al. 2009, ApJ , in press\n\n[[29] J. Grube 2009, arXiv:0907.4862](http://arxiv.org/abs/0907.4862)\n\neConf C091122",
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- },
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- "text": "detector. Horizontal scale is in seconds centered on the\n\noccultation time. Vertical scale is in measured counts.\n\nThe shape of the individual occultation steps de-\n\npends on energy and occultation angle. Transmis-\n\nsion as a function of time is modeled as *T* ( *t* ) =\n\n*exp* [ *−* *µ* ( *E* ) *A* ( *h* )], where *µ* ( *E* ) is the mass attenuation coefficient of gamma rays at energy *E* in air and *A* ( *h* )\n\nis the air mass along the line of sight at a given alti-\n\ntude *h* ( *t* ). Account is taken of the detector response\n\nas it changes as a function of angle across the fit win-\n\ndow. For each source, occultation times are predicted.\n\nEach step is fit over a 4-minute window along with a\n\nquadratic background and using an assumed spectrum\n\nto determine the detector count rate due to the source.\n\nThe instrument response is used to convert the count\n\nrate to a flux. Up to 31 steps are possible for a given\n\nsource in a day, and these steps are summed to get a\n\nsingle daily average flux. The GBM occultation sensi-\n\ntivity exceeds that of BATSE at energies below *∼* 25 keV and above *∼* 1 *.* 5 MeV [5]. This work uses the GBM CTIME data, with its\n\n8 broad energy channels and 0.256-second resolution,\n\nrebinned to 2-second resolution. The occultation tech-\n\nnique relies on an input catalog of known sources.\n\nCurrently, we are monitoring 64 sources. Of these\n\n64 sources, 6 steady sources are detected above 100\n\nkeV with a significance of at least 5 *σ* after *∼* 490 days of observations, and one transient source.\n\n## **III. RESULTS**\n\nThe results presented here are preliminary. We\n\nhave not completed the fine tuning of our algorithms,\n\nthough the average fluxes are not expected to change\n\nmuch. Future work will include using the GBM\n\nCSPEC data, with its finer energy binning, to exam-\n\nine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are\n\ncompared to Swift’s 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified\n\nJulian days over the 490 day GBM exposure period. Ver-\n\ntical scale is in photons/cm 2 /sec/keV averaged over daily\n\nintervals. Horizontal lines show the average flux in each of\n\nfive energy bands increasing from top to bottom\n\neral sources over the same time intervals in ref. [2],\n\nwhere it is seen that the results measured by the two\n\ninstruments compare well. At energies above the up-\n\nper energy limit of *∼* 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide\n\nthe only wide-field monitor available of the low en-\n\nergy gamma ray sky.\n\n### **A. Steady Sources**\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E\n\n1740-29, Cen A, and GRS 1915+105 are detected by\n\nGBM at energies above 100 keV. We show GBM light\n\ncurves generated from the Earth occultation analysis\n\nin several energy bands with one day resolution for\n\nthese six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged\n\nover all the days from Aug. 12, 2008 (the beginning of\n\nscience operations) to Dec. 15, 2009, approximately\n\n490 days.\n\nThe **Crab** (Fig. 2) spectrum in the hard x-ray/low\n\nenergy gamma-ray region can be described by a bro-\n\nken power law, with the spectrum steepening at 100\n\nkeV and then hardening at 650 keV [7, 8]. While the\n\nGBM CTIME data do not have the spectral resolution\n\n**eConf C091122**",
- "page_start": 1,
- "page_end": 1,
- "source_file": "1001.0955.pdf"
- },
- {
- "text": "## **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each\n\nyear during periods of astronomical darkness and par-\n\ntial moonlight, respectively. The moonlight observa-\n\ntions are almost exclusively used for a blazar discovery\n\nprogram, and a large fraction of the dark time is used\n\nfor the blazar KSP, which consists of:\n\n- A VHE blazar discovery program ( ∼ 200 h / yr):\n\nEach year ∼ 10 targets are selected to receive\n\n∼ 10 h of observations each during astronomi-\n\ncal darkness. These data are supplemented by\n\ndiscovery observations during periods of partial\n\nmoonlight.\n\n- A target-of-opportunity (ToO) observation pro-\n\ngram ( ∼ 50 h / yr): VERITAS blazar obser-\n\nvations can be triggered by either a VERI-\n\nTAS blazar discovery, a VHE flaring alert ( > 2\n\nCrab) from the blazar monitoring program of\n\nthe Whipple 10-m telescope or from another\n\nVHE instrument, or a lower-energy flaring alert\n\n(optical, X-ray or Fermi-LAT). Should the guar-\n\nanteed allocation be exhausted, further time can\n\nbe requested from a pool of director’s discre-\n\ntionary time.\n\n- Multi-wavelength (MWL) studies of VHE\n\nblazars ( ∼ 50 h / yr + ToO): Each year one\n\nblazar receives a deep exposure in a pre-planned\n\ncampaign of extensive, simultaneous MWL (X-\n\nray, optical, radio) measurements. ToO observa-\n\ntion proposals for MWL measurements are also\n\nsubmitted to lower-energy observatories (e.g.\n\nSwift) and are triggered by a VERITAS discov-\n\nery or flaring alert.\n\n- Distant VHE blazar studies to constrain the ex-\n\ntragalactic background light (EBL): Here dis-\n\ntant targets are given a higher priority in the\n\nblazar discovery program, as well as for the\n\nMWL observations of known VHE blazars, par-\n\nticularly those with hard VHE spectra.\n\n## **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are\n\nlargely high-frequency-peaked BL Lac objects. How-\n\never, the program also includes IBLs (intermediate-\n\npeaked) and LBLs (low-peaked), as well as flat spec-\n\ntrum radio quasars (FSRQs), in an attempt to in-\n\ncrease the types of blazars known to emit VHE γ -rays.\n\nThe observed targets are drawn from a target list con-\n\ntaining objects visible to the telescopes at reasonable\n\nzenith angles ( − 8 ◦ < δ < 72 ◦ ), without a previously\n\npublished VHE limit below 1.5% Crab, and with a\n\nmeasured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also\n\nincluded in the target list. The target list includes:\n\n- All nearby ( z < 0 . 3) HBL and IBL recom-\n\nmended as potential VHE emitters in [5, 6, 7].\n\n- The X-ray brightest HBL ( z < 0 . 3) in the recent\n\nSedentary [8] and ROXA [9] surveys.\n\n- Four distant ( z > 0 . 3) BL Lac objects recom-\n\nmended by [5, 10].\n\n- Several FSRQ recommended as potential VHE\n\nemitters in [6, 11].\n\n- All nearby ( z < 0 . 3) blazars detected by\n\nEGRET [12].\n\n- All nearby ( z < 0 . 3) blazars contained in the\n\nFermi-LAT Bright AGN Sample [13].\n\n- All sources ( | b | > 10 ◦ ) detected by Fermi-LAT\n\nwhere extrapolations of their MeV-GeV γ -ray\n\nspectrum (including EBL absorption; assuming\n\nz = 0.3 if the redshift is unknown) indicates a\n\npossible VERITAS detection in less than 20 h.\n\nThis criteria is the focus of the 2009-10 VERI-\n\nTAS blazar discovery program.\n\n## **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ -ray emission from\n\n16 AGN (15 blazars), including 8 VHE discoveries.\n\nThese AGN are shown in Table I, and each has been\n\ndetected by the Large Area Telescope (LAT) instru-\n\nment aboard the Fermi Gamma-ray Space Telescope.\n\nEvery blazar discovered by VERITAS was the sub-\n\nject of ToO MWL observations to enable modeling of\n\nits simultaneously-measured SED. The known VHE\n\nblazars detected by VERITAS were similarly the tar-\n\ngets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov-\n\nered VHE emission from 2 blazars. These included\n\nthe first VHE-detected IBL, W Comae [14, 15], and\n\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-\n\nered 6 VHE blazars since the launch of Fermi. Three\n\nof these were initially observed by VERITAS prior to\n\nthe release of Fermi-LAT results, due to the X-ray\n\nbrightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-\n\nITAS in September 2008 [17] during a flaring episode\n\nthat was also observed by the Fermi-LAT [18]. The\n\nobserved flux above 200 GeV was 6% of the Crab Neb-\n\nula flux and the measured VHE spectrum was very\n\nsoft (Γ VHE ∼ 4 . 1). RGB J0710+591 was detected\n\neConf C091122",
- "page_start": 1,
- "page_end": 1,
- "source_file": "1001.0770.pdf"
- },
- {
- "text": "Figure 4: The *γ* -ray index versus submillimeter index plane. The blazars fall more steeply in the *γ* -rays than in the\n\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full *SMA* sample,\n\nwhere the blazars are more distributed around *α* S *∼* 0.\n\nas the presence of SSC versus ERC. Here, we use sub-\n\nmillimeter luminosity as a proxy for jet power, which\n\nis correlated with the integrated luminosity of the syn-\n\nchrotron component. Elevated *γ* -ray luminosity with\n\nrespect to the synchrotron component (which is often\n\nseen in FSRQs) suggests the upscattering of external\n\nphotons off the synchrotron-emitting electrons. These\n\nobjects should occupy the upper right of the ratio/jet\n\npower plot, and BL Lacs, which generally exhibit com-\n\nponents with roughly comparable luminosities, should\n\noccupy the lower left. It is clear from the figure, how-\n\never, that many FSRQs exhibit ratios similar to those\n\nof the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring\n\nepochs, 3C 454.3 transitions from its typical FSRQ\n\nstate to a more BL Lac-like state, where the syn-\n\nchrotron component emits much more strongly com-\n\npared to the *γ* -ray component than during its “low\n\nstate”. 3C 454.3, which is the highest submillime-\n\nter luminosity FSRQ in our sample, would then shift\n\ndown and to the right in Figure 5 when it enters a\n\nflaring period. For the first three months of the *Fermi*\n\nmission, 3C 454.3 was not flaring, which may explain\n\nits present location in Figure 5. The three objects for\n\nwhich there is a type discrepancy between CGRaBS\n\nand LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which sug-\n\ngest they may be undergoing the same changes as 3C\n\n454.3. A possible interpretation of the elevated lumi-\n\nnosity ratios observed in some BL Lacs objects is that\n\nthere has been a dramatic increase in *γ* -ray luminos-\n\nity due to ERC, which would not be reflected in the\n\nsynchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub-\n\nmillimeter is to study behavior close to the central\n\nengine, where the jet material is presumably still be-\n\ning accelerated. The separate emission processes that\n\ncontribute to overall SED may present differently in\n\nBL Lacs and FSRQs, allowing us to understand the\n\nsimilarities and differences between blazar types. We\n\nhave investigated these differences between objects in\n\nterms of submillimeter behavior and, in conclusion,\n\nfind that\n\n*-* The *SMA* blazars exhibit submillimeter energy spectral indexes that follow the spectral se-\n\nquence interpretation of blazars.\n\n**eConf C091122**",
- "page_start": 3,
- "page_end": 3,
- "source_file": "1001.0806.pdf"
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- {
- "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\n\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44 ,\n\n912 (1980).\n\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44 , 1316 (1980) [Erratum-ibid. 44 ,\n\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91 , 222 (1980).\n\n[3] S. Khalil, J. Phys. G 35 , 055001 (2008).\n\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676 , 81 (2009); Phys. Rev. D 80 , 115007\n\n(2009).\n\n[5] W. Emam and S. Khalil, Eur. Phys. J. C 522 , 625 (2007).\n\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101 , 181802 (2008).\n\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80 , 055030\n\n(2009).\n\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80 , 073015 (2009).\n\n[9] S. Khalil and O. Seto, JCAP 0810 , 024 (2008).\n\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70 , 093009 (2004).\n\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74 , 033011 (2006).\n\n[12] S. Dawson and W. Yan, Phys. Rev. D 79 , 095002 (2009).\n\n[[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].](http://arxiv.org/abs/1002.1939)\n\n[14] E. W. Kolb and M. S. Turner, The Early Universe , Addison-Wesley (1990).\n\n[15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170 , 377 (2007).\n\n[16] J. McDonald, Phys. Rev. D 50 , 3637 (1994).\n\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619 , 709 (2001).\n\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609 , 117 (2005).\n\n[19] T. Kikuchi and N. Okada, Phys. Lett. B 665 , 186 (2008).\n\n[20] C. E. Yaguna, JCAP 0903 , 003 (2009).\n\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67 , 085002 (2003).\n\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67 , 043516 (2003).\n\n[23] K. Cheung and O. Seto, Phys. Rev. D 69 , 113009 (2004).\n\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n\n[25] Z. Ahmed et al. [ [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].](http://arxiv.org/abs/0912.3592)\n\n[[26] http://xenon.astro.columbia.edu/.](http://xenon.astro.columbia.edu/)\n\n13",
- "page_start": 12,
- "page_end": 12,
- "source_file": "1002.2525.pdf"
- },
- {
- "text": "[arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010](http://arxiv.org/abs/1001.0770v1)\n\n## **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration *Harvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645,* *USA*\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is\n\nused to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is\n\ncurrently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration’s Key\n\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\n\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which\n\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\n\nexposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including\n\n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected\n\nresults are presented.\n\n## **1. Introduction**\n\nActive galactic nuclei are the most numerous class\n\nof identified VHE γ -ray sources. These objects emit\n\nnon-thermal radiation across ∼ 20 orders of magnitude\n\nin energy and rank among the most powerful particle\n\naccelerators in the universe. A small fraction of AGN\n\npossess strong collimated outflows (jets) powered by\n\naccretion onto a supermassive black hole (SMBH).\n\nVHE γ -ray emission can be generated in these jets,\n\nlikely in a compact region very near the SMBH event\n\nhorizon. Blazars, a class of AGN with jets pointed\n\nalong the line-of-sight to the observer, are of par-\n\nticular interest in the VHE regime. Approximately\n\n30 blazars, primarily high-frequency-peaked BL Lacs\n\n(HBL), are identified as sources of VHE γ -rays, and\n\nsome are spectacularly variable on time scales com-\n\nparable to the light crossing time of their SMBH ( ∼ 2\n\nmin; [1]). VHE blazar studies probe the environment\n\nvery near the central SMBH and address a wide range\n\nof physical phenomena, including the accretion and\n\njet-formation processes. These studies also have cos-\n\nmological implications, as VHE blazar data can be\n\nused to strongly constrain primordial radiation fields\n\n(see the extragalactic background light (EBL) con-\n\nstraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy\n\ndistributions (SEDs), with one peak at UV/X-ray en-\n\nergies and another at GeV/TeV energies. The ori-\n\ngin of the lower-energy peak is commonly explained\n\nas synchrotron emission from the relativistic electrons\n\nin the blazar jets. The origin of the higher-energy\n\npeak is controversial, but is widely believed to be the\n\nresult of inverse-Compton scattering of seed photons\n\noff the same relativistic electrons. The origin of the\n\nseed photons in these leptonic scenarios could be the\n\nsynchrotron photons themselves, or photons from an\n\nexternal source. Hadronic scenarios are also plausible\n\nexplanations for the VHE emission, but generally are\n\nnot favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks\n\nand are crucial for extracting information from the\n\nobservations of VHE blazars. They are used to con-\n\nstrain the size, magnetic field and Doppler factor of\n\nthe emission region, as well as to determine the origin\n\n(leptonic or hadronic) of the VHE γ -rays. In leptonic\n\nscenarios, such MWL observations are used to mea-\n\nsure the spectrum of high-energy electrons producing\n\nthe emission, as well as to elucidate the nature of the\n\nseed photons. Additionally, an accurate measure of\n\nthe cosmological EBL density requires accurate mod-\n\neling of the blazar’s intrinsic VHE emission that can\n\nonly be performed with contemporaneous MWL ob-\n\nservations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m\n\natmospheric-Cherenkov telescopes located in Arizona,\n\nis used to study VHE γ -rays from a variety of astro-\n\nphysical sources [4]. VERITAS began scientific obser-\n\nvations with a partial array in September 2006 and has\n\nroutinely observed with the full array since Septem-\n\nber 2007. The performance metrics of VERITAS in-\n\nclude an energy threshold of ∼ 100 GeV, an energy\n\nresolution of ∼ 15%, an angular resolution of ∼ 0.1 ◦ ,\n\nand a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an\n\nactive maintenance program (e.g. frequent mirror re-\n\ncoating and alignment) to ensure its continued high\n\nperformance over time, and an upgrade improving\n\nboth the camera (higher quantum-efficiency PMTs)\n\nand the trigger system has been proposed to the fund-\n\ning agencies.\n\n1 A VERITAS telescope was relocated during Summer 2009,\n\nincreasing the array’s sensitivity by a factor ∼ 1.3.\n\neConf C091122",
- "page_start": 0,
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- "text": "circles represent the 850 *µ* m observations, and the open\n\ntriangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications be-\n\ntween *Fermi* and CGRaBS. Some blazars found in the\n\ncalibrator list have been studied extensively (e.g., 3C\n\n279 and 3C 454.3) but the *SMA* blazars have not been\n\nstudied collectively.\n\nForty-four of the objects in our total blazar sample\n\nwere detected by *Fermi* and can be found in the cata-\n\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\n\nal. [7]. J0050-094 has no redshift in either the LBAS\n\ncatalog or CGRaBS and is not included in our study.\n\nOf the 43 remaining sources, 14 are BL Lac objects\n\nand 29 are FSRQs, with 0 *.* 03 *≤* *z* *≤* 2 *.* 19. We examined submillimeter light curves for all of\n\nthe *SMA* blazars, with observations beginning in ap-\n\nproximately 2003 (see Figure 1). Typically, the 1mm\n\nband is much more well-sampled in comparison to the\n\n850m band, but visual inspection reveals that the reg-\n\nularity and quality of observations vary greatly from\n\nsource to source. Many of the objects exhibit non-\n\nperiodic variability, either in the form of persistent,\n\nlow-amplitude fluctuations or higher amplitude flar-\n\ning behavior.\n\n### **2.1. Submillimeter Properties**\n\n**Submillimeter Luminosities.** Since we are pri-\n\nmarily concerned with comparisons to *Fermi* observa-\n\ntions, we note that only 129 of the *SMA* blazars (23 BL\n\nLacs and 106 FSRQs) were observed by the *SMA* in\n\neither band during the three months August-October\n\n2008. For these objects, submillimeter luminosities\n\nare calculated in the standard way:\n\n*ν* *e* *L* *ν* *e* = 4 *πD* 2 L\n\n*ν* obs *F* obs\n\n1 + *z* *,* (1)\n\nwhere *D* L is the luminosity distance, *ν* obs is the fre-\n\nquency of the observed band, and *F* obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm,\n\nbottom: 850 *µ* m), with FSRQs as the hatched\n\ndistribution and BL Lacs as the solid distribution. There\n\nis no signicant difference in the class distributions in\n\neither band; the “tail” to the left is populated by objects\n\nwith errors larger than the intrinsic variability.\n\nflux (in erg cm *−* 2 s *−* 1 Hz *−* 1 ) over the three month pe-\n\nriod. We adopt a lambda cold dark matter cosmology\n\nwith values of *H* 0 = 71 km s *−* 1 Mpc *−* 1 , Ω M = 0 *.* 27,\n\nand Λ = 0 *.* 73.\n\n**Energy Spectral Indices.** We derive submillime-\n\nter spectral energy indices from observations quasi-\n\nsimultaneous with the *Fermi* observations. To be con-\n\nsistent with the use of *α* *γ* , we define spectral energy in-\n\ndex as *νF* *ν* = *ν* *−* *α* S and calculate *α* S from the average\n\nof the energy spectral indices over the corresponding\n\nthree months. We only calculate *α* S for the 16 objects\n\n(8 BL Lacs and 35 FSRQs) with observations at both\n\n1mm and 850 *µ* m during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n### **3.1. Variability Index**\n\nWe roughly characterize the level of variability of\n\neach source using the variability index from Hovatta\n\net al. [8]:\n\n*V* = ( *F* max *−* *σ* *F* max ) *−* ( *F* min + *σ* *F* min ) ( *F* max *−* *σ* *F* max ) + ( *F* min + *σ* *F* min ) (2)\n\nFigure 2 shows the distribution for the *SMA* blazars.\n\nObjects with *V* *≤* 0 are typically unsuitable for more\n\n**eConf C091122**",
- "page_start": 1,
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- {
- "text": "FIG. 8: XTEJ1752-223 light curve. Horizontal scale is in\n\nmodified Julian days.\n\n12-25 keV band, where the flux initially rose to about\n\n240 mCrab (2009 Oct 25-28), suddenly dropped to\n\nnon-detectable on 2009 October 29-30, then rose again\n\nduring the period 2009 October 31 to November 2. As\n\nof mid December 2009, the source remains in a high\n\nintensity state. The light curve is shown for the pe-\n\nriod MJD 54700-55200, again with 1-day resolution,\n\nin Fig. 8. The fluxes for XTE J1752-223 in Table 1\n\nare given are for the interval of flaring activity, TJD\n\n55130-55180.\n\n## **Acknowledgments**\n\nThis work is supported by the NASA Fermi Guest\n\nInvestigator program. At LSU, additional support is\n\nprovided by NASA/Louisiana Board of Regents Co-\n\noperative Agreement NNX07AT62A.\n\n[1] C. Meegan et al., Ap. J. **702** , 791 (2009).\n\n[2] C. Wilson-Hodge et al. (2010), these proceedings.\n\n[3] B. A. Harmon et al., Ap. J. Suppl. **138** , 149 (2002).\n\n[4] B. A. Harmon et al., Ap. J. Suppl. **154** , 585 (2004).\n\n[5] G. L. Case et al., in *The First GLAST Symposium* ,\n\nedited by S. Ritz, P. Michelson, and C. Meegan\n\n(2007), vol. 921 of *AIP Conf. Proceedings* , p. 538.\n\n[6] J. Tueller et al. (2010), ap. J. Suppl., (to be pub-\n\nlished), astro-ph/0903.3037.\n\n[7] J. C. Ling and W. A. Wheaton, Ap. J. **598** , 334\n\n(2003).\n\n[8] E. Jourdain and J. P. Roques, Ap. J. **704** , 17 (2009).\n\n[9] H. Steinle et al., Astron. and Astrophys. **330** , 97\n\n(1998).\n\n[10] M. McConnell et al., Ap. J. **523** , 928 (2000).\n\n[11] J. C. Ling and W. A. Wheaton, Chinese J. Astron.\n\nAstrophys. Suppl. **5** , 80 (2005).\n\n[12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl.\n\n**5** , 341 (2005).\n\n[13] L. Bouchet et al., Ap. J. **693** , 1871 (2009).\n\n[14] M. C. Bell et al., Ap. J. **659** , 549 (2007).\n\n[15] G. L. Case et al. (2010), to be submitted.\n\n[16] C. Wilson-Hodge et al., Astron. Telegram **2280**\n\n(2009).\n\n**eConf C091122**",
- "page_start": 4,
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- {
- "references": {
- "source_file": "1001.0955.pdf",
- "query": "What is Cyg X-1?",
- "target_page": 3,
- "target_passage": "is a HMXB and one of the first systems determined to contain a black hole",
- "chunk_present": {
- "presence": false,
- "index": null
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- "top_chunk": [
- {
- "text": "**ANNEX I - Tender specifications**",
- "page_start": 39,
- "page_end": 39,
- "source_file": "EN-Draft FWC for services 0142.pdf"
- },
- {
- "text": "**ANNEX II - Contractor’s tender**",
- "page_start": 40,
- "page_end": 40,
- "source_file": "EN-Draft FWC for services 0142.pdf"
- },
- {
- "text": "CD\n\nANGLE OF ATTACK, DEGREES a\n\nFigure 7.13. Brag Characferistics (sheet 2 of 2)",
- "page_start": 48,
- "page_end": 48,
- "source_file": "00-80T-80.pdf"
- },
- {
- "text": ",. n\n\n,:,j ,-g # I",
- "page_start": 20,
- "page_end": 20,
- "source_file": "00-80T-80.pdf"
- },
- {
- "text": "Portal Version 4.3 - User Manual\n\nV1.0\n\nOctober 2019",
- "page_start": 0,
- "page_end": 0,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "## FINANCIAL SECTION\n\nFINANCIAL SECTION",
- "page_start": 69,
- "page_end": 69,
- "source_file": "OTC_NSANY_2004.pdf"
- },
- {
- "text": "## Financial Information",
- "page_start": 55,
- "page_end": 55,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "### Figure 3.7 1. Schlieren Photographs of Supersonic Flight (sheet 2 of 2)",
- "page_start": 239,
- "page_end": 239,
- "source_file": "00-80T-80.pdf"
- },
- {
- "text": "### N OT E S\n\n66",
- "page_start": 69,
- "page_end": 69,
- "source_file": "ASX_MRM_2000.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "1001.0955.pdf",
- "query": "What satellite is the Gamma Ray Burst Observatory on?",
- "target_page": 1,
- "target_passage": " Fermi satellite",
- "chunk_present": {
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- "text": "**Observations of Soft Gamma Ray Sources** *>* 100 **keV Using Earth Occultation**\n\n**with GBM**\n\nG.L. Case, M.L. Cherry, J. Rodi\n\n*Dept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA*\n\nA. Camero-Arranz\n\n*Fundaci´on Espa˜nola de Ciencia y Tecnolog´ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain*\n\nE. Beklen\n\n*Middle East Technical University (METU), 06531, Ankara, Turkey*\n\nC. A. Wilson-Hodge\n\n*NASA Marshall Space Flight Center, Huntsville, AL 35812*\n\nP. Jenke\n\n*NASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812*\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece\n\n*University of Alabama in Huntsville, Huntsville, AL 35899*\n\nM.H. Finger\n\n*USRA, National Space Science and Technology Center, Huntsville, AL 35899*\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being\n\nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth\n\noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma\n\nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient\n\noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage\n\nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies\n\nbelow *∼* 25 keV and above *∼* 1 *.* 5 MeV. We describe the technique and present preliminary results after the first *∼* 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source\n\nXTE J1752-223.\n\n## **I. INTRODUCTION**\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is\n\ncurrently the only instrument in orbit providing nearly\n\ncontinuous full sky coverage in the hard X-ray/low\n\nenergy gamma ray energy range. The Earth occul-\n\ntation technique, used very successfully on BATSE,\n\nhas been adapted to GBM. An initial catalog of 64\n\nsources is currently being monitored and continuously\n\naugmented. At energies above 100 keV, six steady\n\nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E\n\n1740-29, Cen A, GRS 1915+105) and one transient\n\nsource (XTE J1752-223) have been detected in the\n\nfirst year of observation. We describe the instrument,\n\noutline the technique, and present light curves for the\n\nseven sources.\n\n**II. GBM AND THE EARTH OCCULTATION**\n\n**OBSERVATIONAL TECHNIQUE**\n\nThe Gamma ray Burst Monitor is the secondary\n\ninstrument onboard the Fermi satellite [1, 2]. It con-\n\nsists of 12 NaI detectors 5 *′′* in diameter by 0.5 *′′* thick\n\nmounted on the corners of the spacecraft and oriented\n\nsuch that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 5 *′′* in di- ameter by 5 *′′* thick located on opposite sides of the\n\nspacecraft. None of the GBM detectors have direct\n\nimaging capability.\n\nKnown sources of gamma ray emission can be mon-\n\nitored with non-imaging detectors using the Earth oc-\n\ncultation technique, as was successfully demonstrated\n\nwith BATSE [3, 4]. When a source of gamma rays\n\nis occulted by the Earth, the count rate measured by\n\nthe detector will drop, producing a step-like feature.\n\nWhen the source reappears from behind the Earths\n\nlimb, the count rate will increase, producing another\n\nstep. The diameter of the Earth seen from Fermi is\n\n*∼* 140 *◦* , so roughly 30% of the sky is occulted by the\n\nEarth at any one time. Coupled with the *±* 35 *◦* slew-\n\ning of the pointing direction every orbit, this means\n\nthat the entire sky is occulted every two orbits. With\n\nan altitude of 565 km, a period of 96 minutes, and\n\nan orbital inclination of 26 *.* 5 *◦* , individual occultation\n\nsteps last for *∼* 10 seconds (Fig. 1).\n\n**eConf C091122**\n\narXiv:1001.0955v2 [astro-ph.HE] 6 Jan 2010 FIG. 1: Single Crab occultation step in a single GBM NaI",
- "page_start": 0,
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- "source_file": "1001.0955.pdf"
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- "text": "Figure 4: The *γ* -ray index versus submillimeter index plane. The blazars fall more steeply in the *γ* -rays than in the\n\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full *SMA* sample,\n\nwhere the blazars are more distributed around *α* S *∼* 0.\n\nas the presence of SSC versus ERC. Here, we use sub-\n\nmillimeter luminosity as a proxy for jet power, which\n\nis correlated with the integrated luminosity of the syn-\n\nchrotron component. Elevated *γ* -ray luminosity with\n\nrespect to the synchrotron component (which is often\n\nseen in FSRQs) suggests the upscattering of external\n\nphotons off the synchrotron-emitting electrons. These\n\nobjects should occupy the upper right of the ratio/jet\n\npower plot, and BL Lacs, which generally exhibit com-\n\nponents with roughly comparable luminosities, should\n\noccupy the lower left. It is clear from the figure, how-\n\never, that many FSRQs exhibit ratios similar to those\n\nof the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring\n\nepochs, 3C 454.3 transitions from its typical FSRQ\n\nstate to a more BL Lac-like state, where the syn-\n\nchrotron component emits much more strongly com-\n\npared to the *γ* -ray component than during its “low\n\nstate”. 3C 454.3, which is the highest submillime-\n\nter luminosity FSRQ in our sample, would then shift\n\ndown and to the right in Figure 5 when it enters a\n\nflaring period. For the first three months of the *Fermi*\n\nmission, 3C 454.3 was not flaring, which may explain\n\nits present location in Figure 5. The three objects for\n\nwhich there is a type discrepancy between CGRaBS\n\nand LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which sug-\n\ngest they may be undergoing the same changes as 3C\n\n454.3. A possible interpretation of the elevated lumi-\n\nnosity ratios observed in some BL Lacs objects is that\n\nthere has been a dramatic increase in *γ* -ray luminos-\n\nity due to ERC, which would not be reflected in the\n\nsynchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub-\n\nmillimeter is to study behavior close to the central\n\nengine, where the jet material is presumably still be-\n\ning accelerated. The separate emission processes that\n\ncontribute to overall SED may present differently in\n\nBL Lacs and FSRQs, allowing us to understand the\n\nsimilarities and differences between blazar types. We\n\nhave investigated these differences between objects in\n\nterms of submillimeter behavior and, in conclusion,\n\nfind that\n\n*-* The *SMA* blazars exhibit submillimeter energy spectral indexes that follow the spectral se-\n\nquence interpretation of blazars.\n\n**eConf C091122**",
- "page_start": 3,
- "page_end": 3,
- "source_file": "1001.0806.pdf"
- },
- {
- "text": "FIG. 3: Cen A light curve. Horizontal scale is in modified\n\nJulian days.\n\nto observe these breaks, GBM is able to see significant\n\nemission above 300 keV, consistent with the canonical\n\nhard spectrum.\n\n**Cen A** (Fig. 3) is a Sy 2 galaxy that is the brightest\n\nAGN in hard x-rays/low energy gamma rays. It has\n\na hard spectrum (Γ = 1 *.* 8) and has been observed at\n\nenergies *>* 1 MeV [9]. The GBM results are consis-\n\ntent with this hard spectrum, though GBM does not\n\nhave the sensitivity to determine if the hard spectrum\n\ncontinues beyond 300 keV or if the spectrum cuts off.\n\n**Cyg X-1** (Fig. 4) is a HMXB and one of the\n\nfirst systems determined to contain a black hole. It\n\nhas been observed to emit significant emission above\n\n100 keV including a power law tail extending out to\n\ngreater than 1 MeV [10, 11]. The GBM results show\n\nsignificant emission above 300 keV, consistent with\n\nthe power law tail observed when Cyg X-1 is in its\n\nhard state.\n\n**GRS 1915+105** (Fig. 5) is a LMXB with the com-\n\npact object being a massive black hole. Evidence for\n\nemission above 100 keV has been seen previously [12]\n\nwith BATSE. The GBM light curve integrated over\n\n490 days shows significant emission above 100 keV.\n\n**1E 1740-29** (Fig. 6) is a LMXB very near the\n\nGalactic Center. It is a microquasar, and spends most\n\nof its time in the low/hard state. Integral observa-\n\ntions indicate the presence of a power law tail above\n\n200 keV [13]. The present GBM results are consis-\n\ntent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modi-\n\nfied Julian days.\n\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in\n\nmodified Julian days.\n\n**eConf C091122**",
- "page_start": 2,
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- "source_file": "1001.0955.pdf"
- },
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- "text": "**Submillimeter Variability and the Gamma-ray Connection in** * **Fermi** *\n\n**Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA*\n\nA. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the *Submillimeter Array* ( *SMA* ) for a sample of 171 bright blazars,\n\n43 of which were detected by *Fermi* during the first three months of observations. We explore the correlation\n\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\n\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\n\ntermined using a combination of *Fermi* designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\n\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\n\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\n\nduring the months August- October 2008. The submillimeter light curves are modeled as first-order continuous\n\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\n\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\n\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\n\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\n\nflaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring\n\nevents occur in blazars indicate that much of the en-\n\nergy is being produced deep within the jet on small,\n\nsub-parsec scales [1, 2]. Understanding if/how emis-\n\nsion differs between blazar subclasses (i.e., BL Lacs\n\nobjects and flat-spectrum radio quasars (FSRQs))\n\nmay offer important insight into the similarity be-\n\ntween blazars and, furthermore, can provide con-\n\nstraints on the formation and acceleration of the jets\n\nthemselves.\n\nFor the synchrotron component of blazar spectra,\n\nthe low-frequency spectral break due to synchrotron\n\nself-absorption moves to higher frequencies as one\n\nmeasures closer to the base of the jet [2]. This of-\n\nten places the peak of the spectrum in the millime-\n\nter and submillimeter bands, where the emission is\n\noptically-thin and originates on parsec and sub-parsec\n\nscales [3], allowing direct observation of the most com-\n\npact regions near the central engine. The high en-\n\nergy *γ* -ray emission originates as a Compton process,\n\ntypically a combination of synchrotron-self-Compton\n\n(SSC) and external-radiation-Compton (ERC). De-\n\npending on the source properties, the synchrotron\n\nphotons or external photons are upscattered by the\n\nsame population of electrons that emit the millimeter\n\nand submillimeter spectra. Therefore the submillime-\n\nter and *γ* -ray emission are closely linked and give the\n\nfull information about the source emission.\n\nA systematic study of the submillimeter properties\n\nof the entire sample of *Fermi* blazars has yet to be con-\n\nducted and is one of the primary goals of our work. We\n\npresent here preliminary analysis of the submillimeter\n\nproperties of *Fermi* blazars detected by the *Submil-*\n\n*limeter Array* 1 ( *SMA* ) at 1mm and 850 *µ* m, including\n\nan investigation of variable behavior and the deter-\n\nmination of submillimeter energy spectral indices. In\n\naddition, we consider the connection to the observed\n\n*γ* -ray indices and luminosities.\n\n## **2.** * **SMA** * **BLAZARS**\n\nThe *Submillimeter Array* [4] consists of eight 6 m\n\nantennas located near the summit of Mauna Kea. The\n\n*SMA* is used in a variety of baseline configurations\n\nand typically operates in the 1mm and 850 *µ* m win-\n\ndows, achieving spatial resolution as fine as 0.25” at\n\n850 *µ* m. The sources used as phase calibrators for the\n\narray are compiled in a database known as the *SMA* Calibrator List 2 [5]. Essentially a collection of bright\n\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\n\nat 345 GHz), these sources are monitored regularly,\n\nboth during science observations and dedicated ob-\n\nserving tracks.\n\nTo select our sample, we identified objects in the\n\ncalibrator list that were also classified as BL Lacs or\n\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\n\nvey [6, CGRaBS]. Of the 243 total objects in the\n\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\n\nhave positive blazar class identifications, although\n\nthere are three sources (J0238+166, J0428-379, and\n\n1 The Submillimeter Array is a joint project between the\n\nSmithsonian Astrophysical Observatory and the Academia\n\nSinica Institute of Astronomy and Astrophysics and is funded\n\nby the Smithsonian Institution and the Academia Sinica.\n\n2 http://sma1.sma.hawaii.edu/callist/callist.html\n\n**eConf C091122**\n\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010 Figure 1: The *SMA* light curves for 3C 454.3. The open",
- "page_start": 0,
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- "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\n\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44 ,\n\n912 (1980).\n\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44 , 1316 (1980) [Erratum-ibid. 44 ,\n\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91 , 222 (1980).\n\n[3] S. Khalil, J. Phys. G 35 , 055001 (2008).\n\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676 , 81 (2009); Phys. Rev. D 80 , 115007\n\n(2009).\n\n[5] W. Emam and S. Khalil, Eur. Phys. J. C 522 , 625 (2007).\n\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101 , 181802 (2008).\n\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80 , 055030\n\n(2009).\n\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80 , 073015 (2009).\n\n[9] S. Khalil and O. Seto, JCAP 0810 , 024 (2008).\n\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70 , 093009 (2004).\n\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74 , 033011 (2006).\n\n[12] S. Dawson and W. Yan, Phys. Rev. D 79 , 095002 (2009).\n\n[[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].](http://arxiv.org/abs/1002.1939)\n\n[14] E. W. Kolb and M. S. Turner, The Early Universe , Addison-Wesley (1990).\n\n[15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170 , 377 (2007).\n\n[16] J. McDonald, Phys. Rev. D 50 , 3637 (1994).\n\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619 , 709 (2001).\n\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609 , 117 (2005).\n\n[19] T. Kikuchi and N. Okada, Phys. Lett. B 665 , 186 (2008).\n\n[20] C. E. Yaguna, JCAP 0903 , 003 (2009).\n\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67 , 085002 (2003).\n\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67 , 043516 (2003).\n\n[23] K. Cheung and O. Seto, Phys. Rev. D 69 , 113009 (2004).\n\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n\n[25] Z. Ahmed et al. [ [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].](http://arxiv.org/abs/0912.3592)\n\n[[26] http://xenon.astro.columbia.edu/.](http://xenon.astro.columbia.edu/)\n\n13",
- "page_start": 12,
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- "source_file": "1002.2525.pdf"
- },
- {
- "text": "[arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010](http://arxiv.org/abs/1001.0770v1)\n\n## **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration *Harvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645,* *USA*\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is\n\nused to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is\n\ncurrently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration’s Key\n\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\n\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which\n\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\n\nexposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including\n\n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected\n\nresults are presented.\n\n## **1. Introduction**\n\nActive galactic nuclei are the most numerous class\n\nof identified VHE γ -ray sources. These objects emit\n\nnon-thermal radiation across ∼ 20 orders of magnitude\n\nin energy and rank among the most powerful particle\n\naccelerators in the universe. A small fraction of AGN\n\npossess strong collimated outflows (jets) powered by\n\naccretion onto a supermassive black hole (SMBH).\n\nVHE γ -ray emission can be generated in these jets,\n\nlikely in a compact region very near the SMBH event\n\nhorizon. Blazars, a class of AGN with jets pointed\n\nalong the line-of-sight to the observer, are of par-\n\nticular interest in the VHE regime. Approximately\n\n30 blazars, primarily high-frequency-peaked BL Lacs\n\n(HBL), are identified as sources of VHE γ -rays, and\n\nsome are spectacularly variable on time scales com-\n\nparable to the light crossing time of their SMBH ( ∼ 2\n\nmin; [1]). VHE blazar studies probe the environment\n\nvery near the central SMBH and address a wide range\n\nof physical phenomena, including the accretion and\n\njet-formation processes. These studies also have cos-\n\nmological implications, as VHE blazar data can be\n\nused to strongly constrain primordial radiation fields\n\n(see the extragalactic background light (EBL) con-\n\nstraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy\n\ndistributions (SEDs), with one peak at UV/X-ray en-\n\nergies and another at GeV/TeV energies. The ori-\n\ngin of the lower-energy peak is commonly explained\n\nas synchrotron emission from the relativistic electrons\n\nin the blazar jets. The origin of the higher-energy\n\npeak is controversial, but is widely believed to be the\n\nresult of inverse-Compton scattering of seed photons\n\noff the same relativistic electrons. The origin of the\n\nseed photons in these leptonic scenarios could be the\n\nsynchrotron photons themselves, or photons from an\n\nexternal source. Hadronic scenarios are also plausible\n\nexplanations for the VHE emission, but generally are\n\nnot favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks\n\nand are crucial for extracting information from the\n\nobservations of VHE blazars. They are used to con-\n\nstrain the size, magnetic field and Doppler factor of\n\nthe emission region, as well as to determine the origin\n\n(leptonic or hadronic) of the VHE γ -rays. In leptonic\n\nscenarios, such MWL observations are used to mea-\n\nsure the spectrum of high-energy electrons producing\n\nthe emission, as well as to elucidate the nature of the\n\nseed photons. Additionally, an accurate measure of\n\nthe cosmological EBL density requires accurate mod-\n\neling of the blazar’s intrinsic VHE emission that can\n\nonly be performed with contemporaneous MWL ob-\n\nservations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m\n\natmospheric-Cherenkov telescopes located in Arizona,\n\nis used to study VHE γ -rays from a variety of astro-\n\nphysical sources [4]. VERITAS began scientific obser-\n\nvations with a partial array in September 2006 and has\n\nroutinely observed with the full array since Septem-\n\nber 2007. The performance metrics of VERITAS in-\n\nclude an energy threshold of ∼ 100 GeV, an energy\n\nresolution of ∼ 15%, an angular resolution of ∼ 0.1 ◦ ,\n\nand a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an\n\nactive maintenance program (e.g. frequent mirror re-\n\ncoating and alignment) to ensure its continued high\n\nperformance over time, and an upgrade improving\n\nboth the camera (higher quantum-efficiency PMTs)\n\nand the trigger system has been proposed to the fund-\n\ning agencies.\n\n1 A VERITAS telescope was relocated during Summer 2009,\n\nincreasing the array’s sensitivity by a factor ∼ 1.3.\n\neConf C091122",
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- "text": "detector. Horizontal scale is in seconds centered on the\n\noccultation time. Vertical scale is in measured counts.\n\nThe shape of the individual occultation steps de-\n\npends on energy and occultation angle. Transmis-\n\nsion as a function of time is modeled as *T* ( *t* ) =\n\n*exp* [ *−* *µ* ( *E* ) *A* ( *h* )], where *µ* ( *E* ) is the mass attenuation coefficient of gamma rays at energy *E* in air and *A* ( *h* )\n\nis the air mass along the line of sight at a given alti-\n\ntude *h* ( *t* ). Account is taken of the detector response\n\nas it changes as a function of angle across the fit win-\n\ndow. For each source, occultation times are predicted.\n\nEach step is fit over a 4-minute window along with a\n\nquadratic background and using an assumed spectrum\n\nto determine the detector count rate due to the source.\n\nThe instrument response is used to convert the count\n\nrate to a flux. Up to 31 steps are possible for a given\n\nsource in a day, and these steps are summed to get a\n\nsingle daily average flux. The GBM occultation sensi-\n\ntivity exceeds that of BATSE at energies below *∼* 25 keV and above *∼* 1 *.* 5 MeV [5]. This work uses the GBM CTIME data, with its\n\n8 broad energy channels and 0.256-second resolution,\n\nrebinned to 2-second resolution. The occultation tech-\n\nnique relies on an input catalog of known sources.\n\nCurrently, we are monitoring 64 sources. Of these\n\n64 sources, 6 steady sources are detected above 100\n\nkeV with a significance of at least 5 *σ* after *∼* 490 days of observations, and one transient source.\n\n## **III. RESULTS**\n\nThe results presented here are preliminary. We\n\nhave not completed the fine tuning of our algorithms,\n\nthough the average fluxes are not expected to change\n\nmuch. Future work will include using the GBM\n\nCSPEC data, with its finer energy binning, to exam-\n\nine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are\n\ncompared to Swift’s 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified\n\nJulian days over the 490 day GBM exposure period. Ver-\n\ntical scale is in photons/cm 2 /sec/keV averaged over daily\n\nintervals. Horizontal lines show the average flux in each of\n\nfive energy bands increasing from top to bottom\n\neral sources over the same time intervals in ref. [2],\n\nwhere it is seen that the results measured by the two\n\ninstruments compare well. At energies above the up-\n\nper energy limit of *∼* 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide\n\nthe only wide-field monitor available of the low en-\n\nergy gamma ray sky.\n\n### **A. Steady Sources**\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E\n\n1740-29, Cen A, and GRS 1915+105 are detected by\n\nGBM at energies above 100 keV. We show GBM light\n\ncurves generated from the Earth occultation analysis\n\nin several energy bands with one day resolution for\n\nthese six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged\n\nover all the days from Aug. 12, 2008 (the beginning of\n\nscience operations) to Dec. 15, 2009, approximately\n\n490 days.\n\nThe **Crab** (Fig. 2) spectrum in the hard x-ray/low\n\nenergy gamma-ray region can be described by a bro-\n\nken power law, with the spectrum steepening at 100\n\nkeV and then hardening at 650 keV [7, 8]. While the\n\nGBM CTIME data do not have the spectral resolution\n\n**eConf C091122**",
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- "text": "###### Board of Directors",
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- "text": "## **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each\n\nyear during periods of astronomical darkness and par-\n\ntial moonlight, respectively. The moonlight observa-\n\ntions are almost exclusively used for a blazar discovery\n\nprogram, and a large fraction of the dark time is used\n\nfor the blazar KSP, which consists of:\n\n- A VHE blazar discovery program ( ∼ 200 h / yr):\n\nEach year ∼ 10 targets are selected to receive\n\n∼ 10 h of observations each during astronomi-\n\ncal darkness. These data are supplemented by\n\ndiscovery observations during periods of partial\n\nmoonlight.\n\n- A target-of-opportunity (ToO) observation pro-\n\ngram ( ∼ 50 h / yr): VERITAS blazar obser-\n\nvations can be triggered by either a VERI-\n\nTAS blazar discovery, a VHE flaring alert ( > 2\n\nCrab) from the blazar monitoring program of\n\nthe Whipple 10-m telescope or from another\n\nVHE instrument, or a lower-energy flaring alert\n\n(optical, X-ray or Fermi-LAT). Should the guar-\n\nanteed allocation be exhausted, further time can\n\nbe requested from a pool of director’s discre-\n\ntionary time.\n\n- Multi-wavelength (MWL) studies of VHE\n\nblazars ( ∼ 50 h / yr + ToO): Each year one\n\nblazar receives a deep exposure in a pre-planned\n\ncampaign of extensive, simultaneous MWL (X-\n\nray, optical, radio) measurements. ToO observa-\n\ntion proposals for MWL measurements are also\n\nsubmitted to lower-energy observatories (e.g.\n\nSwift) and are triggered by a VERITAS discov-\n\nery or flaring alert.\n\n- Distant VHE blazar studies to constrain the ex-\n\ntragalactic background light (EBL): Here dis-\n\ntant targets are given a higher priority in the\n\nblazar discovery program, as well as for the\n\nMWL observations of known VHE blazars, par-\n\nticularly those with hard VHE spectra.\n\n## **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are\n\nlargely high-frequency-peaked BL Lac objects. How-\n\never, the program also includes IBLs (intermediate-\n\npeaked) and LBLs (low-peaked), as well as flat spec-\n\ntrum radio quasars (FSRQs), in an attempt to in-\n\ncrease the types of blazars known to emit VHE γ -rays.\n\nThe observed targets are drawn from a target list con-\n\ntaining objects visible to the telescopes at reasonable\n\nzenith angles ( − 8 ◦ < δ < 72 ◦ ), without a previously\n\npublished VHE limit below 1.5% Crab, and with a\n\nmeasured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also\n\nincluded in the target list. The target list includes:\n\n- All nearby ( z < 0 . 3) HBL and IBL recom-\n\nmended as potential VHE emitters in [5, 6, 7].\n\n- The X-ray brightest HBL ( z < 0 . 3) in the recent\n\nSedentary [8] and ROXA [9] surveys.\n\n- Four distant ( z > 0 . 3) BL Lac objects recom-\n\nmended by [5, 10].\n\n- Several FSRQ recommended as potential VHE\n\nemitters in [6, 11].\n\n- All nearby ( z < 0 . 3) blazars detected by\n\nEGRET [12].\n\n- All nearby ( z < 0 . 3) blazars contained in the\n\nFermi-LAT Bright AGN Sample [13].\n\n- All sources ( | b | > 10 ◦ ) detected by Fermi-LAT\n\nwhere extrapolations of their MeV-GeV γ -ray\n\nspectrum (including EBL absorption; assuming\n\nz = 0.3 if the redshift is unknown) indicates a\n\npossible VERITAS detection in less than 20 h.\n\nThis criteria is the focus of the 2009-10 VERI-\n\nTAS blazar discovery program.\n\n## **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ -ray emission from\n\n16 AGN (15 blazars), including 8 VHE discoveries.\n\nThese AGN are shown in Table I, and each has been\n\ndetected by the Large Area Telescope (LAT) instru-\n\nment aboard the Fermi Gamma-ray Space Telescope.\n\nEvery blazar discovered by VERITAS was the sub-\n\nject of ToO MWL observations to enable modeling of\n\nits simultaneously-measured SED. The known VHE\n\nblazars detected by VERITAS were similarly the tar-\n\ngets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov-\n\nered VHE emission from 2 blazars. These included\n\nthe first VHE-detected IBL, W Comae [14, 15], and\n\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-\n\nered 6 VHE blazars since the launch of Fermi. Three\n\nof these were initially observed by VERITAS prior to\n\nthe release of Fermi-LAT results, due to the X-ray\n\nbrightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-\n\nITAS in September 2008 [17] during a flaring episode\n\nthat was also observed by the Fermi-LAT [18]. The\n\nobserved flux above 200 GeV was 6% of the Crab Neb-\n\nula flux and the measured VHE spectrum was very\n\nsoft (Γ VHE ∼ 4 . 1). RGB J0710+591 was detected\n\neConf C091122",
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- "text": "Figure 5: Ratio of *γ* -ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\n\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\n\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n*-* BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter vari-\n\nability or characteristic timescale, but our sam-\n\nple of BL Lacs may be dominated by high-\n\npeaked BL Lacs (HBLs), which exhibit obser-\n\nvational similarities with FSRQs.\n\n*-* Blazar submillimeter light curves are consistent with being produced by a single process that ac-\n\ncounts for both high and low states, with char-\n\nacteristic timescales 10 *< τ* rest *<* 500 days.\n\n*-* The blazars detected by *Fermi* have synchrotron peaks at higher frequencies, regardless of sub-\n\nmillimeter luminosity.\n\n*-* FSRQs exhibit higher ratios of *γ* -ray to sub- millimeter luminosity than BL Lacs (Figure 5),\n\nbut all objects inhabit a region of parameter\n\nspace suggesting transitions between states dur-\n\ning flaring epochs.\n\nAs *Fermi* continues to observe fainter sources, the\n\nsample of objects for which we can perform this type of\n\nanalysis will increase and provide better limits on our\n\nresults. To understand the physical relevance of these\n\nresults, however, it is important to be able to distin-\n\nguish between the difference in variability between BL\n\nLacs and FSRQs. One avenue for exploring this dif-\n\nference is to monitor changing submillimeter energy\n\nspectral index and the ratio of *γ* -ray to submillime-\n\nter luminosity as functions of time. The full mean-\n\ning of the results of our autoregressive method is not\n\nyet clear, and will require better-sampled blazar light\n\ncurves and the comparison between *τ* rest with physical\n\ntimescales such as the synchrotron cooling timescale.\n\nThese analyses would allow us to place constraints\n\non the processes occurring near the base of the jet in\n\nblazars and further understand the intimate connec-\n\ntion between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF\n\nREU and DoD ASSURE programs under Grant no.\n\n0754568 and by the Smithsonian Institution. Par-\n\ntial support was also provided by NASA contract\n\nNAS8-39073 and NASA grant NNX07AQ55G. We\n\nhave made use of the SIMBAD database, operated at\n\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\n\ntragalactic Database (NED) which is operated by the\n\nJPL, Caltech, under contract with NASA.\n\n**eConf C091122**",
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- "source_file": "pubmed3.pdf",
- "query": "When in present-day Poland did the first shift away from earlier ancestry occur?",
- "target_page": 3,
- "target_passage": "in the Middle to Late Bronze Age (1500 bce to 1000 bce), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures",
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- "text": "**122** | Nature | Vol 637 | 2 January 2025\n\nmedieval individuals ( *P* ≪ 1 × 10 −32 ). Instead, the majority of individuals\n\nfrom medieval Poland can be modelled only as a mixture of ancestries\n\nrelated to Roman Iron Age Lithuania, which is similar to ancestries of\n\nindividuals from middle to late Bronze Age Poland (44%, 95% confidence\n\ninterval 36- 51%), an ancestry component related to Hungarian Scyth-\n\nians or Slovakian La Tène individuals (49%, 95% confidence interval\n\n41- 57%) and potentially a minority component of ancestry related to\n\nSarmatians from the Caucasus ( *P* = 0.13) (Fig. 2c). Four out of twelve\n\nindividuals from medieval Poland, three of whom are from the late\n\nViking Age 6 , carried detectable Scandinavian-related ancestry. Some\n\nof the ancestry detected in individuals from later medieval Poland may\n\nhave persisted during the late first millennium ce in the cremating\n\nportion of the population, but regardless, this points to large-scale\n\nancestry transformation in medieval Poland (Fig. 3a). Future data could\n\nshed light on the extent to which this reflects the influence of groups\n\nspeaking Slavic languages in the region.\n\nIn present-day Slovakia, individuals associated with the Iron\n\nAge La Tène period appear close to Hungarian Scythians in the two\n\ndimensions of our MDS analysis, and are modelled as a mixture of\n\ncentral and eastern European ancestry. However, a first-century ce\n\nburial of a 50- 60-year-old woman from Zohor is modelled only with\n\nScandinavian-related ancestry, providing evidence of ancestry related\n\nto the Scandinavian EIA appearing southwest of the range of the Wiel-\n\nbark archaeological complex 5,57 (Fig. 3b). Later early medieval individu-\n\nals from Slovakia have partial Scandinavian-related ancestry, providing\n\nevidence for the integration between expanding and local groups.\n\nNearby, in present-day Hungary, we observe Scandinavian-related\n\nancestry components in several burials dating to the sixth century\n\nce associated with Longobards (Longobard_earlyMED(I)) 10 (Fig. 2c).\n\nThis is consistent with the original study 10 , which reported affinity to\n\npresent-day groups from northwestern Europe (GBR, CEU and FIN in\n\nthe 1000 Genomes Project (1000GP)) 10 but which we can resolve with\n\n3000 BCE 2000 BCE 1000 BCE 1000 CE 2000 CE\n\nScandinavia\n\nSouthern Europe\n\nBritain\n\nCentral\n\nEurope\n\nEastern Europe\n\nBA\n\nItaly\n\nCentral Europe\n\n3000 BCE 2000 BCE\n\nEBA\n\n1000 BCE\n\nTime\n\n0 1000 CE 2000 CE\n\nMLBA Wielbark Middle Ages\n\nLate Roman/Ottoman\n\nEarly Medieval\n\nBaiuvarii\n\nMedieval/present day\n\nEarly Medieval/Longobard Iron Roman\n\nPresent day\n\nPresent day BA/Scythian\n\nBell Beaker/EBA\n\nZohor\n\nSoutheastern Europe\n\nPoland\n\nBritain and Ireland\n\nScandinavia\n\n**e**\n\n**f**\n\n**d**\n\n**c**\n\n**b**\n\n**a**\n\nIron Roman\n\nIron/Republic Imperial Late Antiquity (Early) Medieval\n\nEarly Medieval\n\nPresent day\n\nPresent day Medieval Iron Roman BA\n\nBA EIA Viking Age Medieval Present day\n\nDriffeld\n\nTerrace\n\nTarquinia\n\nLate Etruscan\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n2000 BCE 0\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n### **Fig. 3 | Time transects across six geographical regions in Europe.**\n\n**a** - **f** , Ancestry change visualized over a time transect spanning from the Bronze\n\nAge to the present day in Poland ( **a** ), southeastern Europe ( **b** ), central Europe\n\n( **c** ), Italy ( **d** ), Britain and Ireland ( **e** ) and Scandinavia ( **f** ). The maps show sample\n\nlocations of all available ancient genomes with at least 0.5× coverage from\n\nthese regions (Supplementary Table 1). Their ancestry is shown on the same\n\nMDS model as in Fig. 2a for each time period. For each geographic region,\n\nthe early medieval period is highlighted in orange and the area in the MDS\n\ncorresponding to Scandinavian and central European ancestries is highlighted\n\nin an orange box.",
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- "text": "**118** | Nature | Vol 637 | 2 January 2025\n\n## **High-resolution genomic history of early medieval Europe**\n\n**Leo Speidel 1,2,3** ✉ **, Marina Silva 1 , Thomas Booth 1 , Ben Raffield 4 , Kyriaki Anastasiadou 1 ,**\n\n**Christopher Barrington 5 , Anders Götherström 6,7 , Peter Heather 8 & Pontus Skoglund 1** ✉\n\nMany known and unknown historical events have remained below detection thresholds\n\nof genetic studies because subtle ancestry changes are challenging to reconstruct.\n\nMethods based on shared haplotypes 1,2 and rare variants 3,4 improve power but are not\n\nexplicitly temporal and have not been possible to adopt in unbiased ancestry models.\n\nHere we develop Twigstats, an approach of time-stratified ancestry analysis that can\n\nimprove statistical power by an order of magnitude by focusing on coalescences in\n\nrecent times, while remaining unbiased by population-specific drift. We apply this\n\nframework to 1,556 available ancient whole genomes from Europe in the historical\n\nperiod. We are able to model individual-level ancestry using preceding genomes to\n\nprovide high resolution. During the first half of the first millennium ce, we observe\n\nat least two different streams of Scandinavian-related ancestry expanding across\n\nwestern, central and eastern Europe. By contrast, during the second half of the first\n\nmillennium ce, ancestry patterns suggest the regional disappearance or substantial\n\nadmixture of these ancestries. In Scandinavia, we document a major ancestry influx\n\nby approximately 800 ce, when a large proportion of Viking Age individuals carried\n\nancestry from groups related to central Europe not seen in individuals from the early\n\nIron Age. Our findings suggest that time-stratified ancestry analysis can provide a\n\nhigher-resolution lens for genetic history.\n\nAncient genome sequencing has revolutionized our ability to recon-\n\nstruct expansions, migrations and admixture events in the ancient past\n\nand understand their impact on human genetic variation today. How-\n\never, tracing history using genetic ancestry has remained challenging,\n\nparticularly in historical periods for which the richest comparative\n\ninformation from history and archaeology often exists. This is because\n\nancestries in many geographical regions are often so similar as to be\n\nstatistically indistinguishable with current approaches. One example is\n\nnorthern and central Europe since the start of the Iron Age around 500\n\nbce, a period for which many long-standing questions remain, such as\n\nthe nature of large-scale patterns of human migration during the fourth\n\nto sixth centuries ce, their impact on the Mediterranean world and later\n\npatterns of human mobility during the Viking Age (around 750- 1050 ce).\n\nSeveral recent studies have documented substantial mobility and\n\ngenetic diversity in these time periods, suggesting stable population\n\nstructure despite high mobility 5 , and have revealed genetic variation\n\nin Viking Age Scandinavia 6- 8 , early medieval England 3,9 , early medieval\n\nHungary 10,11 and Iron Age and medieval Poland 12 . However, previous\n\nstudies mostly used large modern cohorts to study ancestry change\n\nthrough time and space. This is because the differentiation between\n\nIron Age groups in central and northern Europe is an order of magnitude\n\nlower (fixation index ( *F* ST ) = 0.1- 0.7%; Extended Data Fig. 1) than, for\n\nexample, the more commonly studied hunter-gatherer, early farmer\n\nand steppe-pastoralist groups that shaped the ancestry landscape of\n\nStone Age and Bronze Age Europe 13- 16 ( *F* ST = 5- 9% (refs. 13,17)). Modern\n\npopulations provide more power to detect differences, but their genetic\n\naffinity to ancient individuals may be confounded by later gene flow,\n\nthat is, after the time of the ancient individual(s) 18 . The most principled\n\napproach is thus to build ancestry models in which source and ‘out-\n\ngroup/reference’ populations are older than, or at least contemporary\n\nwith, the target genome or group that we are trying to model 18 . However,\n\nthis has been challenging, due to the limited statistical power offered\n\nby the thousands-fold lower sample sizes and reduced sequence qual-\n\nity of ancient genomes.\n\nReconstructing genetic histories and ancestry models from ancient\n\nDNA (aDNA) data commonly uses methods based on *f* -statistics 13,19- 22 .\n\nTheir popularity is rooted in a number of favourable properties, such\n\nas enabling analyses of lower-quality aDNA data, relative robustness\n\nto ascertainment and theoretical guarantees of unbiasedness, includ-\n\ning in the presence of population bottlenecks 21,23 . Approaches derived\n\nfrom *f* -statistics, such as qpAdm 13 , are close to unique in enabling the\n\nunbiased fitting of admixture models, including identifying the num-\n\nber of such events and the closest representatives of sources 13,14,23 .\n\nHowever, *f* -statistics have not always had sufficient power to recon-\n\nstruct events that involve closely related ancestries, despite increas-\n\ning sample sizes 6,24 . Methods that identify haplotypes, or shared\n\nsegments of DNA that are not broken down by recombination, have\n\npreviously been shown to have more power than those using individual\n\n[https://doi.org/10.1038/s41586-024-08275-2](https://doi.org/10.1038/s41586-024-08275-2)\n\nReceived: 14 December 2023\n\nAccepted: 23 October 2024\n\nPublished online: 1 January 2025\n\nOpen access\n\n[ Check for updates](http://crossmark.crossref.org/dialog/?doi=10.1038/s41586-024-08275-2&domain=pdf)\n\n1 Ancient Genomics Laboratory, Francis Crick Institute, London, UK. 2 Genetics Institute, University College London, London, UK. 3 iTHEMS, RIKEN, Wako, Japan. 4 Department of Archaeology and\n\nAncient History, Uppsala University, Uppsala, Sweden. 5 Bioinformatics and Biostatistics, Francis Crick Institute, London, UK. 6 Centre for Palaeogenetics, Stockholm University, Stockholm, Sweden.\n\n7 Department of Archaeology and Classical Studies, Stockholm University, Stockholm, Sweden. 8 Department of History, King’s College London, London, UK. ✉ [e-mail: leo.speidel@riken.jp; ](mailto:leo.speidel@riken.jp)\n\n[pontus.skoglund@crick.ac.uk](mailto:pontus.skoglund@crick.ac.uk)",
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- "text": "Nature | Vol 637 | 2 January 2025 | **123**\n\nhigher resolution using earlier genomes. Several other individuals from\n\nthese Longobard burials (Longobard_earlyMED(II)) show no detectable\n\nancestry from northern Europe and, instead, are more closely related to\n\nIron Age groups in continental central Europe, putatively representing\n\ndescendants of local people buried in a Longobard style. Our results are\n\nconsistent with attestations that the Longobards originated in the areas\n\nof present-day northern Germany or Denmark, but that by the sixth\n\ncentury ce they incorporated multiple different cultural identities, and\n\nmixed ancestries. Present-day populations of Hungary do not appear\n\nto derive detectable ancestry from early medieval individuals from\n\nLongobard contexts, and are instead more similar to Scythian-related\n\nancestry sources (Extended Data Fig. 6), consistent with the later impact\n\nof Avars, Magyars and other eastern groups 58 .\n\nIn southern Germany, the genetic ancestry of individuals from\n\nearly medieval Bavaria probably associated with the historical\n\nGermanic-language-speaking Baiuvarii 59 cannot be modelled as deriv-\n\ning ancestry solely from earlier groups in Iron Age central Germany\n\n( *P* ≪ 1 × 10 −36 ). The Baiuvarii probably appeared in the region in the\n\nfifth century ce 59 , but their origins remain unresolved. Our current\n\nbest model indicates a mixture with ancestry derived from EIA Pen-\n\ninsular Scandinavia and central Europe, suggesting an expansion of\n\nScandinavian-related ancestry producing a regional ancestry shift\n\n(Figs. 2c and 3c).\n\nIn Italy, southward expansions of northern and central European ances-\n\ntries appear by the Late Antiquity (approximately fourth century ce),\n\nwhere a clear diversification of ancestry can be observed compared\n\nwith preceding time periods (Fig. 3d). However, no individuals with\n\nnear 100% Scandinavian ancestry can be observed in the sampling\n\ndata available so far.\n\nIn Britain, the ancestries of Iron Age and Roman individuals form a\n\ntight cluster in our MDS analysis (Fig. 3e), shifted relative to available\n\npreceding Bronze Age individuals from Ireland and Orkney, and adja-\n\ncent to, but distinct from, available individuals in Iron Age and Roman\n\ncentral Europe. However, two first- to second-century ce burials from a\n\nRoman military fortress site in Austria (Klosterneuburg) 5 carry ancestry\n\nthat is currently indistinguishable from Iron Age or Roman popula-\n\ntions of Britain, to the exclusion of other groups (qpWave cladality\n\n*P* = 0.11). One option is that they had ancestry from Britain; alternatively,\n\ncurrently unsampled populations from western continental Europe\n\ncarried ancestries similar to Iron Age southern Britain.\n\nTwigstats substantially improves models of admixture between\n\nancestries from Iron Age Britain and northern Europe in early medi-\n\neval England 9 , halving standard errors from 9% with SNPs to 4% when\n\nusing time stratification (point estimates 80% and 79% Iron Age\n\nBritain-related ancestry, respectively). We used this improved reso-\n\nlution to demonstrate that an earlier Roman individual (6DT3) dating\n\nto approximately second to fourth century ce from the purported\n\ngladiator or military cemetery at Driffield Terrace in York (Roman\n\n*Eboracum* ), England 60 , who was previously identified as an ancestry\n\noutlier 61,62 , specifically carried approximately 25% EIA Scandinavian\n\nPeninsula-related ancestry (Fig. 2c). This documents that people with\n\nScandinavian-related ancestry already were in Britain before the fifth\n\ncentury ce, after which there was a substantial influx associated with\n\nAnglo-Saxon migrations 9 . Although it is uncertain whether this indi-\n\nvidual was a gladiator or soldier, individuals and groups from northern\n\nEurope are indeed recorded in Roman sources both as soldiers and as\n\nenslaved gladiators 63,64 .\n\nAcross Europe, we see regional differences in the southeastern and\n\nsouthwestern expansions of Scandinavian-related ancestries. Early\n\nmedieval groups from present-day Poland and Slovakia carry spe-\n\ncific ancestry from one of the Scandinavian EIA groups—the one with\n\nindividuals primarily from the northern parts of Scandinavia in the\n\nEIA—with no evidence of ancestry related to the other primary group\n\nin more southern Scandinavia (Fig. 2d). By contrast, in southern and\n\nwestern Europe, Scandinavian-related ancestry either derives from\n\nEIA southern Scandinavia—as in the cases of the probable Baiuvarii\n\nin Germany, Longobard-associated burials in Italy and early medieval\n\nburials in southern Britain—or cannot be resolved to a specific region\n\nin Scandinavia. If these expansions are indeed linked to language, this\n\npattern is remarkably concordant with the main branches of Germanic\n\nlanguages, with the now-extinct eastern Germanic spoken by Goths in\n\nUkraine on the one hand, and western Germanic languages such as Old\n\nEnglish and Old High German recorded in the early medieval period\n\non the other hand.\n\n### **Influx into pre-Viking Age Scandinavia**\n\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homo-\n\ngeneity. Specifically, individuals from Denmark (100 ce- 300 ce) were\n\nindistinguishable from contemporary people in the Scandinavian Pen-\n\ninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry\n\nalready in the eighth century ce (Late Iron Age/early Viking Age) on\n\nZealand (present-day Denmark) for which a 100% EIA ancestry model\n\nis rejected ( *P* = 1 × 10 −17 using Twigstats; *P* = 7.5 × 10 −4 without). This\n\nshift in ancestry persists among later Viking Age groups in Denmark,\n\nwhere all groups are modelled with varying proportions of ancestry\n\nrelated to Iron Age continental groups in central Europe (Figs. 3f\n\nand 4c). A non-parametric MDS of Viking Age individuals suggests\n\nthat variation between individuals forms a cline spanning from the\n\nEIA Scandinavian Peninsula individuals to ancestry characteristic of\n\ncentral Europe (Fig. 4e). The observed shift in ancestry in Denmark\n\ncannot be confounded by potentially earlier unknown gene flow into\n\nIron Age source groups in Austria, France and Germany, but such gene\n\nflow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry,\n\npotentially starting before the Viking Age, into the Jutland peninsula\n\nand Zealand island towards southern Sweden. The geographical ori-\n\ngin of this ancestry is currently difficult to discern, as the available\n\nsamples from Iron Age central Europe remain sparse. The timing\n\nof this expansion is constrained only by the samples available: this\n\nancestry is not observed in individuals from the Copenhagen area of\n\nDenmark (around 100 ce- 300 ce) 6 , an individual from the southern tip\n\nof Sweden (around 500 ce) 16 , individuals from the Sandby Borg mas-\n\nsacre site on Öland in present-day Sweden (around 500 ce) 7 and 31 indi-\n\nviduals from the mid-eighth century Salme ship burials in present-day\n\nEstonia (Extended Data Fig. 9), who probably originated in central\n\nSweden 6 . Therefore, this ancestry transformation most likely post-\n\ndated these individuals in each particular region and mostly occurred\n\nin the second half of the first millennium ce.\n\nTo assess the full extent of the impact of this ancestry influx into\n\nScandinavia, we next aimed to understand the ancestry of individu-\n\nals in Scandinavia during the Viking Age. Previous studies have sug-\n\ngested that there was a diversity of ancestries in Scandinavia during this\n\nperiod 6,7,65 , due to increased maritime mobility, but have not reported\n\nper-individual ancestry estimates based on preceding ancestry. We\n\nanalysed each individual’s ancestry using a rotational qpAdm scheme\n\n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which\n\nshowed increased power in distinguishing models when restricted\n\nto recent coalescences with Twigstats (more than 80% of accepted\n\none-source models in Twigstats were also accepted one-source models\n\nusing all SNPs, compared with less than 17% for the inverse).\n\nWe investigated regional differences in non-local ancestry across\n\nScandinavia. In Denmark, 25 out of 53 Viking Age individuals had detect-\n\nable ( *z-* score > 1) central European-related ancestry (CentralEurope.\n\nIronRoman or Portugal.IronRoman) in their best accepted qpAdm\n\nmodels. In Sweden 20 out of 62 individuals had detectable central\n\nEuropean-related ancestry, concentrated almost entirely in southern\n\nregions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed\n\nin only 2 out of 24 individuals, indicating a wide-ranging impact of\n\nincoming ancestry in southern Scandinavia and suggesting more",
- "page_start": 5,
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- "text": "**120** | Nature | Vol 637 | 2 January 2025\n\nreduces standard errors (s.e.) by up to tenfold and potentially more,\n\ndepending on sample sizes and details of the genetic history model. The\n\napproach does not produce detectable bias in estimates of admixture\n\nproportions (Fig. 1b- d and Extended Data Fig. 3). Furthermore, we\n\ndemonstrate that computing *f* -statistics on genotypes ascertained\n\nfor young mutation ages produce a power gain nearly equal to that\n\nproduced when using full genealogies in many examples, while add-\n\ning flexibility by allowing lower-quality genomes to be grafted onto a\n\ngenealogy reconstructed with higher-quality genomes 31 .\n\nWe further confirm with simulations that genealogy-based *f* -statistics\n\nestimates are robust to sequencing and phase-switch errors of expected\n\nmagnitude (Extended Data Fig. 3b). In fact, although sequence errors\n\ncan affect SNP-based population-genetic approaches substantially,\n\nerrors can be ‘corrected’ in genealogies as they take all variants in a\n\nregion into account 32 .\n\nPrevious studies have suggested ascertaining rare mutations as a\n\nproxy for recent history 3,4 , but we show that this approach is prone to\n\nbias when effective population sizes vary between populations, and\n\nthat using full time-restricted genealogies is both unbiased and more\n\npowerful (Fig. 1b and Extended Data Fig. 3). We attribute this to the\n\nobservation that mutation age is not fully predictive of allele frequency\n\n(Extended Data Fig. 4) and that the genealogy-based approach gains\n\npower from the inclusion also of higher-frequency young mutations\n\nthat ‘tag’ recent coalescences by closely pre-dating them. We demon-\n\nstrate that a widely used ‘chromosome painting’ approach, and any\n\nconceptually similar modelling based on identity by descent, that finds\n\nthe nearest neighbours between chromosomal segments in a sample\n\nand model groups using a non-negative least squares of genome-wide\n\npainting profiles 2 is also prone to bias, when source groups have under-\n\ngone strong drift since the admixture event (Fig. 1b and Extended Data\n\nFig. 3b).\n\nWe next test the Twigstats time-restricted genealogy approach\n\non a range of empirical examples. First, we boost pairwise outgroup\n\n*f* 3 -statistics 44 to quantify fine-scale population structure; we demon-\n\nstrate this improvement using a previously proposed simulation 39\n\n(Extended Data Fig. 5a). When applied to published genomes from\n\nNeolithic Europe (Methods and Supplementary Table 1), we can repli-\n\ncate the previously suggested fine-scale structure between individuals\n\nburied in megalithic structures in Ireland compared with others 45 , a\n\nrelationship that is not apparent from SNP data alone (Extended Data\n\nFig. 5b). For the well-studied example of three major ancestries contrib-\n\nuting to prehistoric Europe, that is, Mesolithic hunter-gatherers, early\n\nfarmers and steppe populations 13- 16 , we obtain unbiased estimates and\n\nan approximately 20% improvement in standard errors in an already\n\nwell-powered qpAdm model 46 (Extended Data Fig. 5c).\n\nFinally, we demonstrate that Twigstats can be used to resolve com-\n\npeting models of punctual admixture and long-standing gene flow, or\n\nconstrain the time of admixture. For instance, it has previously been\n\nsuggested that long-standing deep structure and gene flow between\n\nNeanderthals and early modern humans in Africa may produce genetic\n\npatterns that resemble a punctual admixture event some 60,000 years\n\nago 47- 49 , casting doubt on the model of Neanderthal admixture into\n\nancestors of Eurasians 49- 51 . However, whereas such long-standing deep\n\nsubstructure would confound SNP-based *f* -statistics to produce pat-\n\nterns similar to Neanderthal admixture, we demonstrate, in simula-\n\ntions, that Twigstats can clearly distinguish this history from recent\n\nadmixture (Extended Data Fig. 5d). Application of Twigstats on empiri-\n\ncal whole genomes produces results inconsistent with deep substruc-\n\nture alone, but consistent with punctual admixture.\n\n### **Ancestry models of early medieval Europe**\n\nHaving demonstrated that the Twigstats approach can effectively\n\nimprove resolution and statistical power to test ancestry models and\n\nestimate proportions, we turn to the history of early medieval Europe.\n\nIn the first half of the first millennium ce, Roman historians such as\n\nTacitus and Ammianus Marcellinus described the geographical dis-\n\ntribution and movements of groups beyond the imperial frontier and\n\nsuggested a potential role for them in the fall of the western Roman\n\nEmpire 52 . However, the exact nature and scale of these historically\n\nattested demographic phenomena—and their genetic impact—\n\nhave been questioned 53 , and have been difficult to test with genetic\n\napproaches owing to the close relations shared between many groups\n\nthat were ostensibly involved. Less is understood at further distances\n\nfrom the Roman frontier owing to a lack of historical accounts. The\n\nimproved statistical power of time-restricted ancestry in Twigstats\n\nthus offers an opportunity to revisit these questions.\n\nTo develop an ancestry model for early medieval individuals (Supple-\n\nmentary Table 1), we first need a broad characterization of the ancestry\n\nof the earlier sources from the early Iron Age (EIA) and Roman periods.\n\nWe use hierarchical UPGMA clustering based on pairwise clade testing\n\nbetween all individuals, and formally test the cladality of proposed\n\nancestry groups with qpWave 5 (cladality in this sense means whether\n\nthey are consistent with being symmetrically related to all other tested\n\ngroups; Methods). This resulted in a set of model ancestry sources\n\nthat included Iron Age and Roman Britain ( *n* = 11), the Iron Age of cen-\n\ntral European regions of mostly Germany, Austria and France ( *n* = 10),\n\nRoman Portugal ( *n* = 4), Roman Italy ( *n* = 10), Iron Age Lithuania ( *n* = 5),\n\nthe EIA Scandinavian Peninsula (Sweden and Norway, *n* = 10) and several\n\nother more eastern groups dating to the Bronze Age and EIA ( *n* = 25)\n\n(Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm\n\napproach 54 to narrow down the set of contributing sources from this\n\nlarger pool of putative sources.\n\nWe additionally perform non-parametric multidimensional scaling\n\n(MDS) on outgroup- *f* 3 statistics 44 computed using Twigstats, the results\n\nof which do not depend on any modelling assumptions and which show\n\nincreased resolution compared with conventional outgroup- *f* 3 sta-\n\ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2).\n\nEncouragingly, the MDS model supports regional fine-scale genetic\n\nstructures reflected in our source groups, such as the separation of\n\npredominantly Norwegian and northern Swedish EIA individuals from\n\nsouthern Peninsular Scandinavia (Fig. 2a); this relationship is not\n\ndetected without Twigstats. In this MDS analysis, we note a close affinity\n\nof wide-ranging individuals from Portugal, France, Germany, Austria\n\nand Britain. We hypothesize that this corresponds to areas associated\n\nwith the Celtic-speaking world, and that their close genetic affinity is\n\ndue to earlier expansions. Sparse sampling limits our understanding\n\nof the full extent of regional ancestry variation in central Europe and\n\nsome other regions, but the continental ancestries differentiated in\n\nthe MDS model suggests that major ancestry variation across Europe\n\nin this period is relatively well captured.\n\n### **Expansions of Scandinavian-like ancestry**\n\nWe assembled time transects using available aDNA data across several\n\ngeographical regions in Europe, and infer their ancestry using a model\n\nwith the EIA or Roman Iron Age sources previously defined (shown in\n\nFig. 2a). Our modelling provides direct evidence of individuals with\n\nancestry originating in northern Germany or Scandinavia appearing\n\nacross Europe as early as the first century ce (Figs. 2b,c and 3 and Sup-\n\nplementary Table 3).\n\nIn the region of present-day Poland, our analysis suggests several\n\nclear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 bce\n\nto 1000 bce), we observe a clear shift away from preceding ancestry\n\noriginally associated with Corded Ware cultures 55 (Fig. 3a). Second,\n\nin the first to fifth century ce, individuals associated with Wielbark\n\nculture 5,12 show an additional strong shift away from the preceding\n\nBronze Age groups, and can only be modelled with a >75% component\n\nattributed to the EIA Scandinavian Peninsula. Multiple individuals,\n\nespecially from earlier Wielbark cemeteries, have approximately 100%",
- "page_start": 2,
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- {
- "text": "Nature | Vol 637 | 2 January 2025 | **125**\n\n(including one with ancestry related to Britain) are part of the majority\n\nstrontium values, consistent with them having grown up locally. By\n\ncontrast, the six most clearly non-local individuals based on the sta-\n\nble isotopes all have 50% or more EIA Scandinavian Peninsula-related\n\nancestry, although three individuals with wholly EIA Scandinavian\n\nPeninsula-related ancestry also had local values. This suggests that\n\nthe presence of central European-related ancestry was not a transient\n\nphenomenon, but an ancestry shift that occurred at some point after\n\nabout 500 ce, the period to which individuals from the massacre site\n\nat Sandby Borg ringfort on Öland were dated; these individuals all have\n\nstrictly EIA Scandinavian-related ancestry. Indeed, one hypothesis is\n\nthat the massacre at Sandby Borg could represent conflict associated\n\nwith movements of people that contributed to later ancestry change,\n\nalthough other scenarios are possible and further synthesis of biomo-\n\nlecular and archaeological data is necessary to test this hypothesis.\n\n### **Viking Age mobility into Scandinavia**\n\nPrevious studies had suggested a major influx of ancestry related to\n\nBritain into Viking Age Scandinavia 6,7 . Although we detect this ances-\n\ntry in some individuals (7 individuals in Norway, 14 in Denmark and\n\n14 in Sweden), including some individuals whose ancestry appears to\n\nbe entirely derived from Iron Age Britain, its overall impact appears\n\nreduced compared with previous reports. Our analysis indicates a pro-\n\nportionally larger impact of ancestry from Iron Age Britain in northern\n\nNorway, with southern Scandinavia predominantly influenced by\n\ncontinental central European ancestries (Fig. 4d). We hypothesize\n\nthat our estimates of ancestry from Britain are reduced relative to\n\nprevious studies because ancestry related to Britain and continen-\n\ntal central Europe may have been indistinguishable. This could be\n\ndue to a lack of statistical power to distinguish these closely related\n\nsources with standard methods, as well as through potential biases\n\nintroduced by using modern surrogate populations that have since\n\nbeen influenced by later gene flow (such as gene flow into Britain).\n\nWe illustrate this by replicating the analyses previously described 6,7\n\n(Extended Data Fig. 8).\n\nSimilarly, a previous study has suggested that individuals at sites such\n\nas Kärda in southern Sweden carried ancestry from southern Europe 6 .\n\nIn our models, two Kärda individuals fit with central European-related\n\nancestry, but none of the individuals has a substantial proportion of\n\nancestry related to southern European sources (Extended Data Fig. 9).\n\nInstead, we detect ancestry from southern European sources in only\n\nthree individuals from Scandinavia, and in relatively small propor-\n\ntions (Fig. 4a).\n\nInterestingly, we detect ancestry from Bronze and Iron Age sources\n\nfrom Eastern Europe (present-day Lithuania and Poland), concentrated\n\nin southeastern parts of Sweden, particularly the island of Gotland\n\n(14 individuals; Fig. 4a). This is consistent with previous genetic\n\nstudies 6,7 . We find that this ancestry is enriched in male individuals\n\n(Extended Data Fig. 7d), suggesting male-biased mobility and/or burial.\n\nThe closest match tends to be Roman Iron Age Lithuanian genomes\n\nassociated with Balts, which would be consistent with mobility across\n\nthe Baltic Sea, but we caution that the geographical representation of\n\navailable genomes is still limited.\n\n### **Viking Age expansion from Scandinavia**\n\nTraditionally, historical perspectives on what is now often referred\n\nto as the Viking diaspora placed an emphasis on the movements and\n\nsettlements of population groups from various parts of Scandinavia 67 .\n\nOur explorative MDS analysis again indicates mixed ancestries related\n\nto the Scandinavian EIA, with regional differences that point to varied\n\nlocal admixture (Fig. 4e and Extended Data Fig. 10).\n\nIn Britain, most of the individuals recovered from the two late Viking\n\nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s\n\nCollege, Oxford 6 , show ancestries typical of those seen in Viking Age\n\nsouthern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age\n\nindividuals in the Faroe Islands, Iceland and Greenland carry ancestry\n\nfrom the Scandinavian Peninsula, with several individuals showing the\n\ncontinental central Europe-related ancestry signal found in south-\n\nern Scandinavia (Fig. 4f) and others who share substantial ancestry\n\nwith Iron Age Britain. In contrast to previous hypotheses 68 , we found\n\na marginal enrichment of ancestry related to Britain and Ireland in\n\nmen (15 out of 17 men and 3 out of 6 women with at least one accepted\n\nmodel involving Iron or Roman Age Britain as source; Fisher’s exact\n\ntest *P* = 0.089) (Extended Data Fig. 7c,e). However, sampling of addi-\n\ntional individuals to improve distinction between early English- and\n\nNorse-related ancestries would be required to fully test this hypothesis.\n\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking\n\nAge burial from Ukraine, and these ancestries are overrepresented\n\nin Viking Age burials from present-day Russia. At Staraya Ladoga in\n\nwestern Russia, we observe several individuals with EIA Scandinavian\n\nPeninsula-related ancestry and at least one individual dated to the\n\neleventh century with apparent ancestry related to Iron Age Britain.\n\nThe relative absence of Iron Age central European ancestry, which was\n\nlargely restricted to southern Scandinavia during the Viking Age, is thus\n\nindicative that these individuals may have originated in the central/\n\nnorthern parts of Sweden or Norway, where Viking Age individuals\n\nshow the most similar ancestry profiles to them.\n\n### **Conclusions**\n\nOur approach, Twigstats, transfers the power advantage of haplotype-\n\nbased approaches to a fully temporal framework, which is applica-\n\nble to *f* -statistics and enables previously unavailable unbiased and\n\ntime-stratified analyses of admixture. We demonstrated that Twigstats\n\nenables fine-scale quantitative modelling of ancestry proportions,\n\nrevealing wide-ranging ancestry changes that affect northern and\n\ncentral Europe during the Iron, Roman and Viking ages. We reveal evi-\n\ndence of the southward and/or eastward expansion of individuals who\n\nprobably spoke Germanic languages and who had Scandinavian-related\n\nancestry in the first half of the first millennium ce. We note that\n\n‘Scandinavian-related’ in this context relates to the ancient genomes\n\navailable, and so it is entirely possible that these processes were driven,\n\nfor example, from regions in northern-central Europe. This could be\n\nconsistent with the attraction of the greater wealth, which tended to\n\nbuild up among Rome’s immediate neighbours and may have played\n\na major role in vectors of migration internal to communities in Europe\n\nwho lived beyond the Roman frontier 52 . Later, patterns of gene flow\n\nseem to have turned northwards, with the spread of Iron Age Central\n\nEurope-related ancestry into Scandinavia. Overall, our approach can\n\nbe used for the reconstruction of new high-resolution genetic histories\n\naround the world.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting summa-\n\nries, source data, extended data, supplementary information, acknowl-\n\nedgements, peer review information; details of author contributions\n\nand competing interests; and statements of data and code availability\n\n[are available at https://doi.org/10.1038/s41586-024-08275-2.](https://doi.org/10.1038/s41586-024-08275-2)\n\n1. Lawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using\n\ndense haplotype data. *PLoS Genet.* **8** , 11- 17 (2012).\n\n2. Hellenthal, G. et al. A genetic atlas of human admixture history. *Science* **343** , 747- 751\n\n(2014).\n\n3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British\n\nmigration history. *Nat. Commun.* **7** , 10408 (2016).\n\n4. Flegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and\n\nNorth America. *Nature* **570** , 236- 240 (2019).\n\n5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high\n\nmobility. *eLife* **13** , e79714 (2024).",
- "page_start": 7,
- "page_end": 7,
- "source_file": "pubmed3.pdf"
- },
- {
- "text": "individuals form a clade with respect to reference groups. The reason\n\nwhy this is a principled approach despite the 1000GP groups post-dating\n\nthe ancient individuals is that if a group of ancient individuals are truly\n\nhomogeneous, they will be so also with respect to later individuals.\n\nWe then define clusters by running UPGMA (unweighted pair group\n\nmethod with arithmetic mean) on −log 10 [ *P* values] obtained from\n\nqpwave between all pairs of individuals and cut the resulting dendro-\n\ngram at a height corresponding to a *P* value of 0.01. We then further\n\nsubdivide clusters by requiring all samples to be within 500 years of\n\nthe mean cluster age.\n\nTo choose the source groups shown in Fig. 2a and Extended Data\n\nFig. 1d, we run this algorithm on samples from Iron and Roman Age\n\nEurope (Supplementary Table 1). We retain groups that have at least\n\nthree individuals and, therefore, exclude clusters of size one or two.\n\nThis approach results in two clusters in the Scandinavian Penin-\n\nsula, approximately separating northern from southern Scandinavia,\n\nthree clusters in Poland and Ukraine that separate samples tempo-\n\nrally between the early and later Bronze Age, a cluster combining the\n\nHungarian Scythian and Slovakian La Tène-associated individuals,\n\nand a cluster each for Iron and Roman Age Portugal, Italy and Lithu-\n\nania. In present-day Austria, Germany and France, this approach\n\nidentifies three clusters, with each cluster spanning multiple archae-\n\nological sites in different countries, indicating genetic diversity in\n\nthis region in the first millennium ce. Encouragingly, these clusters\n\nseparate in our non-parametric MDS analysis (Fig. 2a), indicating that\n\nwe are capturing real genetic differences between groups using this\n\napproach.\n\n**Fine-scale structure in Neolithic Europe.** To quantify fine-scale struc-\n\nture in Neolithic Europe (Extended Data Fig. 5b), we aimed to select\n\nindividuals in Neolithic Europe who have not yet been affected by the\n\narrival of Steppe ancestry and do not show excess hunter-gatherer\n\nancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and\n\nWestern Hunter-gatherers as source groups and reference groups\n\naccording to a previously proposed qpAdm setup 46 (Supplementary\n\nTable 1). For this analysis, we infer ancestry using qpAdm applied to\n\n1.2 million SNP sites of imputed genomes. We retain only Neolithic\n\nindividuals with *P* > 0.01, *z* < 2 for Yamnaya ancestry, and *z* < 2 or\n\nproportion <0.25 for Western Hunter-gatherer ancestry.\n\n**Reporting summary**\n\nFurther information on research design is available in the Nature Port-\n\nfolio Reporting Summary linked to this article.\n\n**Data availability**\n\nAll aDNA data used in this study were publicly available, and accession\n\ncodes are listed in Supplementary Table 1.\n\n**Code availability**\n\nTwigstats is freely available under an MIT licence through GitHub\n\n[(https://github.com/leospeidel/twigstats), and detailed documenta-](https://github.com/leospeidel/twigstats)\n\n[tion, as well as example data, is available at https://leospeidel.github.](https://leospeidel.github.io/twigstats/)\n\n[io/twigstats/. The code has also been deposited at Zenodo (https://](https://zenodo.org/records/13833120)\n\n[zenodo.org/records/13833120)](https://zenodo.org/records/13833120) 76 . All scripts to reproduce simulations,\n\nand to run Relate on imputed ancient genomes, and downstream\n\nanalyses, including computation of *f* -statistics and running qpAdm\n\n[models, are available through GitHub (https://github.com/leospeidel/ ](https://github.com/leospeidel/twigstats_paper)\n\n[twigstats_paper).](https://github.com/leospeidel/twigstats_paper)\n\n70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting\n\ncomplex models of population history to *f* -statistics. *eLife* **12** , e85492 (2023).\n\n71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and\n\ngenealogical analysis for large sample sizes. *PLoS Comput. Biol.* **12** , e1004842\n\n(2016).\n\n72. da Mota, B. S. et al. Imputation of ancient human genomes. *Nat. Commun.* **14** , 3660\n\n(2023).\n\n73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation\n\nof low-coverage sequencing data using large reference panels. *Nat. Genet.* **53** , 120- 126\n\n(2021).\n\n74. The 1000 Genomes Project Consortium. A global reference for human genetic variation.\n\n*Nature* **526** , 68- 74 (2015).\n\n75. Mallick, S. et al. The Simons Genome Diversity Project: 300 genomes from 142 diverse\n\npopulations. *Nature* **538** , 201- 206 (2016).\n\n76. Speidel, L. leospeidel/twigstats: Twigstats v1.0.1. *Zenodo* [ https://doi.org/10.5281/zenodo. ](https://doi.org/10.5281/zenodo.13833119)\n\n[13833119 (2024).](https://doi.org/10.5281/zenodo.13833119)\n\n77. Skoglund, P. et al. Genetic evidence for two founding populations of the Americas. *Nature*\n\n**525** , 104- 108 (2015).\n\n78. Prüfer, K. et al. The complete genome sequence of a Neanderthal from the Altai Mountains.\n\n*Nature* **505** , 43- 49 (2014).\n\n79. Prüfer, K. et al. A high-coverage Neandertal genome from Vindija Cave in Croatia. *Science*\n\n**358** , 655- 658 (2017).\n\n**Acknowledgements** L.S. was supported by a Sir Henry Wellcome Fellowship (220457/Z/20/Z).\n\nP.S. was supported by the European Molecular Biology Organization, the Vallee Foundation,\n\nthe European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis\n\nCrick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research\n\nCouncil and the Wellcome Trust. B.R. was supported by the Swedish Research Council\n\n(2021-03333).\n\n**Author contributions** P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S.\n\nand P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S.,\n\nM.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript.\n\n**Funding** Open Access funding provided by The Francis Crick Institute.\n\n**Competing interests** The authors declare no competing interests.\n\n**Additional information**\n\n**Supplementary information** The online version contains supplementary material available at\n\n[https://doi.org/10.1038/s41586-024-08275-2.](https://doi.org/10.1038/s41586-024-08275-2)\n\n**Correspondence and requests for materials** should be addressed to Leo Speidel or\n\nPontus Skoglund.\n\n**Peer review information** *Nature* thanks Jerome Kelleher, Duncan Sayer and the other,\n\nanonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer\n\nreports are available.\n\n**Reprints and permissions information** [is available at http://www.nature.com/reprints.](http://www.nature.com/reprints)",
- "page_start": 11,
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- },
- {
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The images or other third party material in this article are\n\nincluded in the article’s Creative Commons licence, unless indicated otherwise in a credit line\n\nto the material. If material is not included in the article’s Creative Commons licence and your\n\nintended use is not permitted by statutory regulation or exceeds the permitted use, you will\n\nneed to obtain permission directly from the copyright holder. To view a copy of this licence,\n\n[visit http://creativecommons.org/licenses/by/4.0/.](http://creativecommons.org/licenses/by/4.0/)\n\n© The Author(s) 2025",
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- "text": "**124** | Nature | Vol 637 | 2 January 2025\n\ncontinuity from the EIA in Norway and northern Sweden (Fig. 4a). When\n\nconsidered collectively, the individuals who show evidence of central\n\nEuropean-related ancestry are mostly observed in regions histori-\n\ncally within the Danish sphere of influence and rule. Currently, no such\n\nindividuals, for example, are noted in eastern central Sweden, which\n\nwas a focus of regional power of the Svear (Fig. 4a). The difference in\n\ndistribution could suggest that the central European-related ancestry\n\nwas more common in regions dominated by the historical Götar and\n\ngroups inhabiting the lands on the borders of the Danish kingdom.\n\nTo test the extent to which the variation in ancestry was consistent\n\nwith mobility during the lifetime of the individuals or, alternatively,\n\nthat of established groups, we focused on the island of Öland in south-\n\neast Sweden, where 23 individuals for whom we could reconstruct\n\nancestry portraits also had associated strontium stable isotope data 66 .\n\nStrontium isotope data from dental enamel reflect the geology of the\n\nregion where an individual grew to maturity, and there are considerable\n\ndifferences in expectations between Öland and many other regions\n\nin northern Europe. The full range of strontium isotope ratios in 109\n\nindividuals show two modes, a majority group with low ratios and a\n\nsecond minority group with high ratios falling outside the expected\n\nrange of local fauna (Fig. 4b). Among 23 individuals with genomes in\n\nour data, all 5 individuals with 100% ancestry relating to central Europe\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nProportion of ancestry\n\nScandinavian Peninsula\n\n70.5\n\n87 Srf/ 86 Sr\n\n0.71 0.72 0.73 0.74 0\n\n0.5\n\n1.0\n\n0\n\n0.5\n\n1.0\n\n1 2 1\n\n3.2 3.1\n\n17.0 1.7 15.7 6.1 20.8 17.5\n\n1.6\n\n2\n\n0\n\n0.25\n\n0.50\n\n0.75\n\n1.00 **b**\n\n0\n\n10\n\n20\n\n30\n\n40\n\n50 Stable isotope histogram counts Ancestry proportion Continental-related ancestry\n\n67.5\n\n64.5\n\n61.5\n\n58.5\n\n55.5\n\nCentral Europe Britain\n\nNorway_VA\n\nLatitude\n\nDenmark_VA Farfung_VA\n\nSweden_VA\n\n0 0.25 0.50 0.75 1.00\n\n1 2 1 2 1 2\n\nAll SNPs\n\nTwigstats 1,000\n\nFaroes\n\nIreland\n\nIsle of Man\n\nOrkney_VA\n\nOxford_VA\n\nZealand_VA(7) Langeland_VA(18) Jutland_VA(13) Funen_VA(12) Denmark_EVA(3)\n\n**c**\n\n**d**\n\n**e**\n\n**f**\n\n**a** Scandinavian Peninsula EIA Central Europe Iron Roman Britain Iron Roman Southern Europe Eastern Europe\n\nDorset_VA\n\nIceland\n\nGreenland\n\nSlovenia.Roman.oNorthEurope\n\nSlovenia.lronRoman\n\nSlovakia.MigrationPeriod\n\nSlovakia_Zohor_Germanic_Roman\n\nScandinavian_Peninsula_EIA(II)\n\nScandinavian_Peninsula_EIA(I)\n\nSaami\n\nRussia_Sarmatian\n\nPortugal.lronRoman\n\nPolandUkraine_MLBA(II)\n\nPolandUkraine_MLBA(I)\n\nPoland_Wielbark(III)\n\nPoland_Wielbark(II)\n\nPoland_Wielbark(I)\n\nPoland_Middle_Ages(II)\n\nPoland_BA\n\nNetherlands_Friesland_Saxon\n\nLongobard_EMED(II)\n\nMontenegro_EM\n\nLongobard_EMED(I)\n\n**Lithuania.lronRoman**\n\n**Kyrgyzstan_TianShanHun**\n\nltaly.lronRepublic\n\nltaly.lmperial(lI)\n\n**Italy.lmperial(l)**\n\nIrelandOrkney_BA\n\n**HungarySlovakia.lronRoman**\n\nHungary_EM(II)\n\nHungary_EM(I)\n\nEngland.Roman.Gladiator.Scandinavia\n\nEngland_Saxon_midCNE\n\nEngland_Saxon_lowCNE\n\nEngland_Saxon_highCNE\n\nDenmark_IA\n\nDenmark_EVA\n\nDenmark_BA\n\nCroatia.lronRoman_oNorthEurope\n\nCordedWare_EBA\n\n**CentraIEurope.IronRoman(lII)**\n\n**CentraIEurope.lronRoman(lI)**\n\n**CentraIEurope.lronRoman(l)**\n\n**Britain.lronRoman**\n\nBaiuvarii_EMED\n\nAustria_Klosterneuburg_Roman\n\nAnatolia EBA\n\nPoland_Middle_Ages(I)\n\nRussia\n\nUkraine\n\n0 0.25 0.50 0.75 1.00 0 0.25 0.50 0.75 1.00\n\n**Fig. 4 | Ancestry in the Viking world. a** , Map showing ancestry carried by\n\nScandinavian Viking Age individuals as inferred using the best-fitting qpAdm\n\nmodel. These are chosen by either choosing the one-source model with largest\n\n*P* value and *P* > 0.01 or the two-source model with the largest *P* value and *P* > 0.01.\n\nExtended Data Fig. 7 shows the same map with all accepted models. **b** , Stable\n\nisotope data indicating the geology of childhood origin. The histogram shows\n\nthe ratio of strontium isotopes 87 to 86 measured in 109 individuals in Öland 69 .\n\nFor individuals included in our ancestry modelling, we plot Iron Age central\n\nEuropean-related ancestry against their stable isotope values (grey circles,\n\n*r* = −0.39, *P* = 0.075). Shared area corresponds to the 95% confidence band\n\naround the regression line. **c** , The ancestry shift observed in Viking Age Danish\n\ngroups using qpAdm on all SNPs or Twigstats. We show the best one-source and\n\nall two-source models with *P* > 0.05. For models with *P* < 0.05, the −log 10 [ *P* value]\n\nis shown under the plot. Sample sizes for each group are shown in brackets.\n\n**d** , The ancestry proportion across Viking Age individuals in Denmark, Sweden\n\nand Norway grouped by latitude. **e** , Viking Age genetic variation (grey circles)\n\nvisualized on the same MDS as in Fig. 2a,b. **f** , The best-fitting qpAdm ancestry\n\nmodel for far-flung Viking individuals. Detailed models for all individuals are\n\nshown in Extended Data Figs. 9 and 10. In **c** and **f** , we show one s.e. Rotating\n\nqpAdm sources are marked in bold in the key.",
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- "text": "Nature | Vol 637 | 2 January 2025 | **121**\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark\n\narchaeological complex has been linked to the later Chernyakhov cul-\n\nture to the southeast and to early Goths, an historical Germanic group\n\nthat flourished in the second to fifth centuries ce 56 . Our modelling\n\nsupports the idea that some groups that probably spoke Germanic\n\nlanguages from Scandinavia expanded south across the Baltic into\n\nthe area between the Oder and Vistula rivers in the early centuries ce,\n\nalthough whether these expansions can be linked specifically with\n\nhistorical Goths is still debatable. Moreover, since a considerable\n\nproportion of Wielbark burials during this period were cremations,\n\nthe possible presence of individuals with other ancestries cannot be\n\nstrictly rejected if they were exclusively cremated (and are therefore\n\ninvisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the\n\nWielbark-associated individuals to later medieval individuals from\n\na similar region 12 . With the improved power of Twigstats, models of\n\ncontinuity are strongly rejected, with no one-source model of any pre-\n\nceding Iron Age or Bronze Age group providing a reasonable fit for the\n\n**a**\n\nScandinavian Peninsula EIA\n\nBritain\n\nCentral Europe\n\nPortugal\n\nHungary and Slovakia\n\nEastern Europe\n\nItaly\n\n0.002\n\n0\n\n- 0.002\n\nDimension 1\n\n- 0.004\n\n- 0.002 - 0.001 0 0.001\n\nDimension 2 0.002 0.003 0.004\n\nTwigstats *f* 3 -statistics\n\nScandinavian Peninsula EIA\n\nDenmark IA\n\nEarly medieval,\n\nincluding Wielbark,\n\nBaiuvarii,\n\nLongobards,\n\nEngland earlyMED,\n\nSlovakia earlyMED\n\nEngland Diffeld Terrace\n\nRegular *f* 3 -statistics\n\nDriffeld Terrace\n\nRoman outlier (second to\n\nfourth century CE )\n\n1\n\nAnatolia_EBA\n\nAustria_Klosterneuburg_Roman\n\nBaiuvari_earlyMED\n\n**Britain.lronRoman**\n\n**CentraIEurope.IronRoman(l)**\n\n**CentraIEurope.IronRoman(Il)**\n\n**CentraIEurope.IronRoman(IIl)**\n\nCordedWare_EBA\n\nCroatia.IronRoman_oNorthEurope\n\nDenmark_BA IrelandOrkney_BA\n\n**HungarySlovakia.lronRoman**\n\nHungary_earlyMED(II)\n\nHungary_earlyMED(I)\n\nEngland.Driffeld.Terrace.Scandinavia\n\nEngland_earlyMED_midCNE\n\nEngland_earlyMED_lowCNE\n\nEngland_earlyMED_highCNE\n\nDenmark_IA\n\nDenmark_EVA\n\nDimension 2\n\n0.002 0.003\n\nTwigstats *f* 3 -statistics\n\n0.004\n\nPoland_BA Saami\n\n**Russia_Sarmatian**\n\n**Portugal.lronRoman**\n\n**PolandUkraine_MLBA(II)**\n\n**PolandUkraine_MLBA(I)**\n\nPoland_Wielbark(III)\n\nPoland_Wielbark(II)\n\nPoland_Wielbark(I)\n\nPoland_Middle_Ages(II)\n\nPoland_Middle_Ages(I) **Scandinavian_Peninsula_EIA(I)**\n\n**Scandinavian_Peninsula_EIA(II)**\n\nSlovakia_Zohor_Germanic_Roman\n\nSlovakia_earlyMED\n\nSlovenia.lronRoman\n\nSlovenia.Roman.oNorthEurope\n\nNetherlands_Friesland_earlyMED\n\nMontenegro_earlyMED\n\nLongobard_earlyMED(II)\n\nLongobard_earlyMED(I)\n\n**Lithuania.lronRoman**\n\n**Kyrgyzstan_TianShanHun**\n\nltaly.lronRepublic\n\nltaly.lmperial(ll)\n\n**Italy.lmperial(l)**\n\n0.001 0 - 0.001 - 0.002\n\n- 0.004\n\n- 0.002\n\n0\n\nItaly\n\n0.002\n\nDimension 1\n\nPortugal\n\nCentral\n\nEurope\n\nBritain\n\nHungary and Slovakia\n\nEastern Europe\n\n28\n\n2\n\n3 13\n\n3.3\n\nI II III 6\n\nWielbark, Poland\n\n(frst to third century CE )\n\nMedieval Poland (tenth\n\nto eleventh century CE )\n\n2\n\nIron Age, Denmark\n\n(frst to third century CE )\n\nFriesland, the Netherlands\n\n(ffth to sixth century CE )\n\nBaiuvarii\n\n(ffth century CE )\n\nLongobard\n\n(sixth century CE )\n\nEarly medieval\n\nSlovakia\n\n(third to ffth century CE )\n\nZohor, Slovakia\n\n(frst to second\n\ncentury CE )\n\nLa Tène, Slovakia\n\n(frst century BCE\n\nto frst century CE )\n\n2.1\n\nLow CNE Mid CNE High CNE\n\nEarly medieval England\n\n(ffth to eighth century CE )\n\n9\n\nI II 7\n\n4.7\n\n1\n\n3\n\n**b c**\n\n**d**\n\nIron Age, Denmark Early Viking, Salme\n\nDriffeld Terrace\n\nRoman outlier\n\nEarly\n\nmedieval England\n\nWielbark, Poland\n\nEarly medieval Zohor\n\nLongobard Baiuvarii Friesland, the\n\nNetherlands Mid CNE Low CNE\n\nI II\n\n### **Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.**\n\n**a** , Source groups used for qpAdm modelling of early medieval Europe. MDS is\n\ncomputed jointly with individuals from later periods using pairwise outgroup\n\n*f* 3 statistics (outgroup: Han Chinese people). These are calculated using\n\nTwigstats on Relate genealogies with a cut-off of 1,000 generations. The\n\ngeographical map shows sampling locations of these individuals. **b** , The\n\ngenetic structure of ancient groups predominantly from early medieval\n\ncontexts shown on the same MDS as in **a** . The magnified inset shows an MDS\n\ncomputed without Twigstats on the same samples as the Twigstats MDS and\n\nfocusing on early medieval or later individuals. **c** , Ancestry models of early\n\nmedieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nshown in black boxes. Sources are highlighted in **a** and marked as bold in the\n\nkey, and were used in a rotational qpAdm scheme. For each target group, we\n\nremove models with infeasible admixture proportions (falling outside [0, 1])\n\nand use a Twigstats cut-off of 1,000 generations. All models satisfy *P* > 0.01,\n\nunless a −log 10 [ *P* value] is shown next to the model. If models satisfy *P* > 0.05,\n\nwe show all such models; otherwise, we show only the model with the largest\n\n*P* value. **d** , The ancestry proportion derived from EIA Scandinavia in groups\n\nwith a non-zero component of this ancestry. We show groups modelled in **c**\n\nthat have a feasible model ( *P* > 0.01). In **c** , **d** , we show one s.e. BA, Bronze Age;\n\nCNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking\n\nAge; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.",
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- "text": "Nature | Vol 637 | 2 January 2025 | **119**\n\nsingle-nucleotide polymorphism (SNP) markers, but this informa-\n\ntion has not been accessible in combination with the advantages of\n\n*f* -statistics 2,6,25,26 . Furthermore, the overwhelming majority of available\n\naDNA is from a panel of 1.2 million SNPs 27 , and few clear advantages\n\nhave been demonstrated for analysis of the more than 50 million SNPs\n\navailable with whole-genome shotgun data.\n\nOne class of methods that use haplotype information is full genea-\n\nlogical tree inference 28,29 , which can now readily be applied to many\n\nthousands of modern and ancient whole genomes 30- 35 . Such meth-\n\nods have been successfully applied to boost the detection of positive\n\nselection 32,36- 38 , population structure 31,33,35,39 , geographical locations of\n\nancestors 34,40 , demography 31,32 and mutation rate changes 31 . Genealogi-\n\ncal trees can be thought of as containing essentially full, time-resolved\n\ninformation about genetic ancestry, including information typically\n\ncaptured by recent haplotype sharing or identity by descent. Genetic\n\nancestry here refers to the full collection of genetic ancestors of indi-\n\nviduals 41 , and genealogical trees reveal how and when these are shared\n\nacross individuals. By contrast, rare variant ascertainment, haplotypes\n\nor chromosome blocks can be thought of as subsets or summaries of\n\nthe information available in genealogies.\n\nHere, we propose an approach that we refer to as ‘time-stratified\n\nancestry analysis’ to boost the statistical power of *f* -statistics\n\nseveral-fold by using inferred genome-wide genealogies (Fig. 1a) and\n\napply our method to reconstruct the genetic history of northern and\n\ncentral Europe from around 500 bce to 1000 ce.\n\n### **Genealogies improve ancestry modelling**\n\nBy definition, *f* -statistics count the occurrence of local genealogical\n\nrelationships that are implied by how mutations are shared between\n\nindividuals 42 . This inherent relationship between *f* -statistics and local\n\ngenealogies makes it straightforward to compute *f* -statistics directly on\n\ninferred genealogies 43 . Instead of computing *f* -statistics on observed\n\nmutations, they are now calculated on the inferred branches of these\n\ngenealogies, some of which may not be directly tagged by mutations\n\nbut are inferred by resolving the local haplotype structure (Methods).\n\nWe develop mathematical theory and simulate a simple admixture\n\nmodel, in which the ancestry proportion is constrained in a single ratio of\n\ntwo *f* 4 -statistics 19 , to test this approach (Fig. 1b and Supplementary Note).\n\nWhile unbiased, we find that using *f* -statistics computed on genealogies\n\nby itself does not yet yield a large improvement in statistical power to\n\nquantify admixture events. However, we show, through both theoretical\n\nprediction and simulation, that large improvements in power can be\n\ngained without bias by restricting to recent coalescences, which are most\n\ninformative for recent admixture events (Fig. 1c,d and Extended Data\n\nFigs. 2 and 3). We show that coalescences older than the time of diver-\n\ngence of the sources carry no information with respect to the admixture\n\nevent and only add noise to the *f* -statistics. Excluding these therefore\n\nincreases statistical power, without introducing bias, in principle.\n\nWe implement this idea of studying the ‘twigs’ of gene trees in a tool,\n\nTwigstats (Fig. 1a and Methods), which we demonstrate in simulations\n\n2. Whole-genome\n\ngenealogies\n\n**a**\n\n**b**\n\n1. Genetic variation\n\n0 PO P2 PX P1 PI\n\n*α* =\n\n1 - *α*\n\n0.2\n\n0.4\n\n0.6\n\n0.8\n\n1.0\n\nInferred proportion\n\n0\n\n0.2\n\n0.4\n\n0.6\n\n0.8\n\n1.0\n\nInferred proportion\n\n0\n\n0.2\n\n0.4\n\n0.6\n\n0.8\n\n1.0\n\nInferred proportion Bottleneck\n\n0 (no admixture) *f* 4 (P0, PI, PX, P1)\n\n*f* 4 (P0, PI, PX, P1) 1 - �\n\n0.2 0.4\n\n4. ADMIXTOOLS2\n\nGenotype\n\nOptimal Twigstats cut-off Theoretical prediction\n\nFold reduction in s.e.\n\nRare variant cut-off\n\nNNLS with coalescence painting (true trees)\n\nTwigstats (true trees)\n\nTwigstats (Relate)\n\nTwigstats mutations (Relate)\n\nSource split time\n\nCut-off time (generations)\n\nBest rare variant cut-off\n\n5,000 4,000 3,000 2,000 1,000 0\n\n2\n\n4\n\n6\n\n8\n\n10\n\n1,500\n\n1,500\n\n1,000\n\n1,000\n\n500\n\n500\n\n0\n\n0\n\n3. Twigstats\n\n*f* 2 -Statistics *f* 3 , *f* 4 qpAdm\n\nqpgraph\n\n*α*\n\n**c**\n\n**d**\n\n### **Fig. 1 | Twigstats performance on simulated data. a** , A diagram of the Twigstats\n\napproach. We first construct genealogies from genetic variation data and\n\nthen use Twigstats to compute *f* 2 -statistics between pairs of groups to be\n\nused by ADMIXTOOLS2. **b** , Admixture proportions inferred from an *f* 4 -ratio\n\nstatistic or non-negative least squares method. Source groups P1 and P2 split\n\n250 generations ago and mix 50 generations ago, where P2 contributes\n\nproportion *α* and P1 contributes 1 − *α* . Effective population sizes are equal and\n\nconstant except for a recent bottleneck in P2 (see Methods for simulation\n\ndetails). The Twigstats cut-off is set to 500 generations, the rare variant cut-off\n\nis set to 5%, and we additionally infer admixture proportions by generating\n\n‘first coalescence profiles’ for each population and modelling PX as a mixture\n\nof sources P1 and P2 using non-negative least squares (NNLS) (Methods).\n\nWe sample 20 haploid sequences from each population. Data are mean ± 2 s.e.\n\naround the point estimate. **c** , The fold improvement of s.e. relative to the\n\ngenotype case as a function of the Twigstats cut-off time, for the same simulation\n\nas in **b** and averaged across different true admixture proportions. The dashed\n\nline shows the best fold improvement of s.e. when ascertaining genotypes by\n\nfrequency, when evaluated at different frequency cut-offs. **d** , The optimal\n\nTwigstats cut-off, defined as the largest reduction in s.e. relative to the genotype\n\ncase, as a function of source split time in simulations using true trees. The dashed\n\nline indicates our theoretical prediction (Supplementary Note).",
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- "source_file": "pubmed3.pdf",
- "query": "How many clusters has the Scandinavian peninsula been divided into thanks to Twigstats?",
- "target_page": 12,
- "target_passage": "This approach results in two clusters in the Scandinavian Penin- sula, approximately separating northern from southern Scandinavia",
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- "text": "individuals form a clade with respect to reference groups. The reason\n\nwhy this is a principled approach despite the 1000GP groups post-dating\n\nthe ancient individuals is that if a group of ancient individuals are truly\n\nhomogeneous, they will be so also with respect to later individuals.\n\nWe then define clusters by running UPGMA (unweighted pair group\n\nmethod with arithmetic mean) on −log 10 [ *P* values] obtained from\n\nqpwave between all pairs of individuals and cut the resulting dendro-\n\ngram at a height corresponding to a *P* value of 0.01. We then further\n\nsubdivide clusters by requiring all samples to be within 500 years of\n\nthe mean cluster age.\n\nTo choose the source groups shown in Fig. 2a and Extended Data\n\nFig. 1d, we run this algorithm on samples from Iron and Roman Age\n\nEurope (Supplementary Table 1). We retain groups that have at least\n\nthree individuals and, therefore, exclude clusters of size one or two.\n\nThis approach results in two clusters in the Scandinavian Penin-\n\nsula, approximately separating northern from southern Scandinavia,\n\nthree clusters in Poland and Ukraine that separate samples tempo-\n\nrally between the early and later Bronze Age, a cluster combining the\n\nHungarian Scythian and Slovakian La Tène-associated individuals,\n\nand a cluster each for Iron and Roman Age Portugal, Italy and Lithu-\n\nania. In present-day Austria, Germany and France, this approach\n\nidentifies three clusters, with each cluster spanning multiple archae-\n\nological sites in different countries, indicating genetic diversity in\n\nthis region in the first millennium ce. Encouragingly, these clusters\n\nseparate in our non-parametric MDS analysis (Fig. 2a), indicating that\n\nwe are capturing real genetic differences between groups using this\n\napproach.\n\n**Fine-scale structure in Neolithic Europe.** To quantify fine-scale struc-\n\nture in Neolithic Europe (Extended Data Fig. 5b), we aimed to select\n\nindividuals in Neolithic Europe who have not yet been affected by the\n\narrival of Steppe ancestry and do not show excess hunter-gatherer\n\nancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and\n\nWestern Hunter-gatherers as source groups and reference groups\n\naccording to a previously proposed qpAdm setup 46 (Supplementary\n\nTable 1). For this analysis, we infer ancestry using qpAdm applied to\n\n1.2 million SNP sites of imputed genomes. We retain only Neolithic\n\nindividuals with *P* > 0.01, *z* < 2 for Yamnaya ancestry, and *z* < 2 or\n\nproportion <0.25 for Western Hunter-gatherer ancestry.\n\n**Reporting summary**\n\nFurther information on research design is available in the Nature Port-\n\nfolio Reporting Summary linked to this article.\n\n**Data availability**\n\nAll aDNA data used in this study were publicly available, and accession\n\ncodes are listed in Supplementary Table 1.\n\n**Code availability**\n\nTwigstats is freely available under an MIT licence through GitHub\n\n[(https://github.com/leospeidel/twigstats), and detailed documenta-](https://github.com/leospeidel/twigstats)\n\n[tion, as well as example data, is available at https://leospeidel.github.](https://leospeidel.github.io/twigstats/)\n\n[io/twigstats/. The code has also been deposited at Zenodo (https://](https://zenodo.org/records/13833120)\n\n[zenodo.org/records/13833120)](https://zenodo.org/records/13833120) 76 . All scripts to reproduce simulations,\n\nand to run Relate on imputed ancient genomes, and downstream\n\nanalyses, including computation of *f* -statistics and running qpAdm\n\n[models, are available through GitHub (https://github.com/leospeidel/ ](https://github.com/leospeidel/twigstats_paper)\n\n[twigstats_paper).](https://github.com/leospeidel/twigstats_paper)\n\n70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting\n\ncomplex models of population history to *f* -statistics. *eLife* **12** , e85492 (2023).\n\n71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and\n\ngenealogical analysis for large sample sizes. *PLoS Comput. Biol.* **12** , e1004842\n\n(2016).\n\n72. da Mota, B. S. et al. Imputation of ancient human genomes. *Nat. Commun.* **14** , 3660\n\n(2023).\n\n73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation\n\nof low-coverage sequencing data using large reference panels. *Nat. Genet.* **53** , 120- 126\n\n(2021).\n\n74. The 1000 Genomes Project Consortium. A global reference for human genetic variation.\n\n*Nature* **526** , 68- 74 (2015).\n\n75. Mallick, S. et al. The Simons Genome Diversity Project: 300 genomes from 142 diverse\n\npopulations. *Nature* **538** , 201- 206 (2016).\n\n76. Speidel, L. leospeidel/twigstats: Twigstats v1.0.1. *Zenodo* [ https://doi.org/10.5281/zenodo. ](https://doi.org/10.5281/zenodo.13833119)\n\n[13833119 (2024).](https://doi.org/10.5281/zenodo.13833119)\n\n77. Skoglund, P. et al. Genetic evidence for two founding populations of the Americas. *Nature*\n\n**525** , 104- 108 (2015).\n\n78. Prüfer, K. et al. The complete genome sequence of a Neanderthal from the Altai Mountains.\n\n*Nature* **505** , 43- 49 (2014).\n\n79. Prüfer, K. et al. A high-coverage Neandertal genome from Vindija Cave in Croatia. *Science*\n\n**358** , 655- 658 (2017).\n\n**Acknowledgements** L.S. was supported by a Sir Henry Wellcome Fellowship (220457/Z/20/Z).\n\nP.S. was supported by the European Molecular Biology Organization, the Vallee Foundation,\n\nthe European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis\n\nCrick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research\n\nCouncil and the Wellcome Trust. B.R. was supported by the Swedish Research Council\n\n(2021-03333).\n\n**Author contributions** P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S.\n\nand P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S.,\n\nM.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript.\n\n**Funding** Open Access funding provided by The Francis Crick Institute.\n\n**Competing interests** The authors declare no competing interests.\n\n**Additional information**\n\n**Supplementary information** The online version contains supplementary material available at\n\n[https://doi.org/10.1038/s41586-024-08275-2.](https://doi.org/10.1038/s41586-024-08275-2)\n\n**Correspondence and requests for materials** should be addressed to Leo Speidel or\n\nPontus Skoglund.\n\n**Peer review information** *Nature* thanks Jerome Kelleher, Duncan Sayer and the other,\n\nanonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer\n\nreports are available.\n\n**Reprints and permissions information** [is available at http://www.nature.com/reprints.](http://www.nature.com/reprints)",
- "page_start": 11,
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- "text": "### **Extended Data Fig. 5 | Three examples of applying Twigstats. a** Fine-scale\n\npopulation structure simulation emulating ref. 39 (see Methods for simulation\n\ndetails). First two principal components are computed from pairwise outgroup\n\n*f* 3 statistics on the genotypes directly and on Relate trees inferred from the\n\n50 target individuals. Labels in plots show the average coordinates of members\n\nof that population. For each panel, we calculate a separation index (SI) as in 39 ,\n\nwhich we define as the proportion of individuals for which the closest\n\nindividual (by the Euclidean distance in PC space) is in the same population.\n\n**b** , Fine-scale genetic structure in Neolithic Europe quantified using an MDS\n\ncalculated on a symmetric matrix that contains all pairwise outgroup *f* 3\n\nstatistics (outgroup: YRI) between individuals. These are either calculated\n\ndirectly on genotypes or calculated using Twigstats on Relate genealogies\n\nwith a cutoff of 1000 generations. Individuals were selected by filtering based\n\non Steppe and Western Hunter-gatherer ancestry (Methods). **c** , Admixture\n\nproportions inferred using qpAdm with three distal sources of Western\n\nHunter-gatherers, early European farmers, and Yamnaya Steppe people 46 .\n\nWe show results for Twigstats-5000. Bias is measured as the difference in\n\nadmixture proportions obtained from Twigstats-5000 and all SNPs, and\n\nwe show standard errors of the latter. We plot two standard errors around\n\nthe mean. The standard error improvement shown is one minus the ratio of\n\nstandard errors obtained from Twigstats-5000 and using all SNPs. **d** , Neanderthal\n\nadmixture proportion inferred using an *f* 4 -ratio of the form *f* 4 (outgroup, Altai,\n\ntarget, Mbuti)/ *f* 4 (outgroup, Altai, Vindija, Mbuti). We compute these on genetic\n\nvariation data from the Simon’s Genome Diversity Project (SGDP) 75 and use the\n\nhigh-coverage Altai and Vindija Neanderthals 78,79 . We also compute equivalent\n\n*f* 4 -ratio statistics in a simulation emulating Neanderthal admixture 50,000 years\n\nago and a second simulation involving no Neanderthal admixture but deep\n\nstructure that leads to a similar inference unless deep coalescences are ignored\n\nby Twigstats. We plot two standard errors around the mean. **Extended Data Fig. 6 | MDS of ancient and modern genomes. a** , Same MDS as",
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- "text": "Nature | Vol 637 | 2 January 2025 | **121**\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark\n\narchaeological complex has been linked to the later Chernyakhov cul-\n\nture to the southeast and to early Goths, an historical Germanic group\n\nthat flourished in the second to fifth centuries ce 56 . Our modelling\n\nsupports the idea that some groups that probably spoke Germanic\n\nlanguages from Scandinavia expanded south across the Baltic into\n\nthe area between the Oder and Vistula rivers in the early centuries ce,\n\nalthough whether these expansions can be linked specifically with\n\nhistorical Goths is still debatable. Moreover, since a considerable\n\nproportion of Wielbark burials during this period were cremations,\n\nthe possible presence of individuals with other ancestries cannot be\n\nstrictly rejected if they were exclusively cremated (and are therefore\n\ninvisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the\n\nWielbark-associated individuals to later medieval individuals from\n\na similar region 12 . With the improved power of Twigstats, models of\n\ncontinuity are strongly rejected, with no one-source model of any pre-\n\nceding Iron Age or Bronze Age group providing a reasonable fit for the\n\n**a**\n\nScandinavian Peninsula EIA\n\nBritain\n\nCentral Europe\n\nPortugal\n\nHungary and Slovakia\n\nEastern Europe\n\nItaly\n\n0.002\n\n0\n\n- 0.002\n\nDimension 1\n\n- 0.004\n\n- 0.002 - 0.001 0 0.001\n\nDimension 2 0.002 0.003 0.004\n\nTwigstats *f* 3 -statistics\n\nScandinavian Peninsula EIA\n\nDenmark IA\n\nEarly medieval,\n\nincluding Wielbark,\n\nBaiuvarii,\n\nLongobards,\n\nEngland earlyMED,\n\nSlovakia earlyMED\n\nEngland Diffeld Terrace\n\nRegular *f* 3 -statistics\n\nDriffeld Terrace\n\nRoman outlier (second to\n\nfourth century CE )\n\n1\n\nAnatolia_EBA\n\nAustria_Klosterneuburg_Roman\n\nBaiuvari_earlyMED\n\n**Britain.lronRoman**\n\n**CentraIEurope.IronRoman(l)**\n\n**CentraIEurope.IronRoman(Il)**\n\n**CentraIEurope.IronRoman(IIl)**\n\nCordedWare_EBA\n\nCroatia.IronRoman_oNorthEurope\n\nDenmark_BA IrelandOrkney_BA\n\n**HungarySlovakia.lronRoman**\n\nHungary_earlyMED(II)\n\nHungary_earlyMED(I)\n\nEngland.Driffeld.Terrace.Scandinavia\n\nEngland_earlyMED_midCNE\n\nEngland_earlyMED_lowCNE\n\nEngland_earlyMED_highCNE\n\nDenmark_IA\n\nDenmark_EVA\n\nDimension 2\n\n0.002 0.003\n\nTwigstats *f* 3 -statistics\n\n0.004\n\nPoland_BA Saami\n\n**Russia_Sarmatian**\n\n**Portugal.lronRoman**\n\n**PolandUkraine_MLBA(II)**\n\n**PolandUkraine_MLBA(I)**\n\nPoland_Wielbark(III)\n\nPoland_Wielbark(II)\n\nPoland_Wielbark(I)\n\nPoland_Middle_Ages(II)\n\nPoland_Middle_Ages(I) **Scandinavian_Peninsula_EIA(I)**\n\n**Scandinavian_Peninsula_EIA(II)**\n\nSlovakia_Zohor_Germanic_Roman\n\nSlovakia_earlyMED\n\nSlovenia.lronRoman\n\nSlovenia.Roman.oNorthEurope\n\nNetherlands_Friesland_earlyMED\n\nMontenegro_earlyMED\n\nLongobard_earlyMED(II)\n\nLongobard_earlyMED(I)\n\n**Lithuania.lronRoman**\n\n**Kyrgyzstan_TianShanHun**\n\nltaly.lronRepublic\n\nltaly.lmperial(ll)\n\n**Italy.lmperial(l)**\n\n0.001 0 - 0.001 - 0.002\n\n- 0.004\n\n- 0.002\n\n0\n\nItaly\n\n0.002\n\nDimension 1\n\nPortugal\n\nCentral\n\nEurope\n\nBritain\n\nHungary and Slovakia\n\nEastern Europe\n\n28\n\n2\n\n3 13\n\n3.3\n\nI II III 6\n\nWielbark, Poland\n\n(frst to third century CE )\n\nMedieval Poland (tenth\n\nto eleventh century CE )\n\n2\n\nIron Age, Denmark\n\n(frst to third century CE )\n\nFriesland, the Netherlands\n\n(ffth to sixth century CE )\n\nBaiuvarii\n\n(ffth century CE )\n\nLongobard\n\n(sixth century CE )\n\nEarly medieval\n\nSlovakia\n\n(third to ffth century CE )\n\nZohor, Slovakia\n\n(frst to second\n\ncentury CE )\n\nLa Tène, Slovakia\n\n(frst century BCE\n\nto frst century CE )\n\n2.1\n\nLow CNE Mid CNE High CNE\n\nEarly medieval England\n\n(ffth to eighth century CE )\n\n9\n\nI II 7\n\n4.7\n\n1\n\n3\n\n**b c**\n\n**d**\n\nIron Age, Denmark Early Viking, Salme\n\nDriffeld Terrace\n\nRoman outlier\n\nEarly\n\nmedieval England\n\nWielbark, Poland\n\nEarly medieval Zohor\n\nLongobard Baiuvarii Friesland, the\n\nNetherlands Mid CNE Low CNE\n\nI II\n\n### **Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.**\n\n**a** , Source groups used for qpAdm modelling of early medieval Europe. MDS is\n\ncomputed jointly with individuals from later periods using pairwise outgroup\n\n*f* 3 statistics (outgroup: Han Chinese people). These are calculated using\n\nTwigstats on Relate genealogies with a cut-off of 1,000 generations. The\n\ngeographical map shows sampling locations of these individuals. **b** , The\n\ngenetic structure of ancient groups predominantly from early medieval\n\ncontexts shown on the same MDS as in **a** . The magnified inset shows an MDS\n\ncomputed without Twigstats on the same samples as the Twigstats MDS and\n\nfocusing on early medieval or later individuals. **c** , Ancestry models of early\n\nmedieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nshown in black boxes. Sources are highlighted in **a** and marked as bold in the\n\nkey, and were used in a rotational qpAdm scheme. For each target group, we\n\nremove models with infeasible admixture proportions (falling outside [0, 1])\n\nand use a Twigstats cut-off of 1,000 generations. All models satisfy *P* > 0.01,\n\nunless a −log 10 [ *P* value] is shown next to the model. If models satisfy *P* > 0.05,\n\nwe show all such models; otherwise, we show only the model with the largest\n\n*P* value. **d** , The ancestry proportion derived from EIA Scandinavia in groups\n\nwith a non-zero component of this ancestry. We show groups modelled in **c**\n\nthat have a feasible model ( *P* > 0.01). In **c** , **d** , we show one s.e. BA, Bronze Age;\n\nCNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking\n\nAge; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.",
- "page_start": 3,
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- "text": "### **Extended Data Fig. 9 | Ancestry models of Viking Age individuals in**\n\n**Scandinavia. a** , MDS of each Scandinavian Viking group plotted on top of\n\npreceding Iron age and Roman individuals. **b** , All accepted qpAdm models using\n\nTwigstats-1000 for every Scandinavian Viking individual in Denmark, Sweden,\n\nand Norway, computed in a rotational qpAdm with source groups identical to\n\nFig. 4. We only retain models with feasible admixture proportions, standard\n\nerrors of <0.25, and show models with 1 source and a p-value greater than 0.01\n\nor otherwise with 2 sources and a p-value greater than 0.01. If several models\n\nsatisfy p > 0.05, we show all such models, otherwise we select the model with\n\nthe largest p-value. The -log10 p-values are shown to the left of each model.\n\nWe combine models involving related sources, if they exist, by averaging their\n\nrespective admixture proportions, standard errors, and p-values. We plot one\n\nstandard error.",
- "page_start": 20,
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- "text": "### **Extended Data Fig. 7 | Ancestry estimates stratified by genetic sex. a** , Map\n\nshowing ancestry carried by each Scandinavian Viking age individual. **b** , Ancestry\n\nproportions across individuals grouped by Latitude and genetic sex. **c** , Odds\n\nratio and p-values calculated using a two-sided Fisher’s exact test on the number\n\nof males and females carrying each ancestry in Viking Age Denmark, Sweden,\n\nNorway, Iceland, and Gotland. **d** , *F* *4* values of the form *f* 4 (Scandinavian_Peninsula_\n\nEIA(I), alternative source group, males in Viking group, females in Viking group)\n\ncomputed using all SNPs and Twigstats. A significantly positive value is\n\nevidence of attraction of females with pop2 or males with Scandinavian_\n\nPeninsula_EIA(I). Number of males and females is shown in each facet title and\n\nwe restrict to groups with at least four males and females. We plot one standard\n\nerror. **e** , Map showing ‘farflung’ Viking individuals grouped by ancestry and\n\ngenetic sex. In contrast to Fig. 4a and d where we showed results for the ‘best’\n\nqpAdm model, here in panels **a** , **b, c,** and **e** , an individual is assigned an ancestry\n\ngroup, if it has **any** accepted model (p > 0.01) where that ancestry features.",
- "page_start": 18,
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- "text": "**124** | Nature | Vol 637 | 2 January 2025\n\ncontinuity from the EIA in Norway and northern Sweden (Fig. 4a). When\n\nconsidered collectively, the individuals who show evidence of central\n\nEuropean-related ancestry are mostly observed in regions histori-\n\ncally within the Danish sphere of influence and rule. Currently, no such\n\nindividuals, for example, are noted in eastern central Sweden, which\n\nwas a focus of regional power of the Svear (Fig. 4a). The difference in\n\ndistribution could suggest that the central European-related ancestry\n\nwas more common in regions dominated by the historical Götar and\n\ngroups inhabiting the lands on the borders of the Danish kingdom.\n\nTo test the extent to which the variation in ancestry was consistent\n\nwith mobility during the lifetime of the individuals or, alternatively,\n\nthat of established groups, we focused on the island of Öland in south-\n\neast Sweden, where 23 individuals for whom we could reconstruct\n\nancestry portraits also had associated strontium stable isotope data 66 .\n\nStrontium isotope data from dental enamel reflect the geology of the\n\nregion where an individual grew to maturity, and there are considerable\n\ndifferences in expectations between Öland and many other regions\n\nin northern Europe. The full range of strontium isotope ratios in 109\n\nindividuals show two modes, a majority group with low ratios and a\n\nsecond minority group with high ratios falling outside the expected\n\nrange of local fauna (Fig. 4b). Among 23 individuals with genomes in\n\nour data, all 5 individuals with 100% ancestry relating to central Europe\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nSouthern Europe\n\nScandinavian Peninsula EIA\n\nCentral\n\nEurope\n\nEastern Europe\n\nBritain\n\nProportion of ancestry\n\nScandinavian Peninsula\n\n70.5\n\n87 Srf/ 86 Sr\n\n0.71 0.72 0.73 0.74 0\n\n0.5\n\n1.0\n\n0\n\n0.5\n\n1.0\n\n1 2 1\n\n3.2 3.1\n\n17.0 1.7 15.7 6.1 20.8 17.5\n\n1.6\n\n2\n\n0\n\n0.25\n\n0.50\n\n0.75\n\n1.00 **b**\n\n0\n\n10\n\n20\n\n30\n\n40\n\n50 Stable isotope histogram counts Ancestry proportion Continental-related ancestry\n\n67.5\n\n64.5\n\n61.5\n\n58.5\n\n55.5\n\nCentral Europe Britain\n\nNorway_VA\n\nLatitude\n\nDenmark_VA Farfung_VA\n\nSweden_VA\n\n0 0.25 0.50 0.75 1.00\n\n1 2 1 2 1 2\n\nAll SNPs\n\nTwigstats 1,000\n\nFaroes\n\nIreland\n\nIsle of Man\n\nOrkney_VA\n\nOxford_VA\n\nZealand_VA(7) Langeland_VA(18) Jutland_VA(13) Funen_VA(12) Denmark_EVA(3)\n\n**c**\n\n**d**\n\n**e**\n\n**f**\n\n**a** Scandinavian Peninsula EIA Central Europe Iron Roman Britain Iron Roman Southern Europe Eastern Europe\n\nDorset_VA\n\nIceland\n\nGreenland\n\nSlovenia.Roman.oNorthEurope\n\nSlovenia.lronRoman\n\nSlovakia.MigrationPeriod\n\nSlovakia_Zohor_Germanic_Roman\n\nScandinavian_Peninsula_EIA(II)\n\nScandinavian_Peninsula_EIA(I)\n\nSaami\n\nRussia_Sarmatian\n\nPortugal.lronRoman\n\nPolandUkraine_MLBA(II)\n\nPolandUkraine_MLBA(I)\n\nPoland_Wielbark(III)\n\nPoland_Wielbark(II)\n\nPoland_Wielbark(I)\n\nPoland_Middle_Ages(II)\n\nPoland_BA\n\nNetherlands_Friesland_Saxon\n\nLongobard_EMED(II)\n\nMontenegro_EM\n\nLongobard_EMED(I)\n\n**Lithuania.lronRoman**\n\n**Kyrgyzstan_TianShanHun**\n\nltaly.lronRepublic\n\nltaly.lmperial(lI)\n\n**Italy.lmperial(l)**\n\nIrelandOrkney_BA\n\n**HungarySlovakia.lronRoman**\n\nHungary_EM(II)\n\nHungary_EM(I)\n\nEngland.Roman.Gladiator.Scandinavia\n\nEngland_Saxon_midCNE\n\nEngland_Saxon_lowCNE\n\nEngland_Saxon_highCNE\n\nDenmark_IA\n\nDenmark_EVA\n\nDenmark_BA\n\nCroatia.lronRoman_oNorthEurope\n\nCordedWare_EBA\n\n**CentraIEurope.IronRoman(lII)**\n\n**CentraIEurope.lronRoman(lI)**\n\n**CentraIEurope.lronRoman(l)**\n\n**Britain.lronRoman**\n\nBaiuvarii_EMED\n\nAustria_Klosterneuburg_Roman\n\nAnatolia EBA\n\nPoland_Middle_Ages(I)\n\nRussia\n\nUkraine\n\n0 0.25 0.50 0.75 1.00 0 0.25 0.50 0.75 1.00\n\n**Fig. 4 | Ancestry in the Viking world. a** , Map showing ancestry carried by\n\nScandinavian Viking Age individuals as inferred using the best-fitting qpAdm\n\nmodel. These are chosen by either choosing the one-source model with largest\n\n*P* value and *P* > 0.01 or the two-source model with the largest *P* value and *P* > 0.01.\n\nExtended Data Fig. 7 shows the same map with all accepted models. **b** , Stable\n\nisotope data indicating the geology of childhood origin. The histogram shows\n\nthe ratio of strontium isotopes 87 to 86 measured in 109 individuals in Öland 69 .\n\nFor individuals included in our ancestry modelling, we plot Iron Age central\n\nEuropean-related ancestry against their stable isotope values (grey circles,\n\n*r* = −0.39, *P* = 0.075). Shared area corresponds to the 95% confidence band\n\naround the regression line. **c** , The ancestry shift observed in Viking Age Danish\n\ngroups using qpAdm on all SNPs or Twigstats. We show the best one-source and\n\nall two-source models with *P* > 0.05. For models with *P* < 0.05, the −log 10 [ *P* value]\n\nis shown under the plot. Sample sizes for each group are shown in brackets.\n\n**d** , The ancestry proportion across Viking Age individuals in Denmark, Sweden\n\nand Norway grouped by latitude. **e** , Viking Age genetic variation (grey circles)\n\nvisualized on the same MDS as in Fig. 2a,b. **f** , The best-fitting qpAdm ancestry\n\nmodel for far-flung Viking individuals. Detailed models for all individuals are\n\nshown in Extended Data Figs. 9 and 10. In **c** and **f** , we show one s.e. Rotating\n\nqpAdm sources are marked in bold in the key.",
- "page_start": 6,
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- "text": "**118** | Nature | Vol 637 | 2 January 2025\n\n## **High-resolution genomic history of early medieval Europe**\n\n**Leo Speidel 1,2,3** ✉ **, Marina Silva 1 , Thomas Booth 1 , Ben Raffield 4 , Kyriaki Anastasiadou 1 ,**\n\n**Christopher Barrington 5 , Anders Götherström 6,7 , Peter Heather 8 & Pontus Skoglund 1** ✉\n\nMany known and unknown historical events have remained below detection thresholds\n\nof genetic studies because subtle ancestry changes are challenging to reconstruct.\n\nMethods based on shared haplotypes 1,2 and rare variants 3,4 improve power but are not\n\nexplicitly temporal and have not been possible to adopt in unbiased ancestry models.\n\nHere we develop Twigstats, an approach of time-stratified ancestry analysis that can\n\nimprove statistical power by an order of magnitude by focusing on coalescences in\n\nrecent times, while remaining unbiased by population-specific drift. We apply this\n\nframework to 1,556 available ancient whole genomes from Europe in the historical\n\nperiod. We are able to model individual-level ancestry using preceding genomes to\n\nprovide high resolution. During the first half of the first millennium ce, we observe\n\nat least two different streams of Scandinavian-related ancestry expanding across\n\nwestern, central and eastern Europe. By contrast, during the second half of the first\n\nmillennium ce, ancestry patterns suggest the regional disappearance or substantial\n\nadmixture of these ancestries. In Scandinavia, we document a major ancestry influx\n\nby approximately 800 ce, when a large proportion of Viking Age individuals carried\n\nancestry from groups related to central Europe not seen in individuals from the early\n\nIron Age. Our findings suggest that time-stratified ancestry analysis can provide a\n\nhigher-resolution lens for genetic history.\n\nAncient genome sequencing has revolutionized our ability to recon-\n\nstruct expansions, migrations and admixture events in the ancient past\n\nand understand their impact on human genetic variation today. How-\n\never, tracing history using genetic ancestry has remained challenging,\n\nparticularly in historical periods for which the richest comparative\n\ninformation from history and archaeology often exists. This is because\n\nancestries in many geographical regions are often so similar as to be\n\nstatistically indistinguishable with current approaches. One example is\n\nnorthern and central Europe since the start of the Iron Age around 500\n\nbce, a period for which many long-standing questions remain, such as\n\nthe nature of large-scale patterns of human migration during the fourth\n\nto sixth centuries ce, their impact on the Mediterranean world and later\n\npatterns of human mobility during the Viking Age (around 750- 1050 ce).\n\nSeveral recent studies have documented substantial mobility and\n\ngenetic diversity in these time periods, suggesting stable population\n\nstructure despite high mobility 5 , and have revealed genetic variation\n\nin Viking Age Scandinavia 6- 8 , early medieval England 3,9 , early medieval\n\nHungary 10,11 and Iron Age and medieval Poland 12 . However, previous\n\nstudies mostly used large modern cohorts to study ancestry change\n\nthrough time and space. This is because the differentiation between\n\nIron Age groups in central and northern Europe is an order of magnitude\n\nlower (fixation index ( *F* ST ) = 0.1- 0.7%; Extended Data Fig. 1) than, for\n\nexample, the more commonly studied hunter-gatherer, early farmer\n\nand steppe-pastoralist groups that shaped the ancestry landscape of\n\nStone Age and Bronze Age Europe 13- 16 ( *F* ST = 5- 9% (refs. 13,17)). Modern\n\npopulations provide more power to detect differences, but their genetic\n\naffinity to ancient individuals may be confounded by later gene flow,\n\nthat is, after the time of the ancient individual(s) 18 . The most principled\n\napproach is thus to build ancestry models in which source and ‘out-\n\ngroup/reference’ populations are older than, or at least contemporary\n\nwith, the target genome or group that we are trying to model 18 . However,\n\nthis has been challenging, due to the limited statistical power offered\n\nby the thousands-fold lower sample sizes and reduced sequence qual-\n\nity of ancient genomes.\n\nReconstructing genetic histories and ancestry models from ancient\n\nDNA (aDNA) data commonly uses methods based on *f* -statistics 13,19- 22 .\n\nTheir popularity is rooted in a number of favourable properties, such\n\nas enabling analyses of lower-quality aDNA data, relative robustness\n\nto ascertainment and theoretical guarantees of unbiasedness, includ-\n\ning in the presence of population bottlenecks 21,23 . Approaches derived\n\nfrom *f* -statistics, such as qpAdm 13 , are close to unique in enabling the\n\nunbiased fitting of admixture models, including identifying the num-\n\nber of such events and the closest representatives of sources 13,14,23 .\n\nHowever, *f* -statistics have not always had sufficient power to recon-\n\nstruct events that involve closely related ancestries, despite increas-\n\ning sample sizes 6,24 . Methods that identify haplotypes, or shared\n\nsegments of DNA that are not broken down by recombination, have\n\npreviously been shown to have more power than those using individual\n\n[https://doi.org/10.1038/s41586-024-08275-2](https://doi.org/10.1038/s41586-024-08275-2)\n\nReceived: 14 December 2023\n\nAccepted: 23 October 2024\n\nPublished online: 1 January 2025\n\nOpen access\n\n[ Check for updates](http://crossmark.crossref.org/dialog/?doi=10.1038/s41586-024-08275-2&domain=pdf)\n\n1 Ancient Genomics Laboratory, Francis Crick Institute, London, UK. 2 Genetics Institute, University College London, London, UK. 3 iTHEMS, RIKEN, Wako, Japan. 4 Department of Archaeology and\n\nAncient History, Uppsala University, Uppsala, Sweden. 5 Bioinformatics and Biostatistics, Francis Crick Institute, London, UK. 6 Centre for Palaeogenetics, Stockholm University, Stockholm, Sweden.\n\n7 Department of Archaeology and Classical Studies, Stockholm University, Stockholm, Sweden. 8 Department of History, King’s College London, London, UK. ✉ [e-mail: leo.speidel@riken.jp; ](mailto:leo.speidel@riken.jp)\n\n[pontus.skoglund@crick.ac.uk](mailto:pontus.skoglund@crick.ac.uk)",
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- "text": "2. Click **Create Host Cluster** to open the wizard that is shown in Figure 8-20.\n\n*Figure 8-20 Create host cluster*\n\n3. Enter a cluster name and select the individual nodes that you want in the cluster object, as\n\nshown in Figure 8-21.\n\n*Figure 8-21 Creating a host cluster: details*",
- "page_start": 363,
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- "text": "in Fig. 2 but only showing qpAdm source groups of Fig. 2a and modern groups\n\nin the Simons Genome Diversity Project (labelled) computed using genotypes\n\n(top) or Twigstats (bottom). **b** , MDS computed using genotypes showing one\n\nearly medieval or Viking age group per facet. **c** , MDS computed using Twigstats\n\nshowing one early medieval or Viking age group per facet.",
- "page_start": 17,
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- "text": "### **Extended Data Fig. 2 | Twigstats optimal cutoff. a** , Theoretically computed\n\nz-score of *f* 4 (PO,P1,PX,P2) at a single genomic locus (Supplementary Note),\n\nassuming PX is admixted between P1 and P2 at time 0.004 (in units of 2 *N* e\n\ngenerations), e.g. corresponding to 100 generations with 2 *N* e of 25,000.\n\nSources split at time 0.02. **b** , The theoretical fold-improvement of the best\n\nTwigstats z-score of *f* 4 (PO,P1,PX,P2) relative to the z-score obtained with\n\nregular *f* 4 -statistics. We use the same parameters as in **a** , but vary source split\n\ntimes to illustrate the improved power for mixtures involving more closely\n\nrelated groups. **c** , The optimal Twigstats cutoff time as a function of the source\n\nsplit time and the ratio between the optimal cutoff time and source split time.\n\n**d** , Comparison of z-scores computed using Twigstats to the corresponding\n\ntheoretical values shown in **a** .",
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- "references": {
- "source_file": "pubmed3.pdf",
- "query": "What are the cultures with which the Wielbark culture is associated?",
- "target_page": 4,
- "target_passage": "linked to the later Chernyakhov cul- ture to the southeast and to early Goths",
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- "text": "Nature | Vol 637 | 2 January 2025 | **121**\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark\n\narchaeological complex has been linked to the later Chernyakhov cul-\n\nture to the southeast and to early Goths, an historical Germanic group\n\nthat flourished in the second to fifth centuries ce 56 . Our modelling\n\nsupports the idea that some groups that probably spoke Germanic\n\nlanguages from Scandinavia expanded south across the Baltic into\n\nthe area between the Oder and Vistula rivers in the early centuries ce,\n\nalthough whether these expansions can be linked specifically with\n\nhistorical Goths is still debatable. Moreover, since a considerable\n\nproportion of Wielbark burials during this period were cremations,\n\nthe possible presence of individuals with other ancestries cannot be\n\nstrictly rejected if they were exclusively cremated (and are therefore\n\ninvisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the\n\nWielbark-associated individuals to later medieval individuals from\n\na similar region 12 . With the improved power of Twigstats, models of\n\ncontinuity are strongly rejected, with no one-source model of any pre-\n\nceding Iron Age or Bronze Age group providing a reasonable fit for the\n\n**a**\n\nScandinavian Peninsula EIA\n\nBritain\n\nCentral Europe\n\nPortugal\n\nHungary and Slovakia\n\nEastern Europe\n\nItaly\n\n0.002\n\n0\n\n- 0.002\n\nDimension 1\n\n- 0.004\n\n- 0.002 - 0.001 0 0.001\n\nDimension 2 0.002 0.003 0.004\n\nTwigstats *f* 3 -statistics\n\nScandinavian Peninsula EIA\n\nDenmark IA\n\nEarly medieval,\n\nincluding Wielbark,\n\nBaiuvarii,\n\nLongobards,\n\nEngland earlyMED,\n\nSlovakia earlyMED\n\nEngland Diffeld Terrace\n\nRegular *f* 3 -statistics\n\nDriffeld Terrace\n\nRoman outlier (second to\n\nfourth century CE )\n\n1\n\nAnatolia_EBA\n\nAustria_Klosterneuburg_Roman\n\nBaiuvari_earlyMED\n\n**Britain.lronRoman**\n\n**CentraIEurope.IronRoman(l)**\n\n**CentraIEurope.IronRoman(Il)**\n\n**CentraIEurope.IronRoman(IIl)**\n\nCordedWare_EBA\n\nCroatia.IronRoman_oNorthEurope\n\nDenmark_BA IrelandOrkney_BA\n\n**HungarySlovakia.lronRoman**\n\nHungary_earlyMED(II)\n\nHungary_earlyMED(I)\n\nEngland.Driffeld.Terrace.Scandinavia\n\nEngland_earlyMED_midCNE\n\nEngland_earlyMED_lowCNE\n\nEngland_earlyMED_highCNE\n\nDenmark_IA\n\nDenmark_EVA\n\nDimension 2\n\n0.002 0.003\n\nTwigstats *f* 3 -statistics\n\n0.004\n\nPoland_BA Saami\n\n**Russia_Sarmatian**\n\n**Portugal.lronRoman**\n\n**PolandUkraine_MLBA(II)**\n\n**PolandUkraine_MLBA(I)**\n\nPoland_Wielbark(III)\n\nPoland_Wielbark(II)\n\nPoland_Wielbark(I)\n\nPoland_Middle_Ages(II)\n\nPoland_Middle_Ages(I) **Scandinavian_Peninsula_EIA(I)**\n\n**Scandinavian_Peninsula_EIA(II)**\n\nSlovakia_Zohor_Germanic_Roman\n\nSlovakia_earlyMED\n\nSlovenia.lronRoman\n\nSlovenia.Roman.oNorthEurope\n\nNetherlands_Friesland_earlyMED\n\nMontenegro_earlyMED\n\nLongobard_earlyMED(II)\n\nLongobard_earlyMED(I)\n\n**Lithuania.lronRoman**\n\n**Kyrgyzstan_TianShanHun**\n\nltaly.lronRepublic\n\nltaly.lmperial(ll)\n\n**Italy.lmperial(l)**\n\n0.001 0 - 0.001 - 0.002\n\n- 0.004\n\n- 0.002\n\n0\n\nItaly\n\n0.002\n\nDimension 1\n\nPortugal\n\nCentral\n\nEurope\n\nBritain\n\nHungary and Slovakia\n\nEastern Europe\n\n28\n\n2\n\n3 13\n\n3.3\n\nI II III 6\n\nWielbark, Poland\n\n(frst to third century CE )\n\nMedieval Poland (tenth\n\nto eleventh century CE )\n\n2\n\nIron Age, Denmark\n\n(frst to third century CE )\n\nFriesland, the Netherlands\n\n(ffth to sixth century CE )\n\nBaiuvarii\n\n(ffth century CE )\n\nLongobard\n\n(sixth century CE )\n\nEarly medieval\n\nSlovakia\n\n(third to ffth century CE )\n\nZohor, Slovakia\n\n(frst to second\n\ncentury CE )\n\nLa Tène, Slovakia\n\n(frst century BCE\n\nto frst century CE )\n\n2.1\n\nLow CNE Mid CNE High CNE\n\nEarly medieval England\n\n(ffth to eighth century CE )\n\n9\n\nI II 7\n\n4.7\n\n1\n\n3\n\n**b c**\n\n**d**\n\nIron Age, Denmark Early Viking, Salme\n\nDriffeld Terrace\n\nRoman outlier\n\nEarly\n\nmedieval England\n\nWielbark, Poland\n\nEarly medieval Zohor\n\nLongobard Baiuvarii Friesland, the\n\nNetherlands Mid CNE Low CNE\n\nI II\n\n### **Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.**\n\n**a** , Source groups used for qpAdm modelling of early medieval Europe. MDS is\n\ncomputed jointly with individuals from later periods using pairwise outgroup\n\n*f* 3 statistics (outgroup: Han Chinese people). These are calculated using\n\nTwigstats on Relate genealogies with a cut-off of 1,000 generations. The\n\ngeographical map shows sampling locations of these individuals. **b** , The\n\ngenetic structure of ancient groups predominantly from early medieval\n\ncontexts shown on the same MDS as in **a** . The magnified inset shows an MDS\n\ncomputed without Twigstats on the same samples as the Twigstats MDS and\n\nfocusing on early medieval or later individuals. **c** , Ancestry models of early\n\nmedieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nshown in black boxes. Sources are highlighted in **a** and marked as bold in the\n\nkey, and were used in a rotational qpAdm scheme. For each target group, we\n\nremove models with infeasible admixture proportions (falling outside [0, 1])\n\nand use a Twigstats cut-off of 1,000 generations. All models satisfy *P* > 0.01,\n\nunless a −log 10 [ *P* value] is shown next to the model. If models satisfy *P* > 0.05,\n\nwe show all such models; otherwise, we show only the model with the largest\n\n*P* value. **d** , The ancestry proportion derived from EIA Scandinavia in groups\n\nwith a non-zero component of this ancestry. We show groups modelled in **c**\n\nthat have a feasible model ( *P* > 0.01). In **c** , **d** , we show one s.e. BA, Bronze Age;\n\nCNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking\n\nAge; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.",
- "page_start": 3,
- "page_end": 3,
- "source_file": "pubmed3.pdf"
- },
- {
- "text": "Nature | Vol 637 | 2 January 2025 | **123**\n\nhigher resolution using earlier genomes. Several other individuals from\n\nthese Longobard burials (Longobard_earlyMED(II)) show no detectable\n\nancestry from northern Europe and, instead, are more closely related to\n\nIron Age groups in continental central Europe, putatively representing\n\ndescendants of local people buried in a Longobard style. Our results are\n\nconsistent with attestations that the Longobards originated in the areas\n\nof present-day northern Germany or Denmark, but that by the sixth\n\ncentury ce they incorporated multiple different cultural identities, and\n\nmixed ancestries. Present-day populations of Hungary do not appear\n\nto derive detectable ancestry from early medieval individuals from\n\nLongobard contexts, and are instead more similar to Scythian-related\n\nancestry sources (Extended Data Fig. 6), consistent with the later impact\n\nof Avars, Magyars and other eastern groups 58 .\n\nIn southern Germany, the genetic ancestry of individuals from\n\nearly medieval Bavaria probably associated with the historical\n\nGermanic-language-speaking Baiuvarii 59 cannot be modelled as deriv-\n\ning ancestry solely from earlier groups in Iron Age central Germany\n\n( *P* ≪ 1 × 10 −36 ). The Baiuvarii probably appeared in the region in the\n\nfifth century ce 59 , but their origins remain unresolved. Our current\n\nbest model indicates a mixture with ancestry derived from EIA Pen-\n\ninsular Scandinavia and central Europe, suggesting an expansion of\n\nScandinavian-related ancestry producing a regional ancestry shift\n\n(Figs. 2c and 3c).\n\nIn Italy, southward expansions of northern and central European ances-\n\ntries appear by the Late Antiquity (approximately fourth century ce),\n\nwhere a clear diversification of ancestry can be observed compared\n\nwith preceding time periods (Fig. 3d). However, no individuals with\n\nnear 100% Scandinavian ancestry can be observed in the sampling\n\ndata available so far.\n\nIn Britain, the ancestries of Iron Age and Roman individuals form a\n\ntight cluster in our MDS analysis (Fig. 3e), shifted relative to available\n\npreceding Bronze Age individuals from Ireland and Orkney, and adja-\n\ncent to, but distinct from, available individuals in Iron Age and Roman\n\ncentral Europe. However, two first- to second-century ce burials from a\n\nRoman military fortress site in Austria (Klosterneuburg) 5 carry ancestry\n\nthat is currently indistinguishable from Iron Age or Roman popula-\n\ntions of Britain, to the exclusion of other groups (qpWave cladality\n\n*P* = 0.11). One option is that they had ancestry from Britain; alternatively,\n\ncurrently unsampled populations from western continental Europe\n\ncarried ancestries similar to Iron Age southern Britain.\n\nTwigstats substantially improves models of admixture between\n\nancestries from Iron Age Britain and northern Europe in early medi-\n\neval England 9 , halving standard errors from 9% with SNPs to 4% when\n\nusing time stratification (point estimates 80% and 79% Iron Age\n\nBritain-related ancestry, respectively). We used this improved reso-\n\nlution to demonstrate that an earlier Roman individual (6DT3) dating\n\nto approximately second to fourth century ce from the purported\n\ngladiator or military cemetery at Driffield Terrace in York (Roman\n\n*Eboracum* ), England 60 , who was previously identified as an ancestry\n\noutlier 61,62 , specifically carried approximately 25% EIA Scandinavian\n\nPeninsula-related ancestry (Fig. 2c). This documents that people with\n\nScandinavian-related ancestry already were in Britain before the fifth\n\ncentury ce, after which there was a substantial influx associated with\n\nAnglo-Saxon migrations 9 . Although it is uncertain whether this indi-\n\nvidual was a gladiator or soldier, individuals and groups from northern\n\nEurope are indeed recorded in Roman sources both as soldiers and as\n\nenslaved gladiators 63,64 .\n\nAcross Europe, we see regional differences in the southeastern and\n\nsouthwestern expansions of Scandinavian-related ancestries. Early\n\nmedieval groups from present-day Poland and Slovakia carry spe-\n\ncific ancestry from one of the Scandinavian EIA groups—the one with\n\nindividuals primarily from the northern parts of Scandinavia in the\n\nEIA—with no evidence of ancestry related to the other primary group\n\nin more southern Scandinavia (Fig. 2d). By contrast, in southern and\n\nwestern Europe, Scandinavian-related ancestry either derives from\n\nEIA southern Scandinavia—as in the cases of the probable Baiuvarii\n\nin Germany, Longobard-associated burials in Italy and early medieval\n\nburials in southern Britain—or cannot be resolved to a specific region\n\nin Scandinavia. If these expansions are indeed linked to language, this\n\npattern is remarkably concordant with the main branches of Germanic\n\nlanguages, with the now-extinct eastern Germanic spoken by Goths in\n\nUkraine on the one hand, and western Germanic languages such as Old\n\nEnglish and Old High German recorded in the early medieval period\n\non the other hand.\n\n### **Influx into pre-Viking Age Scandinavia**\n\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homo-\n\ngeneity. Specifically, individuals from Denmark (100 ce- 300 ce) were\n\nindistinguishable from contemporary people in the Scandinavian Pen-\n\ninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry\n\nalready in the eighth century ce (Late Iron Age/early Viking Age) on\n\nZealand (present-day Denmark) for which a 100% EIA ancestry model\n\nis rejected ( *P* = 1 × 10 −17 using Twigstats; *P* = 7.5 × 10 −4 without). This\n\nshift in ancestry persists among later Viking Age groups in Denmark,\n\nwhere all groups are modelled with varying proportions of ancestry\n\nrelated to Iron Age continental groups in central Europe (Figs. 3f\n\nand 4c). A non-parametric MDS of Viking Age individuals suggests\n\nthat variation between individuals forms a cline spanning from the\n\nEIA Scandinavian Peninsula individuals to ancestry characteristic of\n\ncentral Europe (Fig. 4e). The observed shift in ancestry in Denmark\n\ncannot be confounded by potentially earlier unknown gene flow into\n\nIron Age source groups in Austria, France and Germany, but such gene\n\nflow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry,\n\npotentially starting before the Viking Age, into the Jutland peninsula\n\nand Zealand island towards southern Sweden. The geographical ori-\n\ngin of this ancestry is currently difficult to discern, as the available\n\nsamples from Iron Age central Europe remain sparse. The timing\n\nof this expansion is constrained only by the samples available: this\n\nancestry is not observed in individuals from the Copenhagen area of\n\nDenmark (around 100 ce- 300 ce) 6 , an individual from the southern tip\n\nof Sweden (around 500 ce) 16 , individuals from the Sandby Borg mas-\n\nsacre site on Öland in present-day Sweden (around 500 ce) 7 and 31 indi-\n\nviduals from the mid-eighth century Salme ship burials in present-day\n\nEstonia (Extended Data Fig. 9), who probably originated in central\n\nSweden 6 . Therefore, this ancestry transformation most likely post-\n\ndated these individuals in each particular region and mostly occurred\n\nin the second half of the first millennium ce.\n\nTo assess the full extent of the impact of this ancestry influx into\n\nScandinavia, we next aimed to understand the ancestry of individu-\n\nals in Scandinavia during the Viking Age. Previous studies have sug-\n\ngested that there was a diversity of ancestries in Scandinavia during this\n\nperiod 6,7,65 , due to increased maritime mobility, but have not reported\n\nper-individual ancestry estimates based on preceding ancestry. We\n\nanalysed each individual’s ancestry using a rotational qpAdm scheme\n\n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which\n\nshowed increased power in distinguishing models when restricted\n\nto recent coalescences with Twigstats (more than 80% of accepted\n\none-source models in Twigstats were also accepted one-source models\n\nusing all SNPs, compared with less than 17% for the inverse).\n\nWe investigated regional differences in non-local ancestry across\n\nScandinavia. In Denmark, 25 out of 53 Viking Age individuals had detect-\n\nable ( *z-* score > 1) central European-related ancestry (CentralEurope.\n\nIronRoman or Portugal.IronRoman) in their best accepted qpAdm\n\nmodels. In Sweden 20 out of 62 individuals had detectable central\n\nEuropean-related ancestry, concentrated almost entirely in southern\n\nregions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed\n\nin only 2 out of 24 individuals, indicating a wide-ranging impact of\n\nincoming ancestry in southern Scandinavia and suggesting more",
- "page_start": 5,
- "page_end": 5,
- "source_file": "pubmed3.pdf"
- },
- {
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Symmachus, Letters 2. 46.1-2. *WordPress* [ https://aleatorclassicus.wordpress.com/2011/08/ ](https://aleatorclassicus.wordpress.com/2011/08/19/symmachus-letters-2-46-1-2/)\n\n[19/symmachus-letters-2-46-1-2/ (2011).](https://aleatorclassicus.wordpress.com/2011/08/19/symmachus-letters-2-46-1-2/)\n\n64. Emperor, J. *The Works of the Emperor Julian* (translator Wright, W. C.) Vol. 1 (Project\n\n[Gutenberg, 2015); https://www.gutenberg.org/ebooks/48664.](https://www.gutenberg.org/ebooks/48664)\n\n65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration\n\npatterns in a Viking Age town. *Curr. Biol.* **28** , 2730- 2738 (2018).\n\n66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the\n\nIron Age. *J. Archaeol. Sci. Rep.* **12** , 183- 196 (2017).\n\n67. Sawyer, P. H. *The Age of the Vikings* (St. Martin’s Press, 1972).\n\n68. Helgason, A. et al. Estimating Scandinavian and Gaelic ancestry in the male settlers of\n\nIceland. *Am. J. Hum. Genet.* **67** , 697- 717 (2000).\n\n69. Wilhelmson, H. & Ahlström, T. Iron Age migration on the island of Öland: apportionment\n\nof strontium by means of Bayesian mixing analysis. *J. Archaeol. Sci.* **64** , 30- 45 (2015).\n\n**Publisher’s note** Springer Nature remains neutral with regard to jurisdictional claims in\n\npublished maps and institutional affiliations.\n\n**Open Access** This article is licensed under a Creative Commons Attribution\n\n4.0 International License, which permits use, sharing, adaptation, distribution\n\nand reproduction in any medium or format, as long as you give appropriate\n\ncredit to the original author(s) and the source, provide a link to the Creative Commons licence,\n\nand indicate if changes were made. The images or other third party material in this article are\n\nincluded in the article’s Creative Commons licence, unless indicated otherwise in a credit line\n\nto the material. If material is not included in the article’s Creative Commons licence and your\n\nintended use is not permitted by statutory regulation or exceeds the permitted use, you will\n\nneed to obtain permission directly from the copyright holder. To view a copy of this licence,\n\n[visit http://creativecommons.org/licenses/by/4.0/.](http://creativecommons.org/licenses/by/4.0/)\n\n© The Author(s) 2025",
- "page_start": 8,
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- "source_file": "pubmed3.pdf"
- },
- {
- "text": "**122** | Nature | Vol 637 | 2 January 2025\n\nmedieval individuals ( *P* ≪ 1 × 10 −32 ). Instead, the majority of individuals\n\nfrom medieval Poland can be modelled only as a mixture of ancestries\n\nrelated to Roman Iron Age Lithuania, which is similar to ancestries of\n\nindividuals from middle to late Bronze Age Poland (44%, 95% confidence\n\ninterval 36- 51%), an ancestry component related to Hungarian Scyth-\n\nians or Slovakian La Tène individuals (49%, 95% confidence interval\n\n41- 57%) and potentially a minority component of ancestry related to\n\nSarmatians from the Caucasus ( *P* = 0.13) (Fig. 2c). Four out of twelve\n\nindividuals from medieval Poland, three of whom are from the late\n\nViking Age 6 , carried detectable Scandinavian-related ancestry. Some\n\nof the ancestry detected in individuals from later medieval Poland may\n\nhave persisted during the late first millennium ce in the cremating\n\nportion of the population, but regardless, this points to large-scale\n\nancestry transformation in medieval Poland (Fig. 3a). Future data could\n\nshed light on the extent to which this reflects the influence of groups\n\nspeaking Slavic languages in the region.\n\nIn present-day Slovakia, individuals associated with the Iron\n\nAge La Tène period appear close to Hungarian Scythians in the two\n\ndimensions of our MDS analysis, and are modelled as a mixture of\n\ncentral and eastern European ancestry. However, a first-century ce\n\nburial of a 50- 60-year-old woman from Zohor is modelled only with\n\nScandinavian-related ancestry, providing evidence of ancestry related\n\nto the Scandinavian EIA appearing southwest of the range of the Wiel-\n\nbark archaeological complex 5,57 (Fig. 3b). Later early medieval individu-\n\nals from Slovakia have partial Scandinavian-related ancestry, providing\n\nevidence for the integration between expanding and local groups.\n\nNearby, in present-day Hungary, we observe Scandinavian-related\n\nancestry components in several burials dating to the sixth century\n\nce associated with Longobards (Longobard_earlyMED(I)) 10 (Fig. 2c).\n\nThis is consistent with the original study 10 , which reported affinity to\n\npresent-day groups from northwestern Europe (GBR, CEU and FIN in\n\nthe 1000 Genomes Project (1000GP)) 10 but which we can resolve with\n\n3000 BCE 2000 BCE 1000 BCE 1000 CE 2000 CE\n\nScandinavia\n\nSouthern Europe\n\nBritain\n\nCentral\n\nEurope\n\nEastern Europe\n\nBA\n\nItaly\n\nCentral Europe\n\n3000 BCE 2000 BCE\n\nEBA\n\n1000 BCE\n\nTime\n\n0 1000 CE 2000 CE\n\nMLBA Wielbark Middle Ages\n\nLate Roman/Ottoman\n\nEarly Medieval\n\nBaiuvarii\n\nMedieval/present day\n\nEarly Medieval/Longobard Iron Roman\n\nPresent day\n\nPresent day BA/Scythian\n\nBell Beaker/EBA\n\nZohor\n\nSoutheastern Europe\n\nPoland\n\nBritain and Ireland\n\nScandinavia\n\n**e**\n\n**f**\n\n**d**\n\n**c**\n\n**b**\n\n**a**\n\nIron Roman\n\nIron/Republic Imperial Late Antiquity (Early) Medieval\n\nEarly Medieval\n\nPresent day\n\nPresent day Medieval Iron Roman BA\n\nBA EIA Viking Age Medieval Present day\n\nDriffeld\n\nTerrace\n\nTarquinia\n\nLate Etruscan\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n2000 BCE 0\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n\n### **Fig. 3 | Time transects across six geographical regions in Europe.**\n\n**a** - **f** , Ancestry change visualized over a time transect spanning from the Bronze\n\nAge to the present day in Poland ( **a** ), southeastern Europe ( **b** ), central Europe\n\n( **c** ), Italy ( **d** ), Britain and Ireland ( **e** ) and Scandinavia ( **f** ). The maps show sample\n\nlocations of all available ancient genomes with at least 0.5× coverage from\n\nthese regions (Supplementary Table 1). Their ancestry is shown on the same\n\nMDS model as in Fig. 2a for each time period. For each geographic region,\n\nthe early medieval period is highlighted in orange and the area in the MDS\n\ncorresponding to Scandinavian and central European ancestries is highlighted\n\nin an orange box.",
- "page_start": 4,
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- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "individuals form a clade with respect to reference groups. The reason\n\nwhy this is a principled approach despite the 1000GP groups post-dating\n\nthe ancient individuals is that if a group of ancient individuals are truly\n\nhomogeneous, they will be so also with respect to later individuals.\n\nWe then define clusters by running UPGMA (unweighted pair group\n\nmethod with arithmetic mean) on −log 10 [ *P* values] obtained from\n\nqpwave between all pairs of individuals and cut the resulting dendro-\n\ngram at a height corresponding to a *P* value of 0.01. We then further\n\nsubdivide clusters by requiring all samples to be within 500 years of\n\nthe mean cluster age.\n\nTo choose the source groups shown in Fig. 2a and Extended Data\n\nFig. 1d, we run this algorithm on samples from Iron and Roman Age\n\nEurope (Supplementary Table 1). We retain groups that have at least\n\nthree individuals and, therefore, exclude clusters of size one or two.\n\nThis approach results in two clusters in the Scandinavian Penin-\n\nsula, approximately separating northern from southern Scandinavia,\n\nthree clusters in Poland and Ukraine that separate samples tempo-\n\nrally between the early and later Bronze Age, a cluster combining the\n\nHungarian Scythian and Slovakian La Tène-associated individuals,\n\nand a cluster each for Iron and Roman Age Portugal, Italy and Lithu-\n\nania. In present-day Austria, Germany and France, this approach\n\nidentifies three clusters, with each cluster spanning multiple archae-\n\nological sites in different countries, indicating genetic diversity in\n\nthis region in the first millennium ce. Encouragingly, these clusters\n\nseparate in our non-parametric MDS analysis (Fig. 2a), indicating that\n\nwe are capturing real genetic differences between groups using this\n\napproach.\n\n**Fine-scale structure in Neolithic Europe.** To quantify fine-scale struc-\n\nture in Neolithic Europe (Extended Data Fig. 5b), we aimed to select\n\nindividuals in Neolithic Europe who have not yet been affected by the\n\narrival of Steppe ancestry and do not show excess hunter-gatherer\n\nancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and\n\nWestern Hunter-gatherers as source groups and reference groups\n\naccording to a previously proposed qpAdm setup 46 (Supplementary\n\nTable 1). For this analysis, we infer ancestry using qpAdm applied to\n\n1.2 million SNP sites of imputed genomes. We retain only Neolithic\n\nindividuals with *P* > 0.01, *z* < 2 for Yamnaya ancestry, and *z* < 2 or\n\nproportion <0.25 for Western Hunter-gatherer ancestry.\n\n**Reporting summary**\n\nFurther information on research design is available in the Nature Port-\n\nfolio Reporting Summary linked to this article.\n\n**Data availability**\n\nAll aDNA data used in this study were publicly available, and accession\n\ncodes are listed in Supplementary Table 1.\n\n**Code availability**\n\nTwigstats is freely available under an MIT licence through GitHub\n\n[(https://github.com/leospeidel/twigstats), and detailed documenta-](https://github.com/leospeidel/twigstats)\n\n[tion, as well as example data, is available at https://leospeidel.github.](https://leospeidel.github.io/twigstats/)\n\n[io/twigstats/. The code has also been deposited at Zenodo (https://](https://zenodo.org/records/13833120)\n\n[zenodo.org/records/13833120)](https://zenodo.org/records/13833120) 76 . All scripts to reproduce simulations,\n\nand to run Relate on imputed ancient genomes, and downstream\n\nanalyses, including computation of *f* -statistics and running qpAdm\n\n[models, are available through GitHub (https://github.com/leospeidel/ ](https://github.com/leospeidel/twigstats_paper)\n\n[twigstats_paper).](https://github.com/leospeidel/twigstats_paper)\n\n70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting\n\ncomplex models of population history to *f* -statistics. *eLife* **12** , e85492 (2023).\n\n71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and\n\ngenealogical analysis for large sample sizes. *PLoS Comput. Biol.* **12** , e1004842\n\n(2016).\n\n72. da Mota, B. S. et al. Imputation of ancient human genomes. *Nat. Commun.* **14** , 3660\n\n(2023).\n\n73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation\n\nof low-coverage sequencing data using large reference panels. *Nat. Genet.* **53** , 120- 126\n\n(2021).\n\n74. The 1000 Genomes Project Consortium. A global reference for human genetic variation.\n\n*Nature* **526** , 68- 74 (2015).\n\n75. Mallick, S. et al. The Simons Genome Diversity Project: 300 genomes from 142 diverse\n\npopulations. *Nature* **538** , 201- 206 (2016).\n\n76. Speidel, L. leospeidel/twigstats: Twigstats v1.0.1. *Zenodo* [ https://doi.org/10.5281/zenodo. ](https://doi.org/10.5281/zenodo.13833119)\n\n[13833119 (2024).](https://doi.org/10.5281/zenodo.13833119)\n\n77. Skoglund, P. et al. Genetic evidence for two founding populations of the Americas. *Nature*\n\n**525** , 104- 108 (2015).\n\n78. Prüfer, K. et al. The complete genome sequence of a Neanderthal from the Altai Mountains.\n\n*Nature* **505** , 43- 49 (2014).\n\n79. Prüfer, K. et al. A high-coverage Neandertal genome from Vindija Cave in Croatia. *Science*\n\n**358** , 655- 658 (2017).\n\n**Acknowledgements** L.S. was supported by a Sir Henry Wellcome Fellowship (220457/Z/20/Z).\n\nP.S. was supported by the European Molecular Biology Organization, the Vallee Foundation,\n\nthe European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis\n\nCrick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research\n\nCouncil and the Wellcome Trust. B.R. was supported by the Swedish Research Council\n\n(2021-03333).\n\n**Author contributions** P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S.\n\nand P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S.,\n\nM.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript.\n\n**Funding** Open Access funding provided by The Francis Crick Institute.\n\n**Competing interests** The authors declare no competing interests.\n\n**Additional information**\n\n**Supplementary information** The online version contains supplementary material available at\n\n[https://doi.org/10.1038/s41586-024-08275-2.](https://doi.org/10.1038/s41586-024-08275-2)\n\n**Correspondence and requests for materials** should be addressed to Leo Speidel or\n\nPontus Skoglund.\n\n**Peer review information** *Nature* thanks Jerome Kelleher, Duncan Sayer and the other,\n\nanonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer\n\nreports are available.\n\n**Reprints and permissions information** [is available at http://www.nature.com/reprints.](http://www.nature.com/reprints)",
- "page_start": 11,
- "page_end": 11,
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- },
- {
- "text": "Nature | Vol 637 | 2 January 2025 | **125**\n\n(including one with ancestry related to Britain) are part of the majority\n\nstrontium values, consistent with them having grown up locally. By\n\ncontrast, the six most clearly non-local individuals based on the sta-\n\nble isotopes all have 50% or more EIA Scandinavian Peninsula-related\n\nancestry, although three individuals with wholly EIA Scandinavian\n\nPeninsula-related ancestry also had local values. This suggests that\n\nthe presence of central European-related ancestry was not a transient\n\nphenomenon, but an ancestry shift that occurred at some point after\n\nabout 500 ce, the period to which individuals from the massacre site\n\nat Sandby Borg ringfort on Öland were dated; these individuals all have\n\nstrictly EIA Scandinavian-related ancestry. Indeed, one hypothesis is\n\nthat the massacre at Sandby Borg could represent conflict associated\n\nwith movements of people that contributed to later ancestry change,\n\nalthough other scenarios are possible and further synthesis of biomo-\n\nlecular and archaeological data is necessary to test this hypothesis.\n\n### **Viking Age mobility into Scandinavia**\n\nPrevious studies had suggested a major influx of ancestry related to\n\nBritain into Viking Age Scandinavia 6,7 . Although we detect this ances-\n\ntry in some individuals (7 individuals in Norway, 14 in Denmark and\n\n14 in Sweden), including some individuals whose ancestry appears to\n\nbe entirely derived from Iron Age Britain, its overall impact appears\n\nreduced compared with previous reports. Our analysis indicates a pro-\n\nportionally larger impact of ancestry from Iron Age Britain in northern\n\nNorway, with southern Scandinavia predominantly influenced by\n\ncontinental central European ancestries (Fig. 4d). We hypothesize\n\nthat our estimates of ancestry from Britain are reduced relative to\n\nprevious studies because ancestry related to Britain and continen-\n\ntal central Europe may have been indistinguishable. This could be\n\ndue to a lack of statistical power to distinguish these closely related\n\nsources with standard methods, as well as through potential biases\n\nintroduced by using modern surrogate populations that have since\n\nbeen influenced by later gene flow (such as gene flow into Britain).\n\nWe illustrate this by replicating the analyses previously described 6,7\n\n(Extended Data Fig. 8).\n\nSimilarly, a previous study has suggested that individuals at sites such\n\nas Kärda in southern Sweden carried ancestry from southern Europe 6 .\n\nIn our models, two Kärda individuals fit with central European-related\n\nancestry, but none of the individuals has a substantial proportion of\n\nancestry related to southern European sources (Extended Data Fig. 9).\n\nInstead, we detect ancestry from southern European sources in only\n\nthree individuals from Scandinavia, and in relatively small propor-\n\ntions (Fig. 4a).\n\nInterestingly, we detect ancestry from Bronze and Iron Age sources\n\nfrom Eastern Europe (present-day Lithuania and Poland), concentrated\n\nin southeastern parts of Sweden, particularly the island of Gotland\n\n(14 individuals; Fig. 4a). This is consistent with previous genetic\n\nstudies 6,7 . We find that this ancestry is enriched in male individuals\n\n(Extended Data Fig. 7d), suggesting male-biased mobility and/or burial.\n\nThe closest match tends to be Roman Iron Age Lithuanian genomes\n\nassociated with Balts, which would be consistent with mobility across\n\nthe Baltic Sea, but we caution that the geographical representation of\n\navailable genomes is still limited.\n\n### **Viking Age expansion from Scandinavia**\n\nTraditionally, historical perspectives on what is now often referred\n\nto as the Viking diaspora placed an emphasis on the movements and\n\nsettlements of population groups from various parts of Scandinavia 67 .\n\nOur explorative MDS analysis again indicates mixed ancestries related\n\nto the Scandinavian EIA, with regional differences that point to varied\n\nlocal admixture (Fig. 4e and Extended Data Fig. 10).\n\nIn Britain, most of the individuals recovered from the two late Viking\n\nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s\n\nCollege, Oxford 6 , show ancestries typical of those seen in Viking Age\n\nsouthern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age\n\nindividuals in the Faroe Islands, Iceland and Greenland carry ancestry\n\nfrom the Scandinavian Peninsula, with several individuals showing the\n\ncontinental central Europe-related ancestry signal found in south-\n\nern Scandinavia (Fig. 4f) and others who share substantial ancestry\n\nwith Iron Age Britain. In contrast to previous hypotheses 68 , we found\n\na marginal enrichment of ancestry related to Britain and Ireland in\n\nmen (15 out of 17 men and 3 out of 6 women with at least one accepted\n\nmodel involving Iron or Roman Age Britain as source; Fisher’s exact\n\ntest *P* = 0.089) (Extended Data Fig. 7c,e). However, sampling of addi-\n\ntional individuals to improve distinction between early English- and\n\nNorse-related ancestries would be required to fully test this hypothesis.\n\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking\n\nAge burial from Ukraine, and these ancestries are overrepresented\n\nin Viking Age burials from present-day Russia. At Staraya Ladoga in\n\nwestern Russia, we observe several individuals with EIA Scandinavian\n\nPeninsula-related ancestry and at least one individual dated to the\n\neleventh century with apparent ancestry related to Iron Age Britain.\n\nThe relative absence of Iron Age central European ancestry, which was\n\nlargely restricted to southern Scandinavia during the Viking Age, is thus\n\nindicative that these individuals may have originated in the central/\n\nnorthern parts of Sweden or Norway, where Viking Age individuals\n\nshow the most similar ancestry profiles to them.\n\n### **Conclusions**\n\nOur approach, Twigstats, transfers the power advantage of haplotype-\n\nbased approaches to a fully temporal framework, which is applica-\n\nble to *f* -statistics and enables previously unavailable unbiased and\n\ntime-stratified analyses of admixture. We demonstrated that Twigstats\n\nenables fine-scale quantitative modelling of ancestry proportions,\n\nrevealing wide-ranging ancestry changes that affect northern and\n\ncentral Europe during the Iron, Roman and Viking ages. We reveal evi-\n\ndence of the southward and/or eastward expansion of individuals who\n\nprobably spoke Germanic languages and who had Scandinavian-related\n\nancestry in the first half of the first millennium ce. We note that\n\n‘Scandinavian-related’ in this context relates to the ancient genomes\n\navailable, and so it is entirely possible that these processes were driven,\n\nfor example, from regions in northern-central Europe. This could be\n\nconsistent with the attraction of the greater wealth, which tended to\n\nbuild up among Rome’s immediate neighbours and may have played\n\na major role in vectors of migration internal to communities in Europe\n\nwho lived beyond the Roman frontier 52 . Later, patterns of gene flow\n\nseem to have turned northwards, with the spread of Iron Age Central\n\nEurope-related ancestry into Scandinavia. Overall, our approach can\n\nbe used for the reconstruction of new high-resolution genetic histories\n\naround the world.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting summa-\n\nries, source data, extended data, supplementary information, acknowl-\n\nedgements, peer review information; details of author contributions\n\nand competing interests; and statements of data and code availability\n\n[are available at https://doi.org/10.1038/s41586-024-08275-2.](https://doi.org/10.1038/s41586-024-08275-2)\n\n1. Lawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using\n\ndense haplotype data. *PLoS Genet.* **8** , 11- 17 (2012).\n\n2. Hellenthal, G. et al. A genetic atlas of human admixture history. *Science* **343** , 747- 751\n\n(2014).\n\n3. Schiffels, S. et al. Iron Age and Anglo-Saxon genomes from East England reveal British\n\nmigration history. *Nat. Commun.* **7** , 10408 (2016).\n\n4. Flegontov, P. et al. Palaeo-Eskimo genetic ancestry and the peopling of Chukotka and\n\nNorth America. *Nature* **570** , 236- 240 (2019).\n\n5. Antonio, M. L. et al. Stable population structure in Europe since the Iron Age, despite high\n\nmobility. *eLife* **13** , e79714 (2024).",
- "page_start": 7,
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- "source_file": "pubmed3.pdf"
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- {
- "text": "[In Chinese philosophy, the School of Names and Mohism were particularly influential. The School of](https://en.wikipedia.org/wiki/Mohism)\n\n[Names focused on the use of language and on paradoxes. For example, Gongsun Long proposed the](https://en.wikipedia.org/wiki/Gongsun_Long)\n\n[white horse paradox, which defends the thesis that a white horse is not a horse. The school of Mohism](https://en.wikipedia.org/wiki/White_horse_paradox)\n\nalso acknowledged the importance of language for logic and tried to relate the ideas in these fields to the\n\nrealm of ethics. [197]\n\n[In India, the study of logic was primarily pursued by the schools of Nyaya, Buddhism, and Jainism. It](https://en.wikipedia.org/wiki/Jainism)\n\nwas not treated as a separate academic discipline and discussions of its topics usually happened in the\n\ncontext of epistemology and theories of dialogue or argumentation. [198] In Nyaya, inference is understood\n\n[as a source of knowledge (pramā](https://en.wikipedia.org/wiki/Pram%C4%81%E1%B9%87a) ṇ a). It follows the perception of an object and tries to arrive at\n\nconclusions, for example, about the cause of this object. [199] A similar emphasis on the relation to\n\nepistemology is also found in Buddhist and Jainist schools of logic, where inference is used to expand the\n\nknowledge gained through other sources. [200] Some of the later theories of Nyaya, belonging to the\n\n[Navya-Nyāya school, resemble modern forms of logic, such as Gottlob Frege's distinction between sense](https://en.wikipedia.org/wiki/Sense_and_reference)\n\n[and reference and his definition of number.](https://en.wikipedia.org/wiki/Sense_and_reference) [201]\n\nThe syllogistic logic developed by Aristotle predominated in the West until the mid-19th century, when\n\ninterest in the foundations of mathematics stimulated the development of modern symbolic logic. [202]\n\nMany see Gottlob Frege's *[Begriffsschrift](https://en.wikipedia.org/wiki/Begriffsschrift)* [ as the birthplace of modern logic. Gottfried Wilhelm Leibniz's](https://en.wikipedia.org/wiki/Gottfried_Wilhelm_Leibniz)\n\n[idea of a universal formal language is often considered a forerunner. Other pioneers were George Boole,](https://en.wikipedia.org/wiki/George_Boole)\n\n[who invented Boolean algebra as a mathematical system of logic, and Charles Peirce, who developed the](https://en.wikipedia.org/wiki/Charles_Peirce)\n\n[logic of relatives. Alfred North Whitehead and Bertrand Russell, in turn, condensed many of these](https://en.wikipedia.org/wiki/Logic_of_relatives)\n\ninsights in their work *[Principia Mathematica](https://en.wikipedia.org/wiki/Principia_Mathematica)* [. Modern logic introduced novel concepts, such as functions,](https://en.wikipedia.org/wiki/Function_(mathematics))\n\nquantifiers, and relational predicates. A hallmark of modern symbolic logic is its use of formal language\n\nto precisely codify its insights. In this regard, it departs from earlier logicians, who relied mainly on\n\nnatural language. [203] Of particular influence was the development of first-order logic, which is usually\n\ntreated as the standard system of modern logic. [204] Its analytical generality allowed the formalization of\n\n[mathematics and drove the investigation of set theory. It also made Alfred Tarski's approach to model](https://en.wikipedia.org/wiki/Model_theory)\n\n[theory possible and provided the foundation of modern mathematical logic.](https://en.wikipedia.org/wiki/Model_theory) [205]\n\n* **[Philosophy portal](https://en.wikipedia.org/wiki/Portal:Philosophy)** *\n\n### **See also**",
- "page_start": 17,
- "page_end": 17,
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- "text": "annual report 2002",
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- "text": "### **Extended Data Fig. 10 | Ancestry models of farflung Viking individuals.**\n\n**a** , MDS of each farflung Viking group plotted on top of preceding Iron age and\n\nRoman individuals. **b** , All accepted qpAdm models using Twigstats-1000 for\n\nevery non-Scandinavian Viking individual computed in a rotational qpAdm\n\nwith source groups identical to Fig. 4. We plot one standard error.",
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- "references": {
- "source_file": "1001.0806.pdf",
- "query": "What do the timescales during which high-amplitude flaring events occur in blazars indicate?",
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- "target_passage": "that much of the en- ergy is being produced deep within the jet on small, sub-parsec scales",
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- "text": "detailed variability analysis for one of two reasons:\n\n(1) too few data points or (2) flux measurement un-\n\ncertainties on the order of the amplitude of observed\n\nvariability. It is important to note that, due to dis-\n\ncrepancies between the sampling frequency in both\n\nbands, the variability indices for the 850 *µ* m band may\n\nbe artificially depressed due to the fact that there are\n\nnot always corresponding measurements at higher fre-\n\nquencies during flaring epochs.\n\n### **3.2. First-Order Continuous Autoregression**\n\nWe follow the method of Kelly et al. [9], who model\n\nquasar optical light curves as a continuous time first-\n\norder autoregressive process (CAR(1)) in order to ex-\n\ntract characteristic time scales and the amplitude of\n\nflux variations. Although flaring behavior is not typi-\n\ncally thought of as an autoregressive process, we find\n\nthat the light curves are well-fit by the models and\n\ntherefore adopt the method here to study blazar sub-\n\nmillimeter light curves.\n\nThe CAR(1) process is described by a stochastic\n\ndifferential equation [9],\n\n*dS* ( *t* ) = 1 *τ* *S* ( *t* ) *dt* + *σ* *√* *dt ϵ* ( *t* ) + *b dt,* (3)\n\nassociated with a power spectrum of the form\n\n*P* *X* ( *f* ) = 2 *σ* 2 *τ* 2 1 + (2 *πτf* ) 2 *.* (4)\n\nIn equations 3 and 4, *τ* is called the “relaxation\n\ntime” of the process *S* ( *t* ) and is identified by the\n\nbreak in *P* *X* ( *f* ). The power spectrum appears flat for timescales longer than this and falls off as 1 */f* 2 for\n\ntimescales shorter than the characteristic timescale of\n\nthe process.\n\nTaking the logarithm of the blazar light curve (in\n\nJy) to be *S* ( *t* ), we adopt *τ* (in days) as the character-\n\nistic timescale of variability, after which the physical\n\nprocess “forgets” about what has happened at time\n\nlags of greater than *τ* . The two other relevant pa-\n\nrameters, *σ* and *µ* = *b/a* , are the overall amplitude\n\nof variability and the logarithm of mean value of the\n\nlight curve, respectively.\n\nIn the routine, we construct an autoregressive\n\nmodel for the light curves for a minimum of 100,000\n\niterations and calculate the value of *τ* from the break\n\nin the power spectrum in each instance. Due to the\n\nlimited number of observations in the 850 *µ* m band,\n\nwe performed this autoregressive analysis only for the\n\n1mm light curves, which typically have more than 10\n\npoints per light curve.\n\nThis method yielded some surprising results. In\n\nFigure 3, we see that the BL Lacs and FSRQs exhibit\n\nvirtually no difference in characteristic timescale, with\n\nFigure 3: Characteristic timescale (days) versus\n\nsubmillimeter luminosity (erg s *−* 1 ) in the 1mm band for\n\nall objects. Physically, *τ* represents a “relaxation\n\ntimescale”, the timescale beyond which events are no\n\nlonger correlated.\n\nboth classes extending across a large range in *τ* . Be-\n\ncause of the uncertainty for objects with shorter char-\n\nacteristic timescales, it is hard to draw any definitive\n\nconclusions about the differences between classes. It\n\nis important to note that *τ* does not necessarily rep-\n\nresent a flaring timescale, which is a behavior that\n\ntypically operates on a scale of *∼* 10- 100 days and not on the longer timescales we see in *τ* .\n\n## **4. CONNECTION WITH GAMMA-RAYS**\n\nIn general, we find that in the submillimeter, we\n\nare observing these blazars at or near the peak of the\n\nsynchrotron component ( *α* S *∼* 0), but that *Fermi* -\n\ndetected sources have more negative energy spectral\n\nindices overall than *Fermi* -nondetected sources. In\n\nFigure 4, we see that while the majority of *Fermi*\n\nblazars are observed on the rising part of the syn-\n\nchrotron component (at lower energies than the peak),\n\nall of the objects have very steeply falling *γ* -ray energy\n\nspectral indexes, putting the *γ* -ray peak at lower en-\n\nergies than the observed *Fermi* band. Knowing that\n\nwe are not observing the synchrotron and *γ* -ray com-\n\nponents at analagous points in the spectrum may al-\n\nlow us to better understand the magnetic field in the\n\nparsec-scale jet region and the population of external\n\nphotons that is being upscattered to *γ* -rays.\n\nIn Figure 5, the ratio between *L* *γ* and *νL* *ν,* 1mm re-\n\nflects the division between BL Lacs and FSRQs as well\n\n**eConf C091122**",
- "page_start": 2,
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- "text": "Figure 5: Ratio of *γ* -ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\n\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\n\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n*-* BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter vari-\n\nability or characteristic timescale, but our sam-\n\nple of BL Lacs may be dominated by high-\n\npeaked BL Lacs (HBLs), which exhibit obser-\n\nvational similarities with FSRQs.\n\n*-* Blazar submillimeter light curves are consistent with being produced by a single process that ac-\n\ncounts for both high and low states, with char-\n\nacteristic timescales 10 *< τ* rest *<* 500 days.\n\n*-* The blazars detected by *Fermi* have synchrotron peaks at higher frequencies, regardless of sub-\n\nmillimeter luminosity.\n\n*-* FSRQs exhibit higher ratios of *γ* -ray to sub- millimeter luminosity than BL Lacs (Figure 5),\n\nbut all objects inhabit a region of parameter\n\nspace suggesting transitions between states dur-\n\ning flaring epochs.\n\nAs *Fermi* continues to observe fainter sources, the\n\nsample of objects for which we can perform this type of\n\nanalysis will increase and provide better limits on our\n\nresults. To understand the physical relevance of these\n\nresults, however, it is important to be able to distin-\n\nguish between the difference in variability between BL\n\nLacs and FSRQs. One avenue for exploring this dif-\n\nference is to monitor changing submillimeter energy\n\nspectral index and the ratio of *γ* -ray to submillime-\n\nter luminosity as functions of time. The full mean-\n\ning of the results of our autoregressive method is not\n\nyet clear, and will require better-sampled blazar light\n\ncurves and the comparison between *τ* rest with physical\n\ntimescales such as the synchrotron cooling timescale.\n\nThese analyses would allow us to place constraints\n\non the processes occurring near the base of the jet in\n\nblazars and further understand the intimate connec-\n\ntion between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF\n\nREU and DoD ASSURE programs under Grant no.\n\n0754568 and by the Smithsonian Institution. Par-\n\ntial support was also provided by NASA contract\n\nNAS8-39073 and NASA grant NNX07AQ55G. We\n\nhave made use of the SIMBAD database, operated at\n\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\n\ntragalactic Database (NED) which is operated by the\n\nJPL, Caltech, under contract with NASA.\n\n**eConf C091122**",
- "page_start": 4,
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- "text": "tion of correlated VHE and X-ray flux variability, as\n\nwell as correlated spectral hardening in both the VHE\n\nand X-ray bands. The VHE MWL observations were\n\nperformed in both ”quiescent” and flaring states for\n\nsome of the observed blazars. For the observed HBL\n\nobjects, the SEDs can be well described by a simple\n\nSSC model in both high and low states. However, an\n\nadditional external Compton component is necessary\n\nto adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant im-\n\npact on the blazar KSP. In future seasons, the VER-\n\nITAS blazar discovery program will focus its dis-\n\ncovery program on hard-spectrum blazars detected\n\nby Fermi-LAT, and will likely have a greater focus\n\non high-risk/high-reward objects at larger redshifts\n\n(0 . 3 < z < 0 . 7). In addition, the number of VHE\n\nblazars studied in pre-planned MWL campaigns will\n\nincrease as data from the Fermi-LAT will be publicly\n\navailable. In particular, the extensive pre-planned\n\nMWL campaigns will focus on objects that are note-\n\nworthy for the impact their data may have on under-\n\nstanding the EBL. The simultaneous observations of\n\nblazars by VERITAS and Fermi-LAT will completely\n\nresolve the higher-energy SED peak, often for the first\n\ntime, enabling unprecedented constraints on the un-\n\nderlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US\n\nDepartment of Energy, the US National Science Foun-\n\ndation, and the Smithsonian Institution, by NSERC in\n\nCanada, by Science Foundation Ireland, and by STFC\n\nin the UK. We acknowledge the excellent work of the\n\ntechnical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation\n\nof the instrument.\n\n### **References**\n\n[1] F. Aharonian et al. 2007, ApJ , 664 , L71\n\n[2] F. Aharonian et al. 2006, Nature , 440 , 1018\n\n[3] F. Aharonian et al. 2007, A&A , 475 , L9\n\n[4] J. Holder, et al. 2008, AIPC , 1085 , 657\n\n[5] L. Costamante & G. Ghisellini 2002, A&A , 384 ,\n\n56\n\n[6] E.S. Perlman 2000, AIPC , 515 , 53\n\n[7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n\n[8] P. Giommi et al. 2005, A&A , 434 , 385\n\n[9] S. Turriziani et al. 2007, A&A , 472 , 699\n\n[10] L. Costamante 2006, arXiv:0612709\n\n[11] P. Padovani et al. 2002, ApJ , 581 , 895\n\n[12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n\n[13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n\n[14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n\n[15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n\n[16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n\n[17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n\n[[18] L.C. Reyes 2009, arXiv:0907.5175](http://arxiv.org/abs/0907.5175)\n\n[19] R.A. Ong 2009, ATel , 1941\n\n[20] R.A. Ong et al. 2009, ATel , 2272\n\n[21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n\n[22] R.A. Ong et al. 2009, ATel , 2301\n\n[23] R.A. Ong et al. 2009, ATel , 2260\n\n[24] R.A. Ong et al. 2009, ATel , 2309\n\n[[25] W. Benbow 2009, arXiv:0908.1412](http://arxiv.org/abs/0908.1412)\n\n[26] V.A. Acciari et al. 2009, ApJ , submitted\n\n[27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n\n[28] V.A. Acciari et al. 2009, ApJ , in press\n\n[[29] J. Grube 2009, arXiv:0907.4862](http://arxiv.org/abs/0907.4862)\n\neConf C091122",
- "page_start": 4,
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- "source_file": "1001.0770.pdf"
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- {
- "text": "circles represent the 850 *µ* m observations, and the open\n\ntriangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications be-\n\ntween *Fermi* and CGRaBS. Some blazars found in the\n\ncalibrator list have been studied extensively (e.g., 3C\n\n279 and 3C 454.3) but the *SMA* blazars have not been\n\nstudied collectively.\n\nForty-four of the objects in our total blazar sample\n\nwere detected by *Fermi* and can be found in the cata-\n\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\n\nal. [7]. J0050-094 has no redshift in either the LBAS\n\ncatalog or CGRaBS and is not included in our study.\n\nOf the 43 remaining sources, 14 are BL Lac objects\n\nand 29 are FSRQs, with 0 *.* 03 *≤* *z* *≤* 2 *.* 19. We examined submillimeter light curves for all of\n\nthe *SMA* blazars, with observations beginning in ap-\n\nproximately 2003 (see Figure 1). Typically, the 1mm\n\nband is much more well-sampled in comparison to the\n\n850m band, but visual inspection reveals that the reg-\n\nularity and quality of observations vary greatly from\n\nsource to source. Many of the objects exhibit non-\n\nperiodic variability, either in the form of persistent,\n\nlow-amplitude fluctuations or higher amplitude flar-\n\ning behavior.\n\n### **2.1. Submillimeter Properties**\n\n**Submillimeter Luminosities.** Since we are pri-\n\nmarily concerned with comparisons to *Fermi* observa-\n\ntions, we note that only 129 of the *SMA* blazars (23 BL\n\nLacs and 106 FSRQs) were observed by the *SMA* in\n\neither band during the three months August-October\n\n2008. For these objects, submillimeter luminosities\n\nare calculated in the standard way:\n\n*ν* *e* *L* *ν* *e* = 4 *πD* 2 L\n\n*ν* obs *F* obs\n\n1 + *z* *,* (1)\n\nwhere *D* L is the luminosity distance, *ν* obs is the fre-\n\nquency of the observed band, and *F* obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm,\n\nbottom: 850 *µ* m), with FSRQs as the hatched\n\ndistribution and BL Lacs as the solid distribution. There\n\nis no signicant difference in the class distributions in\n\neither band; the “tail” to the left is populated by objects\n\nwith errors larger than the intrinsic variability.\n\nflux (in erg cm *−* 2 s *−* 1 Hz *−* 1 ) over the three month pe-\n\nriod. We adopt a lambda cold dark matter cosmology\n\nwith values of *H* 0 = 71 km s *−* 1 Mpc *−* 1 , Ω M = 0 *.* 27,\n\nand Λ = 0 *.* 73.\n\n**Energy Spectral Indices.** We derive submillime-\n\nter spectral energy indices from observations quasi-\n\nsimultaneous with the *Fermi* observations. To be con-\n\nsistent with the use of *α* *γ* , we define spectral energy in-\n\ndex as *νF* *ν* = *ν* *−* *α* S and calculate *α* S from the average\n\nof the energy spectral indices over the corresponding\n\nthree months. We only calculate *α* S for the 16 objects\n\n(8 BL Lacs and 35 FSRQs) with observations at both\n\n1mm and 850 *µ* m during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n### **3.1. Variability Index**\n\nWe roughly characterize the level of variability of\n\neach source using the variability index from Hovatta\n\net al. [8]:\n\n*V* = ( *F* max *−* *σ* *F* max ) *−* ( *F* min + *σ* *F* min ) ( *F* max *−* *σ* *F* max ) + ( *F* min + *σ* *F* min ) (2)\n\nFigure 2 shows the distribution for the *SMA* blazars.\n\nObjects with *V* *≤* 0 are typically unsuitable for more\n\n**eConf C091122**",
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- "text": "**Submillimeter Variability and the Gamma-ray Connection in** * **Fermi** *\n\n**Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA*\n\nA. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the *Submillimeter Array* ( *SMA* ) for a sample of 171 bright blazars,\n\n43 of which were detected by *Fermi* during the first three months of observations. We explore the correlation\n\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\n\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\n\ntermined using a combination of *Fermi* designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\n\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\n\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\n\nduring the months August- October 2008. The submillimeter light curves are modeled as first-order continuous\n\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\n\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\n\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\n\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\n\nflaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring\n\nevents occur in blazars indicate that much of the en-\n\nergy is being produced deep within the jet on small,\n\nsub-parsec scales [1, 2]. Understanding if/how emis-\n\nsion differs between blazar subclasses (i.e., BL Lacs\n\nobjects and flat-spectrum radio quasars (FSRQs))\n\nmay offer important insight into the similarity be-\n\ntween blazars and, furthermore, can provide con-\n\nstraints on the formation and acceleration of the jets\n\nthemselves.\n\nFor the synchrotron component of blazar spectra,\n\nthe low-frequency spectral break due to synchrotron\n\nself-absorption moves to higher frequencies as one\n\nmeasures closer to the base of the jet [2]. This of-\n\nten places the peak of the spectrum in the millime-\n\nter and submillimeter bands, where the emission is\n\noptically-thin and originates on parsec and sub-parsec\n\nscales [3], allowing direct observation of the most com-\n\npact regions near the central engine. The high en-\n\nergy *γ* -ray emission originates as a Compton process,\n\ntypically a combination of synchrotron-self-Compton\n\n(SSC) and external-radiation-Compton (ERC). De-\n\npending on the source properties, the synchrotron\n\nphotons or external photons are upscattered by the\n\nsame population of electrons that emit the millimeter\n\nand submillimeter spectra. Therefore the submillime-\n\nter and *γ* -ray emission are closely linked and give the\n\nfull information about the source emission.\n\nA systematic study of the submillimeter properties\n\nof the entire sample of *Fermi* blazars has yet to be con-\n\nducted and is one of the primary goals of our work. We\n\npresent here preliminary analysis of the submillimeter\n\nproperties of *Fermi* blazars detected by the *Submil-*\n\n*limeter Array* 1 ( *SMA* ) at 1mm and 850 *µ* m, including\n\nan investigation of variable behavior and the deter-\n\nmination of submillimeter energy spectral indices. In\n\naddition, we consider the connection to the observed\n\n*γ* -ray indices and luminosities.\n\n## **2.** * **SMA** * **BLAZARS**\n\nThe *Submillimeter Array* [4] consists of eight 6 m\n\nantennas located near the summit of Mauna Kea. The\n\n*SMA* is used in a variety of baseline configurations\n\nand typically operates in the 1mm and 850 *µ* m win-\n\ndows, achieving spatial resolution as fine as 0.25” at\n\n850 *µ* m. The sources used as phase calibrators for the\n\narray are compiled in a database known as the *SMA* Calibrator List 2 [5]. Essentially a collection of bright\n\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\n\nat 345 GHz), these sources are monitored regularly,\n\nboth during science observations and dedicated ob-\n\nserving tracks.\n\nTo select our sample, we identified objects in the\n\ncalibrator list that were also classified as BL Lacs or\n\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\n\nvey [6, CGRaBS]. Of the 243 total objects in the\n\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\n\nhave positive blazar class identifications, although\n\nthere are three sources (J0238+166, J0428-379, and\n\n1 The Submillimeter Array is a joint project between the\n\nSmithsonian Astrophysical Observatory and the Academia\n\nSinica Institute of Astronomy and Astrophysics and is funded\n\nby the Smithsonian Institution and the Academia Sinica.\n\n2 http://sma1.sma.hawaii.edu/callist/callist.html\n\n**eConf C091122**\n\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010 Figure 1: The *SMA* light curves for 3C 454.3. The open",
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- "text": "Figure 4: The *γ* -ray index versus submillimeter index plane. The blazars fall more steeply in the *γ* -rays than in the\n\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full *SMA* sample,\n\nwhere the blazars are more distributed around *α* S *∼* 0.\n\nas the presence of SSC versus ERC. Here, we use sub-\n\nmillimeter luminosity as a proxy for jet power, which\n\nis correlated with the integrated luminosity of the syn-\n\nchrotron component. Elevated *γ* -ray luminosity with\n\nrespect to the synchrotron component (which is often\n\nseen in FSRQs) suggests the upscattering of external\n\nphotons off the synchrotron-emitting electrons. These\n\nobjects should occupy the upper right of the ratio/jet\n\npower plot, and BL Lacs, which generally exhibit com-\n\nponents with roughly comparable luminosities, should\n\noccupy the lower left. It is clear from the figure, how-\n\never, that many FSRQs exhibit ratios similar to those\n\nof the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring\n\nepochs, 3C 454.3 transitions from its typical FSRQ\n\nstate to a more BL Lac-like state, where the syn-\n\nchrotron component emits much more strongly com-\n\npared to the *γ* -ray component than during its “low\n\nstate”. 3C 454.3, which is the highest submillime-\n\nter luminosity FSRQ in our sample, would then shift\n\ndown and to the right in Figure 5 when it enters a\n\nflaring period. For the first three months of the *Fermi*\n\nmission, 3C 454.3 was not flaring, which may explain\n\nits present location in Figure 5. The three objects for\n\nwhich there is a type discrepancy between CGRaBS\n\nand LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which sug-\n\ngest they may be undergoing the same changes as 3C\n\n454.3. A possible interpretation of the elevated lumi-\n\nnosity ratios observed in some BL Lacs objects is that\n\nthere has been a dramatic increase in *γ* -ray luminos-\n\nity due to ERC, which would not be reflected in the\n\nsynchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub-\n\nmillimeter is to study behavior close to the central\n\nengine, where the jet material is presumably still be-\n\ning accelerated. The separate emission processes that\n\ncontribute to overall SED may present differently in\n\nBL Lacs and FSRQs, allowing us to understand the\n\nsimilarities and differences between blazar types. We\n\nhave investigated these differences between objects in\n\nterms of submillimeter behavior and, in conclusion,\n\nfind that\n\n*-* The *SMA* blazars exhibit submillimeter energy spectral indexes that follow the spectral se-\n\nquence interpretation of blazars.\n\n**eConf C091122**",
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- "text": "## **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each\n\nyear during periods of astronomical darkness and par-\n\ntial moonlight, respectively. The moonlight observa-\n\ntions are almost exclusively used for a blazar discovery\n\nprogram, and a large fraction of the dark time is used\n\nfor the blazar KSP, which consists of:\n\n- A VHE blazar discovery program ( ∼ 200 h / yr):\n\nEach year ∼ 10 targets are selected to receive\n\n∼ 10 h of observations each during astronomi-\n\ncal darkness. These data are supplemented by\n\ndiscovery observations during periods of partial\n\nmoonlight.\n\n- A target-of-opportunity (ToO) observation pro-\n\ngram ( ∼ 50 h / yr): VERITAS blazar obser-\n\nvations can be triggered by either a VERI-\n\nTAS blazar discovery, a VHE flaring alert ( > 2\n\nCrab) from the blazar monitoring program of\n\nthe Whipple 10-m telescope or from another\n\nVHE instrument, or a lower-energy flaring alert\n\n(optical, X-ray or Fermi-LAT). Should the guar-\n\nanteed allocation be exhausted, further time can\n\nbe requested from a pool of director’s discre-\n\ntionary time.\n\n- Multi-wavelength (MWL) studies of VHE\n\nblazars ( ∼ 50 h / yr + ToO): Each year one\n\nblazar receives a deep exposure in a pre-planned\n\ncampaign of extensive, simultaneous MWL (X-\n\nray, optical, radio) measurements. ToO observa-\n\ntion proposals for MWL measurements are also\n\nsubmitted to lower-energy observatories (e.g.\n\nSwift) and are triggered by a VERITAS discov-\n\nery or flaring alert.\n\n- Distant VHE blazar studies to constrain the ex-\n\ntragalactic background light (EBL): Here dis-\n\ntant targets are given a higher priority in the\n\nblazar discovery program, as well as for the\n\nMWL observations of known VHE blazars, par-\n\nticularly those with hard VHE spectra.\n\n## **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are\n\nlargely high-frequency-peaked BL Lac objects. How-\n\never, the program also includes IBLs (intermediate-\n\npeaked) and LBLs (low-peaked), as well as flat spec-\n\ntrum radio quasars (FSRQs), in an attempt to in-\n\ncrease the types of blazars known to emit VHE γ -rays.\n\nThe observed targets are drawn from a target list con-\n\ntaining objects visible to the telescopes at reasonable\n\nzenith angles ( − 8 ◦ < δ < 72 ◦ ), without a previously\n\npublished VHE limit below 1.5% Crab, and with a\n\nmeasured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also\n\nincluded in the target list. The target list includes:\n\n- All nearby ( z < 0 . 3) HBL and IBL recom-\n\nmended as potential VHE emitters in [5, 6, 7].\n\n- The X-ray brightest HBL ( z < 0 . 3) in the recent\n\nSedentary [8] and ROXA [9] surveys.\n\n- Four distant ( z > 0 . 3) BL Lac objects recom-\n\nmended by [5, 10].\n\n- Several FSRQ recommended as potential VHE\n\nemitters in [6, 11].\n\n- All nearby ( z < 0 . 3) blazars detected by\n\nEGRET [12].\n\n- All nearby ( z < 0 . 3) blazars contained in the\n\nFermi-LAT Bright AGN Sample [13].\n\n- All sources ( | b | > 10 ◦ ) detected by Fermi-LAT\n\nwhere extrapolations of their MeV-GeV γ -ray\n\nspectrum (including EBL absorption; assuming\n\nz = 0.3 if the redshift is unknown) indicates a\n\npossible VERITAS detection in less than 20 h.\n\nThis criteria is the focus of the 2009-10 VERI-\n\nTAS blazar discovery program.\n\n## **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ -ray emission from\n\n16 AGN (15 blazars), including 8 VHE discoveries.\n\nThese AGN are shown in Table I, and each has been\n\ndetected by the Large Area Telescope (LAT) instru-\n\nment aboard the Fermi Gamma-ray Space Telescope.\n\nEvery blazar discovered by VERITAS was the sub-\n\nject of ToO MWL observations to enable modeling of\n\nits simultaneously-measured SED. The known VHE\n\nblazars detected by VERITAS were similarly the tar-\n\ngets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov-\n\nered VHE emission from 2 blazars. These included\n\nthe first VHE-detected IBL, W Comae [14, 15], and\n\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-\n\nered 6 VHE blazars since the launch of Fermi. Three\n\nof these were initially observed by VERITAS prior to\n\nthe release of Fermi-LAT results, due to the X-ray\n\nbrightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-\n\nITAS in September 2008 [17] during a flaring episode\n\nthat was also observed by the Fermi-LAT [18]. The\n\nobserved flux above 200 GeV was 6% of the Crab Neb-\n\nula flux and the measured VHE spectrum was very\n\nsoft (Γ VHE ∼ 4 . 1). RGB J0710+591 was detected\n\neConf C091122",
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- "text": "## **References**\n\n[1] M. Sikora and G. Madejski, in *American Insti-*\n\n*tute of Physics Conference Series* , edited by F. A.\n\nAharonian and H. J. V¨olk (2001), vol. 558 of\n\n*American Institute of Physics Conference Series* ,\n\npp. 275- 288.\n\n[2] M. Sikora, in *Blazar Demographics and Physics* ,\n\nedited by P. Padovani and C. M. Urry (2001), vol.\n\n227 of *Astronomical Society of the Pacific Con-*\n\n*ference Series* , pp. 95- 104.\n\n[3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H.\n\nHughes, W. K. Gear, H. Terasranta, E. Valtaoja,\n\nand M. Tornikoski, ApJ **437** , 91 (1994).\n\n[4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl\n\n**616** , L1 (2004).\n\n[5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R.\n\nDarrah, and C. A. Katz, in *From Z-Machines to*\n\n*ALMA: (Sub)Millimeter Spectroscopy of Galax-*\n\n*ies* , edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375\n\nof *Astronomical Society of the Pacific Conference*\n\n*Series* , p. 234.\n\n[6] S. E. Healey, R. W. Romani, G. Cotter, P. F.\n\nMichelson, E. F. Schlafly, A. C. S. Readhead,\n\nP. Giommi, S. Chaty, I. A. Grenier, and L. C.\n\nWeintraub, ApJS **175** , 97 (2008).\n\n[7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. At-\n\nwood, M. Axelsson, L. Baldini, J. Ballet, G. Bar-\n\nbiellini, D. Bastieri, B. M. Baughman, et al., ApJ\n\n**700** , 597 (2009).\n\n[8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Val-\n\ntaoja, M. F. Aller, and H. D. Aller, A&A **485** , 51\n\n(2008).\n\n[9] B. C. Kelly, J. Bechtold, and A. Siemiginowska,\n\nApJ **698** , 895 (2009).\n\n[10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ\n\n**675** , 71 (2008).\n\n**eConf C091122**",
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- "text": "NAVWEPS 00-8OT-RO AIRPLANE PERFORMANCE\n\nObviously, spark ignition timing is an impor- tant factor controlling the initial rise of pres- sure in the combustion chamber. The ignition of the fuel mixture must begin at the proper time to allow flame front propagation and the release of heat to build up peak pressure for the power stroke . The speed of flame front propagation is a major factor affecting the power output of the reciprocating engine since this factor controls the rate of heat release and rate of pressure rise in the combustion chamber. For this reason, dual ignition is necessary for powerplants of high specific power output. Obviously, nor- mal combustion can be accomplished more rapidly with the propagation of two flame fronts rather than one. The two sources of ignition are able to accomplish the combus- tion heat release and pressure rise in a shorter period of time. Fuel-air ratio is another factor affecting the flame propagation speed in the combustion chamber. The maximum flame propagation speed occurs near a fuel-air ratio of 0.08 and, thus, maximum power output for a given airflow will tend to occur at this value rather than the stoichiometric value. Two aberrations of the combustion process are preignition and detonation. Preignition is simply a premature ignition and flame f&t propagation due to hot spots in the combustion chamber. Various lead and carbon deposits and feathered edges on metal surfaces can sup- ply a glow ignition spot and begin a flame propagation prior to normal spark ignition. As shown on the graph of figure 2.16, pre- ignition causes a premature rise of pressure during the piston travel. As a result, preignition combustion pressures and tempera- tures will exceed normal combustion values and are very likely to cause engine damage. Be- cause of the premature rise of pressure toward the end of the compression stroke, the net work of the operating cycle is reduced. Preignition is evidenced by a rise in cylinder head tempera- ture and drop in BMEP or torque pressure.\n\nDenotation offers the possibility of immedi- ate destruction of the powerplant. The nor- mal combustion process is initiated by the spark and beginning of flame front propaga- tion As the flame front is propagated, the combustion chamber pressure and temperature begin to rise. Under certain conditions of high combustion pressure and temperature, the mixture ahead of the advancing flame front may suddenly explode with considerable vi- olence and send strong detonation waves through the combustion chamber. The result is depicted by the graph of figure 2.16, whete:a sharp, explosive increase in pressure takes place with a subsequent reduction of the mean pres; sure during the power stroke. Detonation produces sharp explosive pressure peaks many times greater than normal combustion1 Also, the exploding gases radiate considerable heat and cause excessive temperatures for many local parts of the engine. The effects of heavy detonation are so severe that structural damage is the immediate result. Rapid rise of cylinder head temperature, rapid drop in BMEP, and loud, expensive noises are evidence of detona- tion. Detonation is not necessarily confined to. a period after the beginning of normal flame front propagation. With extremely low grades of fuel, detonation can occur before normal igni- tion. In addition, the high temperatures and pressure caused by preignition will mean that detonation is usually a corollary of preigniticn. Detonation results from a sudden, unstable de- composition of fuel at some critical combina- tion of high temperature and pressure. Thus, detonation is most likely to occur at any op erating condition which produces high com- bustion pressures and temperatures. Gener- ally, high engine airflow and fuel-air ratios for maximum heat release will produce the critical conditions. High engine airflow is common to high MAP and RPM and the engine is most sensitive to CAT and fuel-air ratio in this region.\n\n140",
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- "text": "[arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010](http://arxiv.org/abs/1001.0770v1)\n\n## **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration *Harvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645,* *USA*\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is\n\nused to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is\n\ncurrently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration’s Key\n\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\n\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which\n\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\n\nexposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including\n\n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected\n\nresults are presented.\n\n## **1. Introduction**\n\nActive galactic nuclei are the most numerous class\n\nof identified VHE γ -ray sources. These objects emit\n\nnon-thermal radiation across ∼ 20 orders of magnitude\n\nin energy and rank among the most powerful particle\n\naccelerators in the universe. A small fraction of AGN\n\npossess strong collimated outflows (jets) powered by\n\naccretion onto a supermassive black hole (SMBH).\n\nVHE γ -ray emission can be generated in these jets,\n\nlikely in a compact region very near the SMBH event\n\nhorizon. Blazars, a class of AGN with jets pointed\n\nalong the line-of-sight to the observer, are of par-\n\nticular interest in the VHE regime. Approximately\n\n30 blazars, primarily high-frequency-peaked BL Lacs\n\n(HBL), are identified as sources of VHE γ -rays, and\n\nsome are spectacularly variable on time scales com-\n\nparable to the light crossing time of their SMBH ( ∼ 2\n\nmin; [1]). VHE blazar studies probe the environment\n\nvery near the central SMBH and address a wide range\n\nof physical phenomena, including the accretion and\n\njet-formation processes. These studies also have cos-\n\nmological implications, as VHE blazar data can be\n\nused to strongly constrain primordial radiation fields\n\n(see the extragalactic background light (EBL) con-\n\nstraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy\n\ndistributions (SEDs), with one peak at UV/X-ray en-\n\nergies and another at GeV/TeV energies. The ori-\n\ngin of the lower-energy peak is commonly explained\n\nas synchrotron emission from the relativistic electrons\n\nin the blazar jets. The origin of the higher-energy\n\npeak is controversial, but is widely believed to be the\n\nresult of inverse-Compton scattering of seed photons\n\noff the same relativistic electrons. The origin of the\n\nseed photons in these leptonic scenarios could be the\n\nsynchrotron photons themselves, or photons from an\n\nexternal source. Hadronic scenarios are also plausible\n\nexplanations for the VHE emission, but generally are\n\nnot favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks\n\nand are crucial for extracting information from the\n\nobservations of VHE blazars. They are used to con-\n\nstrain the size, magnetic field and Doppler factor of\n\nthe emission region, as well as to determine the origin\n\n(leptonic or hadronic) of the VHE γ -rays. In leptonic\n\nscenarios, such MWL observations are used to mea-\n\nsure the spectrum of high-energy electrons producing\n\nthe emission, as well as to elucidate the nature of the\n\nseed photons. Additionally, an accurate measure of\n\nthe cosmological EBL density requires accurate mod-\n\neling of the blazar’s intrinsic VHE emission that can\n\nonly be performed with contemporaneous MWL ob-\n\nservations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m\n\natmospheric-Cherenkov telescopes located in Arizona,\n\nis used to study VHE γ -rays from a variety of astro-\n\nphysical sources [4]. VERITAS began scientific obser-\n\nvations with a partial array in September 2006 and has\n\nroutinely observed with the full array since Septem-\n\nber 2007. The performance metrics of VERITAS in-\n\nclude an energy threshold of ∼ 100 GeV, an energy\n\nresolution of ∼ 15%, an angular resolution of ∼ 0.1 ◦ ,\n\nand a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an\n\nactive maintenance program (e.g. frequent mirror re-\n\ncoating and alignment) to ensure its continued high\n\nperformance over time, and an upgrade improving\n\nboth the camera (higher quantum-efficiency PMTs)\n\nand the trigger system has been proposed to the fund-\n\ning agencies.\n\n1 A VERITAS telescope was relocated during Summer 2009,\n\nincreasing the array’s sensitivity by a factor ∼ 1.3.\n\neConf C091122",
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- "query": "Where is the Submillimeter Array?",
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- "text": "**Submillimeter Variability and the Gamma-ray Connection in** * **Fermi** *\n\n**Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA*\n\nA. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the *Submillimeter Array* ( *SMA* ) for a sample of 171 bright blazars,\n\n43 of which were detected by *Fermi* during the first three months of observations. We explore the correlation\n\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\n\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\n\ntermined using a combination of *Fermi* designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\n\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\n\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\n\nduring the months August- October 2008. The submillimeter light curves are modeled as first-order continuous\n\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\n\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\n\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\n\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\n\nflaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring\n\nevents occur in blazars indicate that much of the en-\n\nergy is being produced deep within the jet on small,\n\nsub-parsec scales [1, 2]. Understanding if/how emis-\n\nsion differs between blazar subclasses (i.e., BL Lacs\n\nobjects and flat-spectrum radio quasars (FSRQs))\n\nmay offer important insight into the similarity be-\n\ntween blazars and, furthermore, can provide con-\n\nstraints on the formation and acceleration of the jets\n\nthemselves.\n\nFor the synchrotron component of blazar spectra,\n\nthe low-frequency spectral break due to synchrotron\n\nself-absorption moves to higher frequencies as one\n\nmeasures closer to the base of the jet [2]. This of-\n\nten places the peak of the spectrum in the millime-\n\nter and submillimeter bands, where the emission is\n\noptically-thin and originates on parsec and sub-parsec\n\nscales [3], allowing direct observation of the most com-\n\npact regions near the central engine. The high en-\n\nergy *γ* -ray emission originates as a Compton process,\n\ntypically a combination of synchrotron-self-Compton\n\n(SSC) and external-radiation-Compton (ERC). De-\n\npending on the source properties, the synchrotron\n\nphotons or external photons are upscattered by the\n\nsame population of electrons that emit the millimeter\n\nand submillimeter spectra. Therefore the submillime-\n\nter and *γ* -ray emission are closely linked and give the\n\nfull information about the source emission.\n\nA systematic study of the submillimeter properties\n\nof the entire sample of *Fermi* blazars has yet to be con-\n\nducted and is one of the primary goals of our work. We\n\npresent here preliminary analysis of the submillimeter\n\nproperties of *Fermi* blazars detected by the *Submil-*\n\n*limeter Array* 1 ( *SMA* ) at 1mm and 850 *µ* m, including\n\nan investigation of variable behavior and the deter-\n\nmination of submillimeter energy spectral indices. In\n\naddition, we consider the connection to the observed\n\n*γ* -ray indices and luminosities.\n\n## **2.** * **SMA** * **BLAZARS**\n\nThe *Submillimeter Array* [4] consists of eight 6 m\n\nantennas located near the summit of Mauna Kea. The\n\n*SMA* is used in a variety of baseline configurations\n\nand typically operates in the 1mm and 850 *µ* m win-\n\ndows, achieving spatial resolution as fine as 0.25” at\n\n850 *µ* m. The sources used as phase calibrators for the\n\narray are compiled in a database known as the *SMA* Calibrator List 2 [5]. Essentially a collection of bright\n\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\n\nat 345 GHz), these sources are monitored regularly,\n\nboth during science observations and dedicated ob-\n\nserving tracks.\n\nTo select our sample, we identified objects in the\n\ncalibrator list that were also classified as BL Lacs or\n\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\n\nvey [6, CGRaBS]. Of the 243 total objects in the\n\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\n\nhave positive blazar class identifications, although\n\nthere are three sources (J0238+166, J0428-379, and\n\n1 The Submillimeter Array is a joint project between the\n\nSmithsonian Astrophysical Observatory and the Academia\n\nSinica Institute of Astronomy and Astrophysics and is funded\n\nby the Smithsonian Institution and the Academia Sinica.\n\n2 http://sma1.sma.hawaii.edu/callist/callist.html\n\n**eConf C091122**\n\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010 Figure 1: The *SMA* light curves for 3C 454.3. The open",
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- "text": "Figure 4: The *γ* -ray index versus submillimeter index plane. The blazars fall more steeply in the *γ* -rays than in the\n\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full *SMA* sample,\n\nwhere the blazars are more distributed around *α* S *∼* 0.\n\nas the presence of SSC versus ERC. Here, we use sub-\n\nmillimeter luminosity as a proxy for jet power, which\n\nis correlated with the integrated luminosity of the syn-\n\nchrotron component. Elevated *γ* -ray luminosity with\n\nrespect to the synchrotron component (which is often\n\nseen in FSRQs) suggests the upscattering of external\n\nphotons off the synchrotron-emitting electrons. These\n\nobjects should occupy the upper right of the ratio/jet\n\npower plot, and BL Lacs, which generally exhibit com-\n\nponents with roughly comparable luminosities, should\n\noccupy the lower left. It is clear from the figure, how-\n\never, that many FSRQs exhibit ratios similar to those\n\nof the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring\n\nepochs, 3C 454.3 transitions from its typical FSRQ\n\nstate to a more BL Lac-like state, where the syn-\n\nchrotron component emits much more strongly com-\n\npared to the *γ* -ray component than during its “low\n\nstate”. 3C 454.3, which is the highest submillime-\n\nter luminosity FSRQ in our sample, would then shift\n\ndown and to the right in Figure 5 when it enters a\n\nflaring period. For the first three months of the *Fermi*\n\nmission, 3C 454.3 was not flaring, which may explain\n\nits present location in Figure 5. The three objects for\n\nwhich there is a type discrepancy between CGRaBS\n\nand LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which sug-\n\ngest they may be undergoing the same changes as 3C\n\n454.3. A possible interpretation of the elevated lumi-\n\nnosity ratios observed in some BL Lacs objects is that\n\nthere has been a dramatic increase in *γ* -ray luminos-\n\nity due to ERC, which would not be reflected in the\n\nsynchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub-\n\nmillimeter is to study behavior close to the central\n\nengine, where the jet material is presumably still be-\n\ning accelerated. The separate emission processes that\n\ncontribute to overall SED may present differently in\n\nBL Lacs and FSRQs, allowing us to understand the\n\nsimilarities and differences between blazar types. We\n\nhave investigated these differences between objects in\n\nterms of submillimeter behavior and, in conclusion,\n\nfind that\n\n*-* The *SMA* blazars exhibit submillimeter energy spectral indexes that follow the spectral se-\n\nquence interpretation of blazars.\n\n**eConf C091122**",
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- "text": "###### Board of Directors",
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- "text": "Figure 5: Ratio of *γ* -ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\n\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\n\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n*-* BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter vari-\n\nability or characteristic timescale, but our sam-\n\nple of BL Lacs may be dominated by high-\n\npeaked BL Lacs (HBLs), which exhibit obser-\n\nvational similarities with FSRQs.\n\n*-* Blazar submillimeter light curves are consistent with being produced by a single process that ac-\n\ncounts for both high and low states, with char-\n\nacteristic timescales 10 *< τ* rest *<* 500 days.\n\n*-* The blazars detected by *Fermi* have synchrotron peaks at higher frequencies, regardless of sub-\n\nmillimeter luminosity.\n\n*-* FSRQs exhibit higher ratios of *γ* -ray to sub- millimeter luminosity than BL Lacs (Figure 5),\n\nbut all objects inhabit a region of parameter\n\nspace suggesting transitions between states dur-\n\ning flaring epochs.\n\nAs *Fermi* continues to observe fainter sources, the\n\nsample of objects for which we can perform this type of\n\nanalysis will increase and provide better limits on our\n\nresults. To understand the physical relevance of these\n\nresults, however, it is important to be able to distin-\n\nguish between the difference in variability between BL\n\nLacs and FSRQs. One avenue for exploring this dif-\n\nference is to monitor changing submillimeter energy\n\nspectral index and the ratio of *γ* -ray to submillime-\n\nter luminosity as functions of time. The full mean-\n\ning of the results of our autoregressive method is not\n\nyet clear, and will require better-sampled blazar light\n\ncurves and the comparison between *τ* rest with physical\n\ntimescales such as the synchrotron cooling timescale.\n\nThese analyses would allow us to place constraints\n\non the processes occurring near the base of the jet in\n\nblazars and further understand the intimate connec-\n\ntion between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF\n\nREU and DoD ASSURE programs under Grant no.\n\n0754568 and by the Smithsonian Institution. Par-\n\ntial support was also provided by NASA contract\n\nNAS8-39073 and NASA grant NNX07AQ55G. We\n\nhave made use of the SIMBAD database, operated at\n\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\n\ntragalactic Database (NED) which is operated by the\n\nJPL, Caltech, under contract with NASA.\n\n**eConf C091122**",
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- "text": "circles represent the 850 *µ* m observations, and the open\n\ntriangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications be-\n\ntween *Fermi* and CGRaBS. Some blazars found in the\n\ncalibrator list have been studied extensively (e.g., 3C\n\n279 and 3C 454.3) but the *SMA* blazars have not been\n\nstudied collectively.\n\nForty-four of the objects in our total blazar sample\n\nwere detected by *Fermi* and can be found in the cata-\n\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\n\nal. [7]. J0050-094 has no redshift in either the LBAS\n\ncatalog or CGRaBS and is not included in our study.\n\nOf the 43 remaining sources, 14 are BL Lac objects\n\nand 29 are FSRQs, with 0 *.* 03 *≤* *z* *≤* 2 *.* 19. We examined submillimeter light curves for all of\n\nthe *SMA* blazars, with observations beginning in ap-\n\nproximately 2003 (see Figure 1). Typically, the 1mm\n\nband is much more well-sampled in comparison to the\n\n850m band, but visual inspection reveals that the reg-\n\nularity and quality of observations vary greatly from\n\nsource to source. Many of the objects exhibit non-\n\nperiodic variability, either in the form of persistent,\n\nlow-amplitude fluctuations or higher amplitude flar-\n\ning behavior.\n\n### **2.1. Submillimeter Properties**\n\n**Submillimeter Luminosities.** Since we are pri-\n\nmarily concerned with comparisons to *Fermi* observa-\n\ntions, we note that only 129 of the *SMA* blazars (23 BL\n\nLacs and 106 FSRQs) were observed by the *SMA* in\n\neither band during the three months August-October\n\n2008. For these objects, submillimeter luminosities\n\nare calculated in the standard way:\n\n*ν* *e* *L* *ν* *e* = 4 *πD* 2 L\n\n*ν* obs *F* obs\n\n1 + *z* *,* (1)\n\nwhere *D* L is the luminosity distance, *ν* obs is the fre-\n\nquency of the observed band, and *F* obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm,\n\nbottom: 850 *µ* m), with FSRQs as the hatched\n\ndistribution and BL Lacs as the solid distribution. There\n\nis no signicant difference in the class distributions in\n\neither band; the “tail” to the left is populated by objects\n\nwith errors larger than the intrinsic variability.\n\nflux (in erg cm *−* 2 s *−* 1 Hz *−* 1 ) over the three month pe-\n\nriod. We adopt a lambda cold dark matter cosmology\n\nwith values of *H* 0 = 71 km s *−* 1 Mpc *−* 1 , Ω M = 0 *.* 27,\n\nand Λ = 0 *.* 73.\n\n**Energy Spectral Indices.** We derive submillime-\n\nter spectral energy indices from observations quasi-\n\nsimultaneous with the *Fermi* observations. To be con-\n\nsistent with the use of *α* *γ* , we define spectral energy in-\n\ndex as *νF* *ν* = *ν* *−* *α* S and calculate *α* S from the average\n\nof the energy spectral indices over the corresponding\n\nthree months. We only calculate *α* S for the 16 objects\n\n(8 BL Lacs and 35 FSRQs) with observations at both\n\n1mm and 850 *µ* m during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n### **3.1. Variability Index**\n\nWe roughly characterize the level of variability of\n\neach source using the variability index from Hovatta\n\net al. [8]:\n\n*V* = ( *F* max *−* *σ* *F* max ) *−* ( *F* min + *σ* *F* min ) ( *F* max *−* *σ* *F* max ) + ( *F* min + *σ* *F* min ) (2)\n\nFigure 2 shows the distribution for the *SMA* blazars.\n\nObjects with *V* *≤* 0 are typically unsuitable for more\n\n**eConf C091122**",
- "page_start": 1,
- "page_end": 1,
- "source_file": "1001.0806.pdf"
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- {
- "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\n\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett. 44 ,\n\n912 (1980).\n\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett. 44 , 1316 (1980) [Erratum-ibid. 44 ,\n\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B 91 , 222 (1980).\n\n[3] S. Khalil, J. Phys. G 35 , 055001 (2008).\n\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B 676 , 81 (2009); Phys. Rev. D 80 , 115007\n\n(2009).\n\n[5] W. Emam and S. Khalil, Eur. Phys. J. C 522 , 625 (2007).\n\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101 , 181802 (2008).\n\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D 80 , 055030\n\n(2009).\n\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D 80 , 073015 (2009).\n\n[9] S. Khalil and O. Seto, JCAP 0810 , 024 (2008).\n\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D 70 , 093009 (2004).\n\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D 74 , 033011 (2006).\n\n[12] S. Dawson and W. Yan, Phys. Rev. D 79 , 095002 (2009).\n\n[[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].](http://arxiv.org/abs/1002.1939)\n\n[14] E. W. Kolb and M. S. Turner, The Early Universe , Addison-Wesley (1990).\n\n[15] D. N. Spergel et al. [WMAP Collaboration], Astrophys. J. Suppl. 170 , 377 (2007).\n\n[16] J. McDonald, Phys. Rev. D 50 , 3637 (1994).\n\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619 , 709 (2001).\n\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609 , 117 (2005).\n\n[19] T. Kikuchi and N. Okada, Phys. Lett. B 665 , 186 (2008).\n\n[20] C. E. Yaguna, JCAP 0903 , 003 (2009).\n\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D 67 , 085002 (2003).\n\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D 67 , 043516 (2003).\n\n[23] K. Cheung and O. Seto, Phys. Rev. D 69 , 113009 (2004).\n\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett. 100 021303 (2008).\n\n[25] Z. Ahmed et al. [ [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].](http://arxiv.org/abs/0912.3592)\n\n[[26] http://xenon.astro.columbia.edu/.](http://xenon.astro.columbia.edu/)\n\n13",
- "page_start": 12,
- "page_end": 12,
- "source_file": "1002.2525.pdf"
- },
- {
- "text": "## **References**\n\n[1] M. Sikora and G. Madejski, in *American Insti-*\n\n*tute of Physics Conference Series* , edited by F. A.\n\nAharonian and H. J. V¨olk (2001), vol. 558 of\n\n*American Institute of Physics Conference Series* ,\n\npp. 275- 288.\n\n[2] M. Sikora, in *Blazar Demographics and Physics* ,\n\nedited by P. Padovani and C. M. Urry (2001), vol.\n\n227 of *Astronomical Society of the Pacific Con-*\n\n*ference Series* , pp. 95- 104.\n\n[3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H.\n\nHughes, W. K. Gear, H. Terasranta, E. Valtaoja,\n\nand M. Tornikoski, ApJ **437** , 91 (1994).\n\n[4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl\n\n**616** , L1 (2004).\n\n[5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R.\n\nDarrah, and C. A. Katz, in *From Z-Machines to*\n\n*ALMA: (Sub)Millimeter Spectroscopy of Galax-*\n\n*ies* , edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375\n\nof *Astronomical Society of the Pacific Conference*\n\n*Series* , p. 234.\n\n[6] S. E. Healey, R. W. Romani, G. Cotter, P. F.\n\nMichelson, E. F. Schlafly, A. C. S. Readhead,\n\nP. Giommi, S. Chaty, I. A. Grenier, and L. C.\n\nWeintraub, ApJS **175** , 97 (2008).\n\n[7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. At-\n\nwood, M. Axelsson, L. Baldini, J. Ballet, G. Bar-\n\nbiellini, D. Bastieri, B. M. Baughman, et al., ApJ\n\n**700** , 597 (2009).\n\n[8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Val-\n\ntaoja, M. F. Aller, and H. D. Aller, A&A **485** , 51\n\n(2008).\n\n[9] B. C. Kelly, J. Bechtold, and A. Siemiginowska,\n\nApJ **698** , 895 (2009).\n\n[10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ\n\n**675** , 71 (2008).\n\n**eConf C091122**",
- "page_start": 5,
- "page_end": 5,
- "source_file": "1001.0806.pdf"
- },
- {
- "text": "### Figure 3.7 1. Schlieren Photographs of Supersonic Flight (sheet 2 of 2)",
- "page_start": 239,
- "page_end": 239,
- "source_file": "00-80T-80.pdf"
- },
- {
- "text": "MEDIA WIRELESS CABLE **ROGERS.COM**",
- "page_start": 131,
- "page_end": 131,
- "source_file": "NYSE_RCI_2013.pdf"
- },
- {
- "text": "SNOIlVlIWll HlOM3US ONllVU3dO 08-108-00 Sd3MAVN",
- "page_start": 346,
- "page_end": 346,
- "source_file": "00-80T-80.pdf"
- }
- ]
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- "references": {
- "source_file": "1001.0806.pdf",
- "query": "How many blazars were observed by the SMA in either band during the three months August-October 2008?",
- "target_page": 2,
- "target_passage": "only 129 of the SMA blazars",
- "chunk_present": {
- "presence": true,
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- "text": "circles represent the 850 *µ* m observations, and the open\n\ntriangles represent the 1mm observations.\n\nJ1751+096) which have conflicting classifications be-\n\ntween *Fermi* and CGRaBS. Some blazars found in the\n\ncalibrator list have been studied extensively (e.g., 3C\n\n279 and 3C 454.3) but the *SMA* blazars have not been\n\nstudied collectively.\n\nForty-four of the objects in our total blazar sample\n\nwere detected by *Fermi* and can be found in the cata-\n\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\n\nal. [7]. J0050-094 has no redshift in either the LBAS\n\ncatalog or CGRaBS and is not included in our study.\n\nOf the 43 remaining sources, 14 are BL Lac objects\n\nand 29 are FSRQs, with 0 *.* 03 *≤* *z* *≤* 2 *.* 19. We examined submillimeter light curves for all of\n\nthe *SMA* blazars, with observations beginning in ap-\n\nproximately 2003 (see Figure 1). Typically, the 1mm\n\nband is much more well-sampled in comparison to the\n\n850m band, but visual inspection reveals that the reg-\n\nularity and quality of observations vary greatly from\n\nsource to source. Many of the objects exhibit non-\n\nperiodic variability, either in the form of persistent,\n\nlow-amplitude fluctuations or higher amplitude flar-\n\ning behavior.\n\n### **2.1. Submillimeter Properties**\n\n**Submillimeter Luminosities.** Since we are pri-\n\nmarily concerned with comparisons to *Fermi* observa-\n\ntions, we note that only 129 of the *SMA* blazars (23 BL\n\nLacs and 106 FSRQs) were observed by the *SMA* in\n\neither band during the three months August-October\n\n2008. For these objects, submillimeter luminosities\n\nare calculated in the standard way:\n\n*ν* *e* *L* *ν* *e* = 4 *πD* 2 L\n\n*ν* obs *F* obs\n\n1 + *z* *,* (1)\n\nwhere *D* L is the luminosity distance, *ν* obs is the fre-\n\nquency of the observed band, and *F* obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm,\n\nbottom: 850 *µ* m), with FSRQs as the hatched\n\ndistribution and BL Lacs as the solid distribution. There\n\nis no signicant difference in the class distributions in\n\neither band; the “tail” to the left is populated by objects\n\nwith errors larger than the intrinsic variability.\n\nflux (in erg cm *−* 2 s *−* 1 Hz *−* 1 ) over the three month pe-\n\nriod. We adopt a lambda cold dark matter cosmology\n\nwith values of *H* 0 = 71 km s *−* 1 Mpc *−* 1 , Ω M = 0 *.* 27,\n\nand Λ = 0 *.* 73.\n\n**Energy Spectral Indices.** We derive submillime-\n\nter spectral energy indices from observations quasi-\n\nsimultaneous with the *Fermi* observations. To be con-\n\nsistent with the use of *α* *γ* , we define spectral energy in-\n\ndex as *νF* *ν* = *ν* *−* *α* S and calculate *α* S from the average\n\nof the energy spectral indices over the corresponding\n\nthree months. We only calculate *α* S for the 16 objects\n\n(8 BL Lacs and 35 FSRQs) with observations at both\n\n1mm and 850 *µ* m during this time frame.\n\n## **3. VARIABILITY ANALYSIS**\n\n### **3.1. Variability Index**\n\nWe roughly characterize the level of variability of\n\neach source using the variability index from Hovatta\n\net al. [8]:\n\n*V* = ( *F* max *−* *σ* *F* max ) *−* ( *F* min + *σ* *F* min ) ( *F* max *−* *σ* *F* max ) + ( *F* min + *σ* *F* min ) (2)\n\nFigure 2 shows the distribution for the *SMA* blazars.\n\nObjects with *V* *≤* 0 are typically unsuitable for more\n\n**eConf C091122**",
- "page_start": 1,
- "page_end": 1,
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- "text": "**Submillimeter Variability and the Gamma-ray Connection in** * **Fermi** *\n\n**Blazars**\n\nA. Strom *Univ. of Arizona, AZ 85721, USA*\n\nA. Siemiginowska, M. Gurwell, B. Kelly *CfA, MA 02138, USA*\n\nWe present multi-epoch observations from the *Submillimeter Array* ( *SMA* ) for a sample of 171 bright blazars,\n\n43 of which were detected by *Fermi* during the first three months of observations. We explore the correlation\n\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\n\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\n\ntermined using a combination of *Fermi* designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\n\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\n\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\n\nduring the months August- October 2008. The submillimeter light curves are modeled as first-order continuous\n\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\n\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\n\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\n\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\n\nflaring epochs.\n\n## **1. INTRODUCTION**\n\nThe timescales on which high-amplitude flaring\n\nevents occur in blazars indicate that much of the en-\n\nergy is being produced deep within the jet on small,\n\nsub-parsec scales [1, 2]. Understanding if/how emis-\n\nsion differs between blazar subclasses (i.e., BL Lacs\n\nobjects and flat-spectrum radio quasars (FSRQs))\n\nmay offer important insight into the similarity be-\n\ntween blazars and, furthermore, can provide con-\n\nstraints on the formation and acceleration of the jets\n\nthemselves.\n\nFor the synchrotron component of blazar spectra,\n\nthe low-frequency spectral break due to synchrotron\n\nself-absorption moves to higher frequencies as one\n\nmeasures closer to the base of the jet [2]. This of-\n\nten places the peak of the spectrum in the millime-\n\nter and submillimeter bands, where the emission is\n\noptically-thin and originates on parsec and sub-parsec\n\nscales [3], allowing direct observation of the most com-\n\npact regions near the central engine. The high en-\n\nergy *γ* -ray emission originates as a Compton process,\n\ntypically a combination of synchrotron-self-Compton\n\n(SSC) and external-radiation-Compton (ERC). De-\n\npending on the source properties, the synchrotron\n\nphotons or external photons are upscattered by the\n\nsame population of electrons that emit the millimeter\n\nand submillimeter spectra. Therefore the submillime-\n\nter and *γ* -ray emission are closely linked and give the\n\nfull information about the source emission.\n\nA systematic study of the submillimeter properties\n\nof the entire sample of *Fermi* blazars has yet to be con-\n\nducted and is one of the primary goals of our work. We\n\npresent here preliminary analysis of the submillimeter\n\nproperties of *Fermi* blazars detected by the *Submil-*\n\n*limeter Array* 1 ( *SMA* ) at 1mm and 850 *µ* m, including\n\nan investigation of variable behavior and the deter-\n\nmination of submillimeter energy spectral indices. In\n\naddition, we consider the connection to the observed\n\n*γ* -ray indices and luminosities.\n\n## **2.** * **SMA** * **BLAZARS**\n\nThe *Submillimeter Array* [4] consists of eight 6 m\n\nantennas located near the summit of Mauna Kea. The\n\n*SMA* is used in a variety of baseline configurations\n\nand typically operates in the 1mm and 850 *µ* m win-\n\ndows, achieving spatial resolution as fine as 0.25” at\n\n850 *µ* m. The sources used as phase calibrators for the\n\narray are compiled in a database known as the *SMA* Calibrator List 2 [5]. Essentially a collection of bright\n\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\n\nat 345 GHz), these sources are monitored regularly,\n\nboth during science observations and dedicated ob-\n\nserving tracks.\n\nTo select our sample, we identified objects in the\n\ncalibrator list that were also classified as BL Lacs or\n\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\n\nvey [6, CGRaBS]. Of the 243 total objects in the\n\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\n\nhave positive blazar class identifications, although\n\nthere are three sources (J0238+166, J0428-379, and\n\n1 The Submillimeter Array is a joint project between the\n\nSmithsonian Astrophysical Observatory and the Academia\n\nSinica Institute of Astronomy and Astrophysics and is funded\n\nby the Smithsonian Institution and the Academia Sinica.\n\n2 http://sma1.sma.hawaii.edu/callist/callist.html\n\n**eConf C091122**\n\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010 Figure 1: The *SMA* light curves for 3C 454.3. The open",
- "page_start": 0,
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- },
- {
- "text": "Figure 4: The *γ* -ray index versus submillimeter index plane. The blazars fall more steeply in the *γ* -rays than in the\n\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full *SMA* sample,\n\nwhere the blazars are more distributed around *α* S *∼* 0.\n\nas the presence of SSC versus ERC. Here, we use sub-\n\nmillimeter luminosity as a proxy for jet power, which\n\nis correlated with the integrated luminosity of the syn-\n\nchrotron component. Elevated *γ* -ray luminosity with\n\nrespect to the synchrotron component (which is often\n\nseen in FSRQs) suggests the upscattering of external\n\nphotons off the synchrotron-emitting electrons. These\n\nobjects should occupy the upper right of the ratio/jet\n\npower plot, and BL Lacs, which generally exhibit com-\n\nponents with roughly comparable luminosities, should\n\noccupy the lower left. It is clear from the figure, how-\n\never, that many FSRQs exhibit ratios similar to those\n\nof the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring\n\nepochs, 3C 454.3 transitions from its typical FSRQ\n\nstate to a more BL Lac-like state, where the syn-\n\nchrotron component emits much more strongly com-\n\npared to the *γ* -ray component than during its “low\n\nstate”. 3C 454.3, which is the highest submillime-\n\nter luminosity FSRQ in our sample, would then shift\n\ndown and to the right in Figure 5 when it enters a\n\nflaring period. For the first three months of the *Fermi*\n\nmission, 3C 454.3 was not flaring, which may explain\n\nits present location in Figure 5. The three objects for\n\nwhich there is a type discrepancy between CGRaBS\n\nand LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which sug-\n\ngest they may be undergoing the same changes as 3C\n\n454.3. A possible interpretation of the elevated lumi-\n\nnosity ratios observed in some BL Lacs objects is that\n\nthere has been a dramatic increase in *γ* -ray luminos-\n\nity due to ERC, which would not be reflected in the\n\nsynchrotron component.\n\n## **5. CONCLUSIONS**\n\nThe motivation for observing blazars in the sub-\n\nmillimeter is to study behavior close to the central\n\nengine, where the jet material is presumably still be-\n\ning accelerated. The separate emission processes that\n\ncontribute to overall SED may present differently in\n\nBL Lacs and FSRQs, allowing us to understand the\n\nsimilarities and differences between blazar types. We\n\nhave investigated these differences between objects in\n\nterms of submillimeter behavior and, in conclusion,\n\nfind that\n\n*-* The *SMA* blazars exhibit submillimeter energy spectral indexes that follow the spectral se-\n\nquence interpretation of blazars.\n\n**eConf C091122**",
- "page_start": 3,
- "page_end": 3,
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- },
- {
- "text": "tion of correlated VHE and X-ray flux variability, as\n\nwell as correlated spectral hardening in both the VHE\n\nand X-ray bands. The VHE MWL observations were\n\nperformed in both ”quiescent” and flaring states for\n\nsome of the observed blazars. For the observed HBL\n\nobjects, the SEDs can be well described by a simple\n\nSSC model in both high and low states. However, an\n\nadditional external Compton component is necessary\n\nto adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant im-\n\npact on the blazar KSP. In future seasons, the VER-\n\nITAS blazar discovery program will focus its dis-\n\ncovery program on hard-spectrum blazars detected\n\nby Fermi-LAT, and will likely have a greater focus\n\non high-risk/high-reward objects at larger redshifts\n\n(0 . 3 < z < 0 . 7). In addition, the number of VHE\n\nblazars studied in pre-planned MWL campaigns will\n\nincrease as data from the Fermi-LAT will be publicly\n\navailable. In particular, the extensive pre-planned\n\nMWL campaigns will focus on objects that are note-\n\nworthy for the impact their data may have on under-\n\nstanding the EBL. The simultaneous observations of\n\nblazars by VERITAS and Fermi-LAT will completely\n\nresolve the higher-energy SED peak, often for the first\n\ntime, enabling unprecedented constraints on the un-\n\nderlying blazar phenomena to be derived.\n\n### **Acknowledgments**\n\nThis research is supported by grants from the US\n\nDepartment of Energy, the US National Science Foun-\n\ndation, and the Smithsonian Institution, by NSERC in\n\nCanada, by Science Foundation Ireland, and by STFC\n\nin the UK. We acknowledge the excellent work of the\n\ntechnical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation\n\nof the instrument.\n\n### **References**\n\n[1] F. Aharonian et al. 2007, ApJ , 664 , L71\n\n[2] F. Aharonian et al. 2006, Nature , 440 , 1018\n\n[3] F. Aharonian et al. 2007, A&A , 475 , L9\n\n[4] J. Holder, et al. 2008, AIPC , 1085 , 657\n\n[5] L. Costamante & G. Ghisellini 2002, A&A , 384 ,\n\n56\n\n[6] E.S. Perlman 2000, AIPC , 515 , 53\n\n[7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n\n[8] P. Giommi et al. 2005, A&A , 434 , 385\n\n[9] S. Turriziani et al. 2007, A&A , 472 , 699\n\n[10] L. Costamante 2006, arXiv:0612709\n\n[11] P. Padovani et al. 2002, ApJ , 581 , 895\n\n[12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n\n[13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n\n[14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n\n[15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n\n[16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n\n[17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n\n[[18] L.C. Reyes 2009, arXiv:0907.5175](http://arxiv.org/abs/0907.5175)\n\n[19] R.A. Ong 2009, ATel , 1941\n\n[20] R.A. Ong et al. 2009, ATel , 2272\n\n[21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n\n[22] R.A. Ong et al. 2009, ATel , 2301\n\n[23] R.A. Ong et al. 2009, ATel , 2260\n\n[24] R.A. Ong et al. 2009, ATel , 2309\n\n[[25] W. Benbow 2009, arXiv:0908.1412](http://arxiv.org/abs/0908.1412)\n\n[26] V.A. Acciari et al. 2009, ApJ , submitted\n\n[27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n\n[28] V.A. Acciari et al. 2009, ApJ , in press\n\n[[29] J. Grube 2009, arXiv:0907.4862](http://arxiv.org/abs/0907.4862)\n\neConf C091122",
- "page_start": 4,
- "page_end": 4,
- "source_file": "1001.0770.pdf"
- },
- {
- "text": "Figure 5: Ratio of *γ* -ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\n\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\n\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n*-* BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter vari-\n\nability or characteristic timescale, but our sam-\n\nple of BL Lacs may be dominated by high-\n\npeaked BL Lacs (HBLs), which exhibit obser-\n\nvational similarities with FSRQs.\n\n*-* Blazar submillimeter light curves are consistent with being produced by a single process that ac-\n\ncounts for both high and low states, with char-\n\nacteristic timescales 10 *< τ* rest *<* 500 days.\n\n*-* The blazars detected by *Fermi* have synchrotron peaks at higher frequencies, regardless of sub-\n\nmillimeter luminosity.\n\n*-* FSRQs exhibit higher ratios of *γ* -ray to sub- millimeter luminosity than BL Lacs (Figure 5),\n\nbut all objects inhabit a region of parameter\n\nspace suggesting transitions between states dur-\n\ning flaring epochs.\n\nAs *Fermi* continues to observe fainter sources, the\n\nsample of objects for which we can perform this type of\n\nanalysis will increase and provide better limits on our\n\nresults. To understand the physical relevance of these\n\nresults, however, it is important to be able to distin-\n\nguish between the difference in variability between BL\n\nLacs and FSRQs. One avenue for exploring this dif-\n\nference is to monitor changing submillimeter energy\n\nspectral index and the ratio of *γ* -ray to submillime-\n\nter luminosity as functions of time. The full mean-\n\ning of the results of our autoregressive method is not\n\nyet clear, and will require better-sampled blazar light\n\ncurves and the comparison between *τ* rest with physical\n\ntimescales such as the synchrotron cooling timescale.\n\nThese analyses would allow us to place constraints\n\non the processes occurring near the base of the jet in\n\nblazars and further understand the intimate connec-\n\ntion between them.\n\n## **Acknowledgments**\n\nThis work was supported in part by the NSF\n\nREU and DoD ASSURE programs under Grant no.\n\n0754568 and by the Smithsonian Institution. Par-\n\ntial support was also provided by NASA contract\n\nNAS8-39073 and NASA grant NNX07AQ55G. We\n\nhave made use of the SIMBAD database, operated at\n\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\n\ntragalactic Database (NED) which is operated by the\n\nJPL, Caltech, under contract with NASA.\n\n**eConf C091122**",
- "page_start": 4,
- "page_end": 4,
- "source_file": "1001.0806.pdf"
- },
- {
- "text": "## **References**\n\n[1] M. Sikora and G. Madejski, in *American Insti-*\n\n*tute of Physics Conference Series* , edited by F. A.\n\nAharonian and H. J. V¨olk (2001), vol. 558 of\n\n*American Institute of Physics Conference Series* ,\n\npp. 275- 288.\n\n[2] M. Sikora, in *Blazar Demographics and Physics* ,\n\nedited by P. Padovani and C. M. Urry (2001), vol.\n\n227 of *Astronomical Society of the Pacific Con-*\n\n*ference Series* , pp. 95- 104.\n\n[3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H.\n\nHughes, W. K. Gear, H. Terasranta, E. Valtaoja,\n\nand M. Tornikoski, ApJ **437** , 91 (1994).\n\n[4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl\n\n**616** , L1 (2004).\n\n[5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R.\n\nDarrah, and C. A. Katz, in *From Z-Machines to*\n\n*ALMA: (Sub)Millimeter Spectroscopy of Galax-*\n\n*ies* , edited by A. J. Baker, J. Glenn, A. I. Harris,\n\nJ. G. Mangum, and M. S. Yun (2007), vol. 375\n\nof *Astronomical Society of the Pacific Conference*\n\n*Series* , p. 234.\n\n[6] S. E. Healey, R. W. Romani, G. Cotter, P. F.\n\nMichelson, E. F. Schlafly, A. C. S. Readhead,\n\nP. Giommi, S. Chaty, I. A. Grenier, and L. C.\n\nWeintraub, ApJS **175** , 97 (2008).\n\n[7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. At-\n\nwood, M. Axelsson, L. Baldini, J. Ballet, G. Bar-\n\nbiellini, D. Bastieri, B. M. Baughman, et al., ApJ\n\n**700** , 597 (2009).\n\n[8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Val-\n\ntaoja, M. F. Aller, and H. D. Aller, A&A **485** , 51\n\n(2008).\n\n[9] B. C. Kelly, J. Bechtold, and A. Siemiginowska,\n\nApJ **698** , 895 (2009).\n\n[10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ\n\n**675** , 71 (2008).\n\n**eConf C091122**",
- "page_start": 5,
- "page_end": 5,
- "source_file": "1001.0806.pdf"
- },
- {
- "text": "Table I VERITAS AGN Detections. The only non-blazar\n\nobject is the radio galaxy M 87. The blazars discovered\n\nat VHE by VERITAS are marked with a dagger.\n\nObject Class Redshift\n\nM 87 FR I 0.004\n\nMkn 421 HBL 0.030\n\nMkn 501 HBL 0.034\n\n1ES 2344+514 HBL 0.044\n\n1ES 1959+650 HBL 0.047\n\nW Comae † IBL 0.102\n\nRGB J0710+591 † HBL 0.125\n\nH 1426+428 HBL 0.129\n\n1ES 0806+524 † HBL 0.138\n\n1ES 0229+200 HBL 0.139\n\n1ES 1218+304 HBL 0.182\n\nRBS 0413 † HBL 0.190\n\n1ES 0502+675 † HBL 0.341\n\n3C 66A † IBL 0.444?\n\nPKS 1424+240 † IBL ?\n\nVER J0521+211 † ? ?\n\n( ∼ 5.5 σ ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2 . 7)\n\nduring VERITAS observations from December 2008\n\nto March 2009. The initial announcement of the VHE\n\ndiscovery [19] led to its discovery above 1 GeV in the\n\nFermi-LAT data using a special analysis. RBS 0413,\n\na relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-09 2 . These data\n\nresulted in the discovery of VHE gamma-rays ( > 270 γ ,\n\n∼ 6 σ ) at a flux ( > 200 GeV) of ∼ 2% of the Crab Neb-\n\nula flux. The discovery [20] was announced simultane-\n\nously with the LAT MeV-GeV detection. The VHE\n\nand other MWL observations, including Fermi-LAT\n\ndata, for each of these three sources will be the sub-\n\nject of a joint publication involving both the VERI-\n\nTAS and LAT collaborations.\n\n### **5.2. Discoveries Motivated by Fermi-LAT**\n\nThe successful VHE discovery observations by\n\nVERITAS of three blazars was motivated primarily\n\nby results from the first year of LAT data taking. In\n\nparticular, the VHE detections of PKS 1424+240 [21]\n\nand 1ES 0502+675 [22] were the result of VERITAS\n\nobservations triggered by the inclusion of these objects\n\nin the Fermi-LAT Bright AGN List [13]. The former\n\nis only the third IBL known to emit VHE gamma-\n\nrays, and the latter is the most distant BL Lac object\n\n2 RBS 0413 was observed further by VERITAS in Fall 2009.\n\n( z = 0 . 341) detected in the VHE band. In addition,\n\nVER J0521+211, likely associated with the radio-loud\n\nAGN RGB J0521.8+2112, was detected by VERTAS\n\nin ∼ 4 h of observations in October 2009 [23]. These\n\nobservations were motivated by its identification as a\n\n> 30 GeV γ -ray source in the public Fermi-LAT data.\n\nIts VHE flux is 5% of the Crab Nebula flux, placing it\n\namong the brightest VHE blazars detected in recent\n\nyears. VERITAS later observed even brighter VHE\n\nflaring from VER J0521+211 in November 2009 [24],\n\nleading to deeper VHE observations.\n\n## **6. Blazars Upper Limits**\n\nMore than 50 VHE blazar candidates were observed\n\nby VERITAS between September 2007 and June 2009.\n\nThe total exposure on the 49 non-detected candi-\n\ndates is ∼ 305 h live time (average of 6.2 h per can-\n\ndidate). Approximately 55% of the total exposure is\n\nsplit amongst the 27 observed HBL. The remainder is\n\ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9\n\nFSRQ (13%). There are no clear indications of signifi-\n\ncant VHE γ -ray emission from any of these 49 blazars\n\n[25]. However, the observed significance distribution is\n\nclearly skewed towards positive values (see Figure 1).\n\nA stacking analysis performed on the entire data sam-\n\nple shows an overall excess of 430 γ -rays, correspond-\n\ning to a statistical significance of 4.8 σ , observed from\n\nthe directions of the candidate blazars. The IBL and\n\nHBL targets make up 96% of the observed excess. Ob-\n\nservations of these objects also comprise ∼ 80% of the\n\ntotal exposure. An identical stacked analysis of all\n\nthe extragalactic non-blazar targets observed, but not\n\nclearly detected ( > 5 σ ), by VERITAS does not show\n\na significant excess ( ∼ 120 h exposure). The stacked\n\nexcess persists using alternate methods for estimating\n\nthe background at each blazar location, and with dif-\n\nferent event selection criteria (e.g. soft cuts optimized\n\nfor sources with Γ VHE > 4). The distribution of VHE\n\nflux upper limits is shown in Figure 1. These 49 VHE\n\nflux upper limits are generally the most-constraining\n\never reported for these objects.\n\n## **7. Multi-wavelength Studies of VHE Blazars**\n\nDuring the first three seasons of VERITAS obser-\n\nvations, pre-planned extensive MWL campaigns were\n\norganized for three blazars 1ES 2344+514 (2007-08),\n\n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009-\n\n10 - ongoing). In addition, numerous ToO MWL-\n\nobservation campaigns were performed. These include\n\ncampaigns for every blazar/AGN discovered by VER-\n\nITAS, and all include Swift (XRT and UVOT) data.\n\nAll MWL campaigns on the VHE blazars discovered\n\neConf C091122",
- "page_start": 2,
- "page_end": 2,
- "source_file": "1001.0770.pdf"
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- "text": "## **3. VERITAS Blazar KSP**\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each\n\nyear during periods of astronomical darkness and par-\n\ntial moonlight, respectively. The moonlight observa-\n\ntions are almost exclusively used for a blazar discovery\n\nprogram, and a large fraction of the dark time is used\n\nfor the blazar KSP, which consists of:\n\n- A VHE blazar discovery program ( ∼ 200 h / yr):\n\nEach year ∼ 10 targets are selected to receive\n\n∼ 10 h of observations each during astronomi-\n\ncal darkness. These data are supplemented by\n\ndiscovery observations during periods of partial\n\nmoonlight.\n\n- A target-of-opportunity (ToO) observation pro-\n\ngram ( ∼ 50 h / yr): VERITAS blazar obser-\n\nvations can be triggered by either a VERI-\n\nTAS blazar discovery, a VHE flaring alert ( > 2\n\nCrab) from the blazar monitoring program of\n\nthe Whipple 10-m telescope or from another\n\nVHE instrument, or a lower-energy flaring alert\n\n(optical, X-ray or Fermi-LAT). Should the guar-\n\nanteed allocation be exhausted, further time can\n\nbe requested from a pool of director’s discre-\n\ntionary time.\n\n- Multi-wavelength (MWL) studies of VHE\n\nblazars ( ∼ 50 h / yr + ToO): Each year one\n\nblazar receives a deep exposure in a pre-planned\n\ncampaign of extensive, simultaneous MWL (X-\n\nray, optical, radio) measurements. ToO observa-\n\ntion proposals for MWL measurements are also\n\nsubmitted to lower-energy observatories (e.g.\n\nSwift) and are triggered by a VERITAS discov-\n\nery or flaring alert.\n\n- Distant VHE blazar studies to constrain the ex-\n\ntragalactic background light (EBL): Here dis-\n\ntant targets are given a higher priority in the\n\nblazar discovery program, as well as for the\n\nMWL observations of known VHE blazars, par-\n\nticularly those with hard VHE spectra.\n\n## **4. Blazar Discovery Program**\n\nThe blazars observed in the discovery program are\n\nlargely high-frequency-peaked BL Lac objects. How-\n\never, the program also includes IBLs (intermediate-\n\npeaked) and LBLs (low-peaked), as well as flat spec-\n\ntrum radio quasars (FSRQs), in an attempt to in-\n\ncrease the types of blazars known to emit VHE γ -rays.\n\nThe observed targets are drawn from a target list con-\n\ntaining objects visible to the telescopes at reasonable\n\nzenith angles ( − 8 ◦ < δ < 72 ◦ ), without a previously\n\npublished VHE limit below 1.5% Crab, and with a\n\nmeasured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also\n\nincluded in the target list. The target list includes:\n\n- All nearby ( z < 0 . 3) HBL and IBL recom-\n\nmended as potential VHE emitters in [5, 6, 7].\n\n- The X-ray brightest HBL ( z < 0 . 3) in the recent\n\nSedentary [8] and ROXA [9] surveys.\n\n- Four distant ( z > 0 . 3) BL Lac objects recom-\n\nmended by [5, 10].\n\n- Several FSRQ recommended as potential VHE\n\nemitters in [6, 11].\n\n- All nearby ( z < 0 . 3) blazars detected by\n\nEGRET [12].\n\n- All nearby ( z < 0 . 3) blazars contained in the\n\nFermi-LAT Bright AGN Sample [13].\n\n- All sources ( | b | > 10 ◦ ) detected by Fermi-LAT\n\nwhere extrapolations of their MeV-GeV γ -ray\n\nspectrum (including EBL absorption; assuming\n\nz = 0.3 if the redshift is unknown) indicates a\n\npossible VERITAS detection in less than 20 h.\n\nThis criteria is the focus of the 2009-10 VERI-\n\nTAS blazar discovery program.\n\n## **5. VERITAS AGN Detections**\n\nVERITAS has detected VHE γ -ray emission from\n\n16 AGN (15 blazars), including 8 VHE discoveries.\n\nThese AGN are shown in Table I, and each has been\n\ndetected by the Large Area Telescope (LAT) instru-\n\nment aboard the Fermi Gamma-ray Space Telescope.\n\nEvery blazar discovered by VERITAS was the sub-\n\nject of ToO MWL observations to enable modeling of\n\nits simultaneously-measured SED. The known VHE\n\nblazars detected by VERITAS were similarly the tar-\n\ngets of MWL observations.\n\n### **5.1. Recent VERITAS Blazar Discoveries**\n\nPrior to the launch of Fermi VERITAS had discov-\n\nered VHE emission from 2 blazars. These included\n\nthe first VHE-detected IBL, W Comae [14, 15], and\n\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-\n\nered 6 VHE blazars since the launch of Fermi. Three\n\nof these were initially observed by VERITAS prior to\n\nthe release of Fermi-LAT results, due to the X-ray\n\nbrightness of the synchrotron peaks of their SEDs.\n\nVHE emission from 3C 66A was discovered by VER-\n\nITAS in September 2008 [17] during a flaring episode\n\nthat was also observed by the Fermi-LAT [18]. The\n\nobserved flux above 200 GeV was 6% of the Crab Neb-\n\nula flux and the measured VHE spectrum was very\n\nsoft (Γ VHE ∼ 4 . 1). RGB J0710+591 was detected\n\neConf C091122",
- "page_start": 1,
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- "text": "[arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010](http://arxiv.org/abs/1001.0770v1)\n\n## **VERITAS Observations of Blazars**\n\nW. Benbow for the VERITAS Collaboration *Harvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645,* *USA*\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is\n\nused to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is\n\ncurrently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration’s Key\n\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\n\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which\n\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\n\nexposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including\n\n8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected\n\nresults are presented.\n\n## **1. Introduction**\n\nActive galactic nuclei are the most numerous class\n\nof identified VHE γ -ray sources. These objects emit\n\nnon-thermal radiation across ∼ 20 orders of magnitude\n\nin energy and rank among the most powerful particle\n\naccelerators in the universe. A small fraction of AGN\n\npossess strong collimated outflows (jets) powered by\n\naccretion onto a supermassive black hole (SMBH).\n\nVHE γ -ray emission can be generated in these jets,\n\nlikely in a compact region very near the SMBH event\n\nhorizon. Blazars, a class of AGN with jets pointed\n\nalong the line-of-sight to the observer, are of par-\n\nticular interest in the VHE regime. Approximately\n\n30 blazars, primarily high-frequency-peaked BL Lacs\n\n(HBL), are identified as sources of VHE γ -rays, and\n\nsome are spectacularly variable on time scales com-\n\nparable to the light crossing time of their SMBH ( ∼ 2\n\nmin; [1]). VHE blazar studies probe the environment\n\nvery near the central SMBH and address a wide range\n\nof physical phenomena, including the accretion and\n\njet-formation processes. These studies also have cos-\n\nmological implications, as VHE blazar data can be\n\nused to strongly constrain primordial radiation fields\n\n(see the extragalactic background light (EBL) con-\n\nstraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy\n\ndistributions (SEDs), with one peak at UV/X-ray en-\n\nergies and another at GeV/TeV energies. The ori-\n\ngin of the lower-energy peak is commonly explained\n\nas synchrotron emission from the relativistic electrons\n\nin the blazar jets. The origin of the higher-energy\n\npeak is controversial, but is widely believed to be the\n\nresult of inverse-Compton scattering of seed photons\n\noff the same relativistic electrons. The origin of the\n\nseed photons in these leptonic scenarios could be the\n\nsynchrotron photons themselves, or photons from an\n\nexternal source. Hadronic scenarios are also plausible\n\nexplanations for the VHE emission, but generally are\n\nnot favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks\n\nand are crucial for extracting information from the\n\nobservations of VHE blazars. They are used to con-\n\nstrain the size, magnetic field and Doppler factor of\n\nthe emission region, as well as to determine the origin\n\n(leptonic or hadronic) of the VHE γ -rays. In leptonic\n\nscenarios, such MWL observations are used to mea-\n\nsure the spectrum of high-energy electrons producing\n\nthe emission, as well as to elucidate the nature of the\n\nseed photons. Additionally, an accurate measure of\n\nthe cosmological EBL density requires accurate mod-\n\neling of the blazar’s intrinsic VHE emission that can\n\nonly be performed with contemporaneous MWL ob-\n\nservations.\n\n## **2. VERITAS**\n\nVERITAS, a stereoscopic array of four 12-m\n\natmospheric-Cherenkov telescopes located in Arizona,\n\nis used to study VHE γ -rays from a variety of astro-\n\nphysical sources [4]. VERITAS began scientific obser-\n\nvations with a partial array in September 2006 and has\n\nroutinely observed with the full array since Septem-\n\nber 2007. The performance metrics of VERITAS in-\n\nclude an energy threshold of ∼ 100 GeV, an energy\n\nresolution of ∼ 15%, an angular resolution of ∼ 0.1 ◦ ,\n\nand a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an\n\nactive maintenance program (e.g. frequent mirror re-\n\ncoating and alignment) to ensure its continued high\n\nperformance over time, and an upgrade improving\n\nboth the camera (higher quantum-efficiency PMTs)\n\nand the trigger system has been proposed to the fund-\n\ning agencies.\n\n1 A VERITAS telescope was relocated during Summer 2009,\n\nincreasing the array’s sensitivity by a factor ∼ 1.3.\n\neConf C091122",
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- "text": "σ **−5 −4 −3 −2 −1 0 1 2 3 4 5**\n\n**Entries**\n\n**0**\n\n**2**\n\n**4**\n\n**6**\n\n**8**\n\n**10**\n\n**12**\n\n**Crab Flux % 0 2 4 6 8 10 12 14**\n\n**Entries**\n\n**0**\n\n**2**\n\n**4**\n\n**6**\n\n**8**\n\n**10**\n\n**12**\n\n**14**\n\n**16**\n\n**18**\n\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard\n\nanalysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the\n\nnumber of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The\n\ndistribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation\n\nthreshold. The time-weighted average limit is less than ∼ 2% Crab flux.\n\nsince the launch of Fermi include LAT detections. In\n\naddition, several MWL campaigns on the well-studied\n\nVHE blazars Mkn 421 and Mkn 501 (please see the\n\ncontributions of D. Gall and A. Konopelko in these\n\nproceedings) were also performed. Highlights of these\n\ncampaigns include:\n\n- 1ES 2344+514: A major (50% Crab) VHE flare,\n\nalong with correlations of the VHE and X-ray\n\nflux were observed from this HBL. The VHE\n\nand X-ray spectra harden during bright states,\n\nand a synchrotron self-Compton (SSC) model\n\ncan explain the observed SED in both the high\n\nand low states [26].\n\n- 1ES 1218+304: This HBL flared during VER-\n\nITAS MWL observations. Its unusually hard\n\nVHE spectrum strongly constrains the EBL.\n\nThe observed flaring rules out kpc-scale jet emis-\n\nsion as the explanation of the spectral hardness\n\nand places the EBL constraints on more solid-\n\nfooting [27, 28].\n\n- 1ES 0806+524: The observed SED of this new\n\nVHE HBL can be explained by an SSC model\n\n[16].\n\n- W Comae: This IBL, the first discovered at\n\nVHE, flared twice in 2008 [14, 15]. Modeling of\n\nthe SED is improved by including an external-\n\nCompton (EC) component in an SSC interpre-\n\ntation.\n\n- 3C 66A: This IBL flared at VHE and MeV-GeV\n\nenergies in 2008[17, 18]. Similar to W Comae\n\nand PKS 1424+240, modeling of observed SED\n\nsuggests a strong EC component in addition to\n\nan SSC component.\n\n- Mkn 421: This HBL exhibited major flaring be-\n\nhavior for several months in 2008. Correlations\n\nof the VHE and X-ray flux were observed, along\n\nwith spectral hardening with increased flux in\n\nboth bands [29].\n\n- RGB J0710+591: Modeling the SED of this\n\nHBL with an SSC model yields a good fit to\n\nthe data. The inclusion of an external Compton\n\ncomponent does not improve the fit.\n\n- PKS 1424+240: The broadband SED of this IBL\n\n(at unknown redshift) is well described by an\n\nSSC model favoring a redshift of less than 0.1\n\n[21]. Using the photon index measured with\n\nFermi-LAT in combination with recent EBL ab-\n\nsorption models, the VERITAS data indicate\n\nthat the redshift of PKS 1424+240 is less than\n\n0.66.\n\n## **8. Conclusions**\n\nThe first two years of the VERITAS blazar KSP\n\nwere highly successful. Highlights include the detec-\n\ntion of more than a 16 VHE blazars with the obser-\n\nvations almost always having contemporaneous MWL\n\ndata. Among these detections are 8 VHE blazar dis-\n\ncoveries, including the first three IBLs known to emit\n\nVHE γ -rays. All but a handful of the blazars on the\n\ninitial VERITAS discovery target list were observed,\n\nand the flux limits generated for those not VHE de-\n\ntected are generally the most-constraining ever. The\n\nexcess seen in the stacked blazar analysis suggests\n\nthat the initial direction of the VERITAS discovery\n\nprogram was well justified, and that follow-up obser-\n\nvations of many of these initial targets will result in\n\nVHE discoveries. In addition, the Fermi-LAT is iden-\n\ntifying many new compelling targets for the VERITAS\n\nblazar discovery program. These new candidates have\n\nalready resulted in 3 VHE blazar discoveries. The\n\nfuture of the VERITAS blazar discovery program is\n\nclearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has\n\nalso been highly successful. Every VERITAS obser-\n\nvation of a known, or newly discovered, VHE blazar\n\nhas been accompanied by contemporaneous MWL ob-\n\nservations. These data have resulted in the identifica-\n\neConf C091122",
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- "references": {
- "source_file": "ASX_MRM_2000.pdf",
- "query": "How big is the Mermaid fleet?",
- "target_page": 12,
- "target_passage": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity",
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- "text": "M E R M A I D A R R O W\n\n19.95m Crew Boat\n\nM E R M A I D E A G L E\n\n35m Towing, Utility, Supply\n\nM E R M A I D R A I D E R\n\n50m Supply/Standby Vessel\n\nM E R M A I D M A R E L L A\n\n24.9m Steel Catamaran, Supply Vessel\n\nM E R M A I D WA R R I O R\n\n19.52m Steel Tug, Work Boat\n\nM E R M A I D PAT R O L\n\n13.63m Utility Vessel\n\n### M E R M A I D F L E E T\n\n22",
- "page_start": 25,
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- "source_file": "ASX_MRM_2000.pdf"
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- "text": "ANNUAL REPORT 2000\n\nANNUAL REPORT 2000 MERMAID MARINE AUSTRALIA LIMITED\n\nACN 083 185 693",
- "page_start": 0,
- "page_end": 0,
- "source_file": "ASX_MRM_2000.pdf"
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- "text": "M E R M A I D A V E N G E R\n\n19.8m Oil Pollution, Crew Boat\n\nM E R M A I D A C H I E V E R\n\n40m Survey, Utility, Standby\n\nM E R M A I D R E U N I O N\n\n26m Utility Vessel\n\nP E L I C A N B A R G E\n\n36.58m Utility Barge\n\nM E R M A I D S U P P L I E R\n\n29.05m Landing Barge, Supply Vessel\n\nM E R M A I D C O M M A N D O\n\n20.04m Tug, Utility Vessel\n\nM E R M A I D B O S S\n\n19.8m Utility Barge\n\nM E R M A I D T I TA N\n\n14.3m Steel Twin Screw Tug,\n\n### Work Boat M E R M A I D F L E E T\n\n23",
- "page_start": 26,
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- "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges,\n\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing\n\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance.\n\nTwo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the\n\nwork increased productivity through enhanced bollard pull and consequent earnings.\n\nSafety was given the highest priority through new monitoring systems and awareness programs.\n\nFormalised on the job instruction and training courses have also lifted levels of experience and\n\nproficiency across the workforce.\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all\n\nexploration and development budgets of Australia’s offshore oil and gas industry. The Burrup\n\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and\n\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by\n\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there\n\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced\n\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\n\nSince receiving approval in principle for development of the Dampier Base from the Western\n\nAustralian Minister for the Environment in February 2000, engineering and general design work\n\nin connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services\n\narising out of greater expectations for growth in the sector, has led to improvements and\n\nexpansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\nAn “all tides” approach channel to a minimum depth of 6 metres\n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to\n\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular\n\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of\n\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline\n\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated,\n\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste\n\nreception. The joint Commonwealth and WA State Government initiative to establish\n\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load\n\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic\n\nrole in major capital works in the Pilbara, leading to significant cost savings.\n\n### O P E R AT I O N S R E V I E W\n\n8\n\nS E A G O I N G O P E R AT I O N S\n\nDA M P I E R B A S E\n\n## **-**\n\n## **-**",
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- "text": "### O P E R AT I O N S R E V I E W\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this\n\ntechnique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room\n\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four\n\nvessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid’s will be lifted from the water and tied down on purpose\n\nbuilt cradles for cyclones.\n\n##### **F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or\n\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is\n\nsuitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a\n\nfraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services\n\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex\n\nregulatory requirements related to health, safety, quarantine, environmental management, dust,\n\ndangerous goods and hazchem materials have been the subject of considerable study prior to this\n\nimplementation stage. 13\n\n* **The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.** *\n\nMERMAID MARINE\n\nAUSTRALIA LIMITED",
- "page_start": 16,
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- "text": "### I T ’ S L O G I C A L\n\n##### **Mermaid Marine Australia Limited’s future is now**\n\n##### **inextricably linked to the oil and gas industry. Oil continues**\n\n##### **to be the main attraction to explorers because of its lower**\n\n##### **infrastructure costs, early cash flow and easier marketing,**\n\n##### **but it is gas, which is emerging as the premier fuel.**\n\nGas is **clean, portable, in massive supply and the**\n\n**environmental answer** to so many of today’s atmospheric\n\nproblems. Together with its sister product, condensate it is also\n\nthe dominant feedstock for the petrochemical industry. In\n\nAustralia . . . gas has a **very, very great future** .\n\nFrom all sources, our country consumes or exports a modest\n\ntotal of approximately **one trillion cubic feet** of gas each year.\n\nGas is found in a number of places around Australia, but over\n\n90% of national reserves are found offshore of northwestern\n\nAustralia, where current estimates of gas in place comfortably\n\nexceed **100 trillion cubic feet** .\n\nThese reserves were effectively found as a co-product in the\n\nsearch for oil, yet on today’s economics, only **one trillion cubic**\n\n**feet** of gas with the appropriate production infrastructure in\n\nplace is estimated to be worth **$A5 billion dollars** .\n\nTherefore it may be simplistic, but true, that the undiscounted\n\nvalue of the gas in Australia’s northwest, is so far worth a\n\nstaggering **$500 billion dollars and rising** .\n\nDespite these mind bending numbers, existing production taps\n\nfar less than **half of 1%** of this huge resource each year,\n\na resource which increases almost by accident, from\n\nexceedingly modest levels of exploration for oil.\n\n##### **We at Mermaid recognise that these are solid and compelling**\n\n##### **reasons to focus our attention unwaveringly on this industry,**\n\n##### **within this region. To build the company’s seagoing assets**\n\n##### **and strategically blessed shore bases at Dampier, Broome and**\n\n##### **Darwin with all speed. To lift our professional expertise and**\n\n##### **productive capability to meet what we have assessed to be an**\n\n##### **amazing and highly exclusive opportunity.**",
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- "text": "### O P E R AT I O N S R E V I E W\n\n17\n\n##### **G. SLIPWAY.**\n\nAustralia, and particularly the north west is impoverished in terms of infrastructure to service\n\nour marine industries. Some of this has been due to a historical link with our recent industrial\n\npast. This is now behind us, and Australia has now become a centre of excellence with respect\n\nto both new building and ship repair, particularly for high tech and specialty vessels.\n\nThe Mermaid slipway will be the third such facility on the western half of the continent , with\n\nothers located at Fremantle and Darwin.\n\nThe slipway will be a repair only facility, no new building is contemplated. Its capacity is\n\nstructured to meet the regional steel mono-hulled fleet requirements of some 60 vessels between\n\n200 and 4000 tonne displacement. Fishing industry, marine tourist industry, large private\n\npleasure craft , naval, scientific and law enforcement vessels are a secondary target.\n\nThe slipway is designed to initially accept vessels up to 2,700 tonnes, a restriction which is set\n\nby our current inventory of cradles used to support vessel on the slip. The cradles will be\n\nprogressively upgraded to ultimately handle 4000 tonne. A later expansion will allow 500 tonne\n\nvessels to be side slipped, thereby increasing capacity.\n\nThe slipway location and orientation on the Base has been chosen to maximize the cost and load\n\nbearing benefits of having a very high strength granite bedrock as the best possible foundation.\n\nThe Mermaid slipway will rank second in terms of capacity on the western half of the continent.\n\nTenix, Fremantle 8,000 tonne, Mermaid Dampier 2,700 tonne rising to 4,000 tonne, Darwin Ship\n\nRepair 2,500 tonne. The nearest other facilities are Singapore, Adelaide, Port Moresby or Cairns.\n\nMermaid has purchased a very large cyclone rated industrial building\n\nframe which will be sited beside the slipway and tenanted by Mermaid\n\nengineering and companies which will provide ancillary services\n\nrelated to ship repair.\n\n* **The Northwest Shelf is a** *\n\n* **world scale offshore oil and** *\n\n* **gas exploration province.** *",
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- "text": "MERMAID MARINE AUSTRALIA LIMITED\n\nA.C .N. 083 185 693\n\nCORPORATE DIRECTORY\n\n##### * **Directors** *\n\nAlan Birchmore, Chairman\n\nMark Bradley, Director, CEO\n\nJames Carver, Executive Director\n\nDerrice Dillon, Executive Director\n\nJeff Mews, Non-Executive Director\n\nRichard Reid, Non-Executive Director\n\n##### * **Company Secretary** *\n\nBrendan Gore\n\nNeil Roberts\n\nREGISTERED OFFICE\n\nEagle Jetty,\n\n20 Mews Road,\n\nFremantle,\n\nWestern Australia 6160.\n\nTelephone: 61 8 9431 7431\n\nFacsimile: 61 8 9431 7432\n\nEmail: corporate@mermaidmarine.com.au\n\nInternet Site: www.mermaidmarine.com.au",
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- "text": "### D I R E C TO R S ’ R E P O R T\n\n29\n\nMermaid’s principal activities during the course of the Financial Year were:\n\nOperating crewed vessel charters;\n\nVessel manning, management and logistics;\n\nOperating supply base facilities; and\n\nEquipment hire.\n\nOther than detailed in the Chairman’s Report set out at pages 1 and 2 of this report and/or in\n\nthe Operations Review set out on pages 3 to 9 of this report, (together the “Chairman’s and\n\nOperations Reviews”), there have been no significant changes to these activities during the\n\nFinancial Year.\n\nIn respect of the financial year ended 30 June 1999, as detailed in the directors’ report for that\n\nfinancial year, a final dividend of 1.25 cents per share, franked to 100 per cent at 36 per cent\n\ncorporate income tax rate, was paid to the holders of fully paid ordinary shares on 1 November 1999.\n\nIn respect of the financial year ended 30 June 2000 the directors have not recommended the\n\npayment of a dividend.\n\nA review of operations for the Financial Year and the results of those\n\noperations are set out in the Chairman’s and Operations Reviews.\n\nThe Chairman’s and Operations\n\nReviews set out the matters which have had a significant effect on the state of affairs of Mermaid.\n\nOther than those matters there were no significant changes in the state of affairs of Mermaid\n\nduring the Financial Year.\n\nOn 25 August 2000 the Company announced that it had reached two\n\nagreements for the placement of a total of 16,666,666 ordinary fully paid shares in the Company\n\nat an issue price of 30 cents each (Shares).\n\nThe first agreement was with Mr Mark Bradley, who agreed to take a placement of 3,225,000\n\nShares by 29 September 2000, followed by, if approved of by shareholders at the Company’s\n\nannual general meeting, a further 3,441,666 within 7 days of that meeting.\n\nOn Mr Bradley being appointed a Director of the Company, in order to comply with the\n\nP R I N C I PA L A C T I V I T I E S\n\nR E V I E W O F O P E R AT I O N S\n\nS U B S E Q U E N T E V E N T S\n\nS I G N I F I C A N T C H A N G E S I N T H E S TAT E O F A F F A I R S\n\nD I V I D E N D\n\n## **-**\n\n## **-**\n\n## **-**\n\n## **-**",
- "page_start": 32,
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- "text": "### NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS\n\n### FOR THE FINANCIAL YEAR ENDED 30 JUNE 2000\n\n##### **Note Consolidated Company**\n\n## **2000 1999 2000 1999**\n\n##### **$ $ $ $**\n\n##### **Changes in assets and liabilities**\n\nTrade debtors 1,361,086 (375,733) - -\n\nOther debtors (197,069) (177,830) - -\n\nWork in progress - 323,621 - -\n\nPrepayments 10,752 107,206 - -\n\nInventory (161,355) (316,226) - -\n\nTrade and other creditors 749,280 34,720 (98,375) -\n\nProvision for income tax (718,533) (931,758) (3,885) 3,885\n\nFuture income tax benefit (346,520) (249,698) - -\n\nProvision for deferred tax 455,312 691,991 - -\n\nLoans - related parties - 40,375 - -\n\n##### **Net cash flows from operating**\n\n**activities** 1,661,831 2,826,043 88,299 10,792\n\n##### **(b) Reconciliation of cash**\n\nCash balance comprises:\n\nCash at bank 3,004,977 5,647,299 2,342,400 5,392,785\n\n##### **(c) Non-Cash Financing and**\n\n##### **Investing Activities**\n\nDuring the Financial Year the consolidated\n\nentity acquired a vessel with an aggregate\n\nfair value of $3,250,000, by way of hire\n\npurchase. During 1998/99 the consolidated\n\nentity acquired vessels and plant and\n\nequipment with aggregate fair values\n\nof $4,650,000 and $86,174 respectively,\n\nby way of hire purchase.\n\n##### **(d) Businesses Acquired**\n\nOn 12 August 1998, Mermaid Marine\n\nAustralia Limited (formerly Bellbridge\n\nInvestments Pty Ltd) acquired 100%\n\nof the shares in Mermaid Marine Group\n\nPty Ltd. The acquisition details were:\n\n##### **Consideration $ $ $ $**\n\nCash paid for purchase of shares - 5,923,618 - -\n\nBuy back of shares - (4,500,000) - -\n\nIssue of shares as part of acquisition - 3,041,785 - -\n\nPre-acquisition dividend - (2,076,382) - -\n\nStamp duty payable on transfer\n\nof shares - 55,590 - -\n\nShares issued - 2,444,611 - -\n\n49",
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- "source_file": "ASX_MRM_2000.pdf",
- "query": "What was the budget for the expansion of Dampier Base?",
- "target_page": 14,
- "target_passage": "a capital budget of $13m",
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- "text": "### O P E R AT I O N S R E V I E W\n\n10\n\nWork on Dampier\n\nBase expansion commenced on 9 October and will be largely complete by June 2001, involving\n\na capital budget of $13m.\n\nThe principle activities and facility developments involved in the expansion are:\n\n##### **A. DREDGING**\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance\n\nchannel, vessel berths, cyclone moorings and to provide access to the slipway.\n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of\n\ndredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%)\n\nand a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\n\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management\n\nrequirement and environmental considerations.\n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial\n\ndredging tool using the experience gained from the earlier Woodside project.\n\nThe layout of the Base has been very much driven by the desire to avoid or minimize blasting\n\nwhile fulfilling functional objectives.\n\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart\n\ndatum. The dredge spoil will be pumped ashore and used as fill around the Base.\n\nDredges are expected to be onsite for approximately 7 months commencing mid November.\n\n##### **B. QUAY WALL ( BERTH 1)**\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main\n\nberth to accommodate a wider range of vessels than originally contemplated. The berth is now\n\nlocated in deeper water with better vessel access.\n\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are\n\nnow four vessels operating in the region with 12,000 to 18,000 hp. When design commenced\n\nthere were none of this size.\n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide\n\n(MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest\n\nB A S E E X PA N S I O N W O R K S A N D E N V I RO N M E N TA L M A N A G E M E N T",
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- "text": "### O P E R AT I O N S R E V I E W\n\n9\n\nA slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle\n\nmost of the 60 vessels currently working in the region, a considerable number, but one\n\nwhich will rise over coming years. First class engineering facilities have been planned\n\nand highly experienced management recruited. Alternative slipways offering\n\ncomparable capacity are only to be found in Darwin or Fremantle, a sea journey of\n\napproximately 1000 miles from this operational region. Australia has emerged as a\n\ncentre of excellence with respect to vessel repair work, the Dampier facility will both\n\nbenefit from and protect that valuable reputation.\n\nRehabilitated land for buildings and storage will finally extend over 17 hectares. The\n\nmajor oilfield services company Halliburton, have been attracted to the base as a\n\ntenant and a $1.1m purpose built building is being constructed for their use.\n\nNegotiations are also proceeding with other groups who recognise the unique\n\nadvantages of operating from this strategically positioned Base. Rental income and\n\nassociated revenues such as plant and labour hire will contribute significantly to the\n\noverall economics of the facility.\n\nProtected moorings for cyclone shelter will be established inside the breakwater for\n\nlong term lease to local tug operators. The demand arises from serious vessel and crew\n\nsafety considerations. The Dampier Port Authority are reluctant to see the continued\n\nuse of cyclone moorings in the Harbour, not only for safety reasons, but for\n\nenvironmental concerns as well. Oil spills are not acceptable under any circumstances\n\nand will be avoided whatever the cost. Tug owners share similar concerns, but in\n\naddition they need to remain in a position of readiness for crews and equipment to\n\nresume their important functions immediately following a cyclonic event. The number\n\nof specific purpose spread moorings, detailed on the adjacent plan will total 10 in the\n\nfirst phase of construction, a limit which will be assisted by an ability to remove vessels\n\nup to 100 tonnes from the water by wharf crane for tie down on cradles.\n\nConstruction of the Dampier Base commenced on the 9th\n\nOctober this year, with an expectation that all major elements\n\nof the project will be largely completed within 12 months.\n\n* **The “Clough Challenge” Barge -** *\n\n* **Shallow Water Construction Support Barge** *\n\n* **in the East Spar Field** *\n\n## **-**\n\n## **-**\n\n## **-**",
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- "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges,\n\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing\n\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance.\n\nTwo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the\n\nwork increased productivity through enhanced bollard pull and consequent earnings.\n\nSafety was given the highest priority through new monitoring systems and awareness programs.\n\nFormalised on the job instruction and training courses have also lifted levels of experience and\n\nproficiency across the workforce.\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all\n\nexploration and development budgets of Australia’s offshore oil and gas industry. The Burrup\n\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and\n\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by\n\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there\n\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced\n\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\n\nSince receiving approval in principle for development of the Dampier Base from the Western\n\nAustralian Minister for the Environment in February 2000, engineering and general design work\n\nin connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services\n\narising out of greater expectations for growth in the sector, has led to improvements and\n\nexpansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\nAn “all tides” approach channel to a minimum depth of 6 metres\n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to\n\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular\n\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of\n\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline\n\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated,\n\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste\n\nreception. The joint Commonwealth and WA State Government initiative to establish\n\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load\n\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic\n\nrole in major capital works in the Pilbara, leading to significant cost savings.\n\n### O P E R AT I O N S R E V I E W\n\n8\n\nS E A G O I N G O P E R AT I O N S\n\nDA M P I E R B A S E\n\n## **-**\n\n## **-**",
- "page_start": 11,
- "page_end": 11,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "ANNUAL REPORT 2014",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NYSE_JWN_2014.pdf"
- },
- {
- "text": "2013 Acquisition & Development Facts\n\n### $ 121 m\n\nAcquisitions Completed\n\n5.8 % Average Acquisition Capitalization Rate\n\n###### $ 7 m\n\nI nvested in Land for Future Developments\n\n282 New Apartment Units Added from Completed Developments\n\n743 Apartment Units Acquired",
- "page_start": 14,
- "page_end": 14,
- "source_file": "TSX_KMP_2013.pdf"
- },
- {
- "text": "**2013 Annual Report**\n\ncontinued",
- "page_start": 0,
- "page_end": 0,
- "source_file": "ASX_KCN_2013.pdf"
- },
- {
- "text": "## Financial Information",
- "page_start": 55,
- "page_end": 55,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "### O P E R AT I O N S R E V I E W\n\n7\n\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine\n\nAustralia Ltd (“Company”) and its controlled entities, experienced a 43% turnover reduction\n\nfrom last year. The result was almost entirely due to a heavy fall in oil prices, which reached their\n\nlow of US$10 in February 1999, leading to the lowest level of offshore activity for many years.\n\nIn September 1999 Mermaid exercised its option to acquire the utility vessel “Mermaid\n\nAchiever” for $3,250,000. Previously the Achiever operated under a bare boat charter.\n\nIn February 2000 Mermaid received approval in principle from the Western Australian Minister\n\nfor the Environment for the development of a supply and engineering base at Dampier (Dampier\n\nBase). Since that time a detailed environmental management system has been produced for final\n\napproval and as a guide to daily environmental management and compliance. Refinements to\n\nthe design have proceeded, together with the preparation of bid packages and negotiations with\n\nBanks for project finance.\n\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough\n\nEngineering will see an extremely robust balance sheet, with cash on hand approaching $10 million.\n\nAs construction commences at Dampier, a level of project finance will be arranged providing a\n\ncomfortable mix of debt and equity and allowing the retention of a significant cash balance.\n\nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They\n\nare dealt with in detail under following headings.\n\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax\n\nprofit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease\n\nof 43% over the previous period. Fixed cost reductions enabled the Company to ride out the\n\nmarket reversal with a minimal loss and positive operating cash before capex of $1.6m. This\n\nresult, achieved against a major drop in turnover, was possible through a vigorous attack on\n\noverheads, which included more beneficial ownership costs, insurance savings, management\n\nsalary savings, including voluntary sacrifice from certain senior executives in recognition of the\n\ntighter conditions. In all the changes contributed approximately $1.5million to the bottom line.\n\nBare boat charters, although useful for the busy times encountered in 1998 exposed the\n\nCompany to a high level of fixed costs. The vessels were valuable earners and the transfer of the\n\nMermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved\n\nto be the right decision for all market conditions. Although there have been no contracts yet let\n\nfor work of any significance by producers on the North West Shelf, underlying day to day activity\n\nhas returned. Expressions of interest for major project work have been issued and as an indication\n\nof better trading conditions, an unaudited profit of $496,721 has been recorded for the two\n\nmonths to 31st August 2000. The trend has continued in September.\n\nO V E RV I E W\n\nF I N A N C I A L",
- "page_start": 10,
- "page_end": 10,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "2004 Annual Report\n\nYear Ended March 31, 2005",
- "page_start": 0,
- "page_end": 0,
- "source_file": "OTC_NSANY_2004.pdf"
- },
- {
- "text": "**Gross Property and Equipment**\n\n**Cumulative Non-Cash**\n\n**EÅect Additions for**\n\n**Balance as of of Changes in Acquisitions, Asset Balance as of**\n\n**December 31, Accounting Capital Net of Retirement Transfers and December 31,**\n\n**2002 Principles Additions Retirements Divestitures Obligations Adjustments 2003**\n\nOther land ÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 89.7 $ Ì $ 6.4 $ (1.7) $ Ì $ Ì $ Ì $ 94.4\n\nNon-depletable landÑll\n\nland ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 54.0 Ì .1 Ì .5 Ì (5.1) 49.5\n\nLandÑll development costs 1,026.3 188.6 3.7 Ì 28.9 17.9 69.8 1,335.2\n\nVehicles and equipmentÏÏÏ 1,356.8 Ì 163.4 (39.3) 10.7 Ì (1.0) 1,490.6\n\nBuildings and\n\nimprovements ÏÏÏÏÏÏÏÏÏ 270.9 (11.7) 3.9 (2.8) .9 Ì 6.2 267.4\n\nConstruction in progress Ì\n\nlandÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 32.3 Ì 78.7 Ì Ì Ì (50.2) 60.8\n\nConstruction in progress Ì\n\notherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 9.1 Ì 17.0 Ì Ì Ì (19.7) 6.4\n\nTotalÏÏÏÏÏÏÏÏÏÏÏ $2,839.1 $176.9 $273.2 $(43.8) $41.0 $17.9 $ Ì $3,304.3\n\n**Accumulated Depreciation, Amortization and Depletion**\n\n**Cumulative**\n\n**EÅect**\n\n**Balance as of of Changes in Additions Acquisitions, Balance as of**\n\n**December 31, Accounting Charged to Net of Transfers and December 31,**\n\n**2002 Principles Expense Retirements Divestitures Adjustments 2003**\n\nLandÑll development costsÏÏÏÏ $(304.1) $(248.4) $ (92.8) $ Ì $Ì $ .7 $ (644.6)\n\nVehicles and equipment ÏÏÏÏÏÏ (570.1) Ì (131.6) 34.1 .4 .8 (666.4)\n\nBuildings and improvements ÏÏ (54.9) 3.0 (9.4) .5 Ì (1.5) (62.3)\n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $(929.1) $(245.4) $(233.8) $34.6 $.4 $ Ì $(1,373.3)\n\n**Gross Property and Equipment**\n\n**Non-Cash**\n\n**Additions for**\n\n**Balance as of Acquisitions, Asset Balance as of**\n\n**December 31, Capital Net of Retirement Transfers and December 31,**\n\n**2003 Additions Retirements Divestitures Obligations Adjustments 2004**\n\nOther landÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 94.4 $ 3.1 $ (0.7) $ .9 $ Ì $ .2 $ 97.9\n\nNon-depletable landÑll land ÏÏÏÏÏÏÏÏ 49.5 1.0 Ì 1.5 Ì 1.4 53.4\n\nLandÑll development costs ÏÏÏÏÏÏÏÏÏ 1,335.2 6.6 (1.9) 28.9 15.3 102.4 1,486.5\n\nVehicles and equipmentÏÏÏÏÏÏÏÏÏÏÏÏ 1,490.6 169.1 (48.2) 5.3 Ì .7 1,617.5\n\nBuildings and improvements ÏÏÏÏÏÏÏÏ 267.4 11.4 (1.4) 1.0 Ì 8.6 287.0\n\nConstruction in progress Ì landÑllÏÏÏ 60.8 78.9 Ì Ì Ì (100.6) 39.1\n\nConstruction in progress Ì other ÏÏÏÏ 6.4 13.7 Ì Ì Ì (12.7) 7.4\n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $3,304.3 $283.8 $(52.2) $37.6 $15.3 $ Ì $3,588.8\n\n**Accumulated Depreciation, Amortization and Depletion**\n\n**Balance as of Additions Acquisitions, Balance as of**\n\n**December 31, Charged to Net of Transfers and December 31,**\n\n**2003 Expense Retirements Divestitures Adjustments 2004**\n\nLandÑll development costsÏÏÏÏÏÏÏÏ $ (644.6) $ (98.4) $ 1.9 $(1.0) $(.8) $ (742.9)\n\nVehicles and equipment ÏÏÏÏÏÏÏÏÏÏ (666.4) (143.5) 43.5 Ì .1 (766.3)\n\nBuildings and improvements ÏÏÏÏÏÏ (62.3) (10.5) 1.2 Ì .8 (70.8)\n\nTotal ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $(1,373.3) $(252.4) $46.6 $(1.0) $ .1 $(1,580.0)\n\n45",
- "page_start": 52,
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- "source_file": "NYSE_RSG_2004.pdf"
- }
- ]
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- "references": {
- "source_file": "ASX_MRM_2000.pdf",
- "query": "When did Mermaid Marine Service Base in the Port of Broome start?",
- "target_page": 22,
- "target_passage": "1 February 2000",
- "chunk_present": {
- "presence": true,
- "index": 0
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- "text": "### O P E R AT I O N S R E V I E W\n\n18\n\nMermaid Marine services base at the Port of Broome (Broome Base)\n\ncommenced operations on 1 February 2000 when the first ship containing drill pipe for Inpex\n\nBrowse Ltd arrived from Japan.\n\nAs a result of Mermaid’s efforts in establishing the Broome Base, Inpex Browse Ltd., BHP Petroleum\n\nand Woodside have used Broome as their base for drilling a total of four (4) offshore wells.\n\nIt is presently expected that at least six\n\n(6) exploration wells will be drilled in the\n\narea during 2001. The Base now employs\n\nas many as ten (10) staff up from the\n\nthree (3) who commenced in February\n\n2000. Excellent management and staff\n\ncompetence are the prime factors, which\n\nhave delivered the smooth start up and\n\ncontinued success at Broome.\n\nThe base is currently secured on a come and go lease arrangement, located on Port premises\n\nadjacent to the wharf gates. Although convenient, with an excellent cyclone proof building, the\n\nsite has limitations in terms of size and slope. An area more suitable for our long term needs has\n\nbeen optioned from Port authorities and discussions will proceed with our clients this year to\n\ndetermine their precise needs.\n\nThe success of Browse Basin wells drilled this year, strong developments in the energy sector and\n\nthe intention of operators to base their 2001 operations in Broome, have encouraged the Board\n\nto consider further investment to ensure that capability keeps pace with demand and that we\n\nleave no reason for competitors to offer more or better.\n\nThe offshore waters of the Northern Territory, the Zone of Co-Operation (ZOCA) between Australia\n\nand Timor, and the Commonwealth Territory of Ashmore and Cartier host approximately 35% of the\n\nexploration and development budgets of Australian offshore oil and gas industry.\n\nTwo large projects are under study or implementation in these waters; the Phillips Petroleum\n\nBayu-Undang Project and the Woodside Sunrise Troubador Project.\n\nTwo large petrochemical projects are under study for the Darwin area based upon pipelines from\n\nthe Timor Sea gas resources of the projects above.\n\nDarwin will within 3 years be the northern terminus of the Australian national rail system with the\n\ncompletion of the Alice Springs Darwin rail link, further expanding its role in Australia’s economy.\n\nB RO O M E S U P P LY B A S E\n\nDA RW I N B A S E\n\n* **The Mermaid Broome Supply Base certified Impex, Woodside** *\n\n* **and BHP Petroleum exploration program during 2000.** *",
- "page_start": 21,
- "page_end": 21,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges,\n\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing\n\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance.\n\nTwo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the\n\nwork increased productivity through enhanced bollard pull and consequent earnings.\n\nSafety was given the highest priority through new monitoring systems and awareness programs.\n\nFormalised on the job instruction and training courses have also lifted levels of experience and\n\nproficiency across the workforce.\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all\n\nexploration and development budgets of Australia’s offshore oil and gas industry. The Burrup\n\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and\n\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by\n\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there\n\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced\n\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\n\nSince receiving approval in principle for development of the Dampier Base from the Western\n\nAustralian Minister for the Environment in February 2000, engineering and general design work\n\nin connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services\n\narising out of greater expectations for growth in the sector, has led to improvements and\n\nexpansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\nAn “all tides” approach channel to a minimum depth of 6 metres\n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to\n\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular\n\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of\n\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline\n\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated,\n\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste\n\nreception. The joint Commonwealth and WA State Government initiative to establish\n\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load\n\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic\n\nrole in major capital works in the Pilbara, leading to significant cost savings.\n\n### O P E R AT I O N S R E V I E W\n\n8\n\nS E A G O I N G O P E R AT I O N S\n\nDA M P I E R B A S E\n\n## **-**\n\n## **-**",
- "page_start": 11,
- "page_end": 11,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "### O P E R AT I O N S R E V I E W\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this\n\ntechnique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room\n\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four\n\nvessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid’s will be lifted from the water and tied down on purpose\n\nbuilt cradles for cyclones.\n\n##### **F. ONSHORE LAND RECLAMATION.**\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or\n\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is\n\nsuitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a\n\nfraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services\n\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex\n\nregulatory requirements related to health, safety, quarantine, environmental management, dust,\n\ndangerous goods and hazchem materials have been the subject of considerable study prior to this\n\nimplementation stage. 13\n\n* **The foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.** *\n\nMERMAID MARINE\n\nAUSTRALIA LIMITED",
- "page_start": 16,
- "page_end": 16,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "### C H A I R M A N ’ S R E P O R T\n\n6\n\nLabour hire is heavily dependent upon the quality of the personnel database and our intention\n\nhas been announced to offer training at Dampier, Broome and Darwin for those who live in the\n\nNorth West and wish to work in the offshore industry there. Planning for this new initiative is\n\nwell advanced and we expect to be running courses for prospective offshore employees in coming\n\nmonths. Although the training program is not directed to any particular community group, it has\n\nbeen encouraging to have active support from Aboriginal leaders in the Kimberley region.\n\nWorld prospects for energy, the need for Australia to add value to its resources, Government\n\ninitiatives for the support of these activities and environmental imperatives, heavily favour gas,\n\ngiving every indication that Mermaid Marine’s development push has been extremely timely.\n\nIt is also important to draw attention to increased efforts in terms of health, safety and\n\nenvironmental protection. Our workplace is largely at sea, where operations involve natural\n\ndangers and the safety of our people is paramount. We also work in a setting where the tasks in\n\nwhich we are involved cast us in the role of environmental caretakers of the sea and coastline.\n\nOver the past twelve months, we have worked even more closely with producers to take this side\n\nof our business to the highest possible standard. We are proud of the achievement and at the time\n\nof this report, despite the inherent dangers involved in the work, our employees have accrued a\n\nrecord 348 days free of Lost Time Injuries, a tremendous effort.\n\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve\n\nearnings of at least $100million, with appropriate levels of accompanying profit. That will be\n\naddressed through our policy of strategic positioning and development in the North West of\n\nAustralia, and also by acquisition where merger or purchase will add to our earnings and\n\nstrengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are\n\nwell able to pursue and secure our ambitious program.\n\nAlan Birchmore\n\nChairman",
- "page_start": 9,
- "page_end": 9,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "### O P E R AT I O N S R E V I E W\n\n19\n\nDarwin is serviced by three marine infrastructure elements.\n\na. A public port adjacent to the main business centre, which is destined to be redeveloped\n\nas a cruise ship and tourism precinct .\n\nb. A group of freehold water front properties on Frances Bay near to the main business\n\ncenter.\n\nc. A recently commissioned public port and industrial estate at East Arm some 25 km from\n\nthe main business district.\n\nDarwin already has an abundance of shore based logistics service providers who operate from\n\nonshore industrial estates through publicly owned facilities.\n\nThe Northern Territory Government has sponsored a study to determine the marine\n\ninfrastructure deficits of the Darwin area. Mermaid has contributed to the study and is\n\nmonitoring the subsequent planning processes.\n\nRegardless of industry trends, Mermaid has a need for a Darwin Base to service and care for\n\nMermaid vessels working in the area. Too often vessels have been demobilised to Dampier at the\n\nconclusion of a contract then being required to return to Darwin within days or weeks for\n\nanother assignment.\n\nMermaid has decided that needs and opportunities in the north of Australia can be best served by\n\nentering a co-operative arrangement with an established Darwin Company. Agreement has therefore\n\nbeen reached with Perkins Shipping Group, who are one of the freehold land owners on Frances Bay.\n\nPerkins Shipping, established in the 1950s is the major coastal shipping service provider in\n\nAustralia’s north, linking Darwin to mining and aboriginal committees from the Kimberly to\n\nGulf of Carpenteria. Additionally Perkins operate services to East Timor, mining operations in\n\nIndonesia, as well as Singapore and East Malaysia. The Perkins and Mermaid businesses are\n\ndifferent, but complementary, offering benefits to both. The arrangement with Perkins will give\n\nMermaid well placed office facilities, open storage and waterfront access.\n\nOur intention is that Darwin become the third and final mainland entreport to service the\n\nNorthwestern offshore oil and gas industry together with our other strategically placed facilities\n\nat Dampier and Broome.",
- "page_start": 22,
- "page_end": 22,
- "source_file": "ASX_MRM_2000.pdf"
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- "text": "### O P E R AT I O N S R E V I E W\n\n20\n\nDuring 2000 Mermaid Marine formed a\n\nnew business unit Mermaid Labour and Management Limited. The focus of this unit will be\n\nlabour supply and industrial relations management to the marine, offshore construction industry\n\nand onshore resources projects in the NW of Australia. The Directors and Management of the\n\nnew entity are very experienced, well known and regarded by the industry in general. The\n\ncompany has high expectations for Mermaid Labour and Management Limited.\n\nMermaid remains dedicated to ensuring a safe environment in all areas where we operate or have\n\nresponsibility.\n\nIn April 2000, following the regular six monthly Quality Assurance audit, the Company’s\n\naccreditation under AS/NZS/ISO 9002 was reconfirmed. Mermaid’s quality assurance and\n\ncompliance team continues with a continuous day to day effort to improve our health, safety and\n\nenvironmental performance. Stringent charterer requirements, which are a pre requisite of\n\nincreased vessel usage, must be met to the letter and are the subject of regular and demanding\n\naudits. Although time consuming and expensive, we are grateful to certain of the large\n\nproducers, who while demanding the highest levels of compliance, have also been prepared to\n\ngive their time, sharing their safety expertise with us and in that way assisting in the very major\n\nadvances our company has made in this all important area.\n\nAt the time of writing this report, Mermaid had accumulated 348 days without a Lost Time\n\nInjury. A fine achievement and a continuing record.\n\nM E R M A I D L A B O U R A N D M A N A G E M E N T L I M I T E D\n\nS A F E T Y",
- "page_start": 23,
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- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "### C H A I R M A N ’ S R E P O R T\n\n5\n\nDirector of the Clough Group and a highly experienced and talented executive. Richard has\n\nappointed an alternate director, Mr Chris Sutherland, a senior Clough Executive, with\n\nengineering qualifications and associated business skills to assist him.\n\nCaptain Jim Carver, Mermaid’s founder continues to play a significant role in Mermaid’s operations,\n\npaying particular attention to our business at sea. Under 20 years of Jim’s leadership, Mermaid\n\ndeveloped an enviable reputation as a “can do” company, and in our drive for new engineering\n\nexpertise and professionalism, we have no intention of allowing that attitude to be lost.\n\nLast year we identified Broome as our next strategic position. No oil and gas work had been\n\nsupported out of Broome for seventeen years and with the valuable cooperation and assistance\n\nof the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first\n\nclient. The base was then established early this year.\n\nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven\n\nmonths operation, our Base is profitable, housing Inpex, BHP, Woodside and Sedco in support\n\nof their current drilling programs. All the holes drilled from the Broome Base have been\n\ndesignated as commercial finds by the explorers and the very major increase in the reserves at\n\nBrecknock, Woodside’s permit 500 kilometres north of Broome creates optimism for future\n\nproduction based in the Broome area.\n\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu\n\nUndan project operated by Phillips, is well advanced and will impact Darwin’s offshore activity\n\nquite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with\n\nPerkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping\n\nis synonymous with Darwin’s history. Set up by V.B. Perkins in the late 40’s, it has grown to\n\nsignificant size, operating its ships across the top of Australia and into South East Asia. There\n\nare many synergies which Mermaid shares with Perkins and we look forward to developing our\n\nDarwin business in close association with that fine old Company.\n\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early\n\nin the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to\n\nbe paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour\n\nhire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General\n\nManager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director.\n\nWith their reputation and talent added to Mermaid’s experienced team, this labour hire\n\ncompany has become a significant force and can be expected to be in the final when major\n\nlabour hire contracts are let.",
- "page_start": 8,
- "page_end": 8,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "### O P E R AT I O N S R E V I E W\n\n7\n\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine\n\nAustralia Ltd (“Company”) and its controlled entities, experienced a 43% turnover reduction\n\nfrom last year. The result was almost entirely due to a heavy fall in oil prices, which reached their\n\nlow of US$10 in February 1999, leading to the lowest level of offshore activity for many years.\n\nIn September 1999 Mermaid exercised its option to acquire the utility vessel “Mermaid\n\nAchiever” for $3,250,000. Previously the Achiever operated under a bare boat charter.\n\nIn February 2000 Mermaid received approval in principle from the Western Australian Minister\n\nfor the Environment for the development of a supply and engineering base at Dampier (Dampier\n\nBase). Since that time a detailed environmental management system has been produced for final\n\napproval and as a guide to daily environmental management and compliance. Refinements to\n\nthe design have proceeded, together with the preparation of bid packages and negotiations with\n\nBanks for project finance.\n\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough\n\nEngineering will see an extremely robust balance sheet, with cash on hand approaching $10 million.\n\nAs construction commences at Dampier, a level of project finance will be arranged providing a\n\ncomfortable mix of debt and equity and allowing the retention of a significant cash balance.\n\nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They\n\nare dealt with in detail under following headings.\n\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax\n\nprofit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease\n\nof 43% over the previous period. Fixed cost reductions enabled the Company to ride out the\n\nmarket reversal with a minimal loss and positive operating cash before capex of $1.6m. This\n\nresult, achieved against a major drop in turnover, was possible through a vigorous attack on\n\noverheads, which included more beneficial ownership costs, insurance savings, management\n\nsalary savings, including voluntary sacrifice from certain senior executives in recognition of the\n\ntighter conditions. In all the changes contributed approximately $1.5million to the bottom line.\n\nBare boat charters, although useful for the busy times encountered in 1998 exposed the\n\nCompany to a high level of fixed costs. The vessels were valuable earners and the transfer of the\n\nMermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved\n\nto be the right decision for all market conditions. Although there have been no contracts yet let\n\nfor work of any significance by producers on the North West Shelf, underlying day to day activity\n\nhas returned. Expressions of interest for major project work have been issued and as an indication\n\nof better trading conditions, an unaudited profit of $496,721 has been recorded for the two\n\nmonths to 31st August 2000. The trend has continued in September.\n\nO V E RV I E W\n\nF I N A N C I A L",
- "page_start": 10,
- "page_end": 10,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "### I T ’ S L O G I C A L\n\n##### **Mermaid Marine Australia Limited’s future is now**\n\n##### **inextricably linked to the oil and gas industry. Oil continues**\n\n##### **to be the main attraction to explorers because of its lower**\n\n##### **infrastructure costs, early cash flow and easier marketing,**\n\n##### **but it is gas, which is emerging as the premier fuel.**\n\nGas is **clean, portable, in massive supply and the**\n\n**environmental answer** to so many of today’s atmospheric\n\nproblems. Together with its sister product, condensate it is also\n\nthe dominant feedstock for the petrochemical industry. In\n\nAustralia . . . gas has a **very, very great future** .\n\nFrom all sources, our country consumes or exports a modest\n\ntotal of approximately **one trillion cubic feet** of gas each year.\n\nGas is found in a number of places around Australia, but over\n\n90% of national reserves are found offshore of northwestern\n\nAustralia, where current estimates of gas in place comfortably\n\nexceed **100 trillion cubic feet** .\n\nThese reserves were effectively found as a co-product in the\n\nsearch for oil, yet on today’s economics, only **one trillion cubic**\n\n**feet** of gas with the appropriate production infrastructure in\n\nplace is estimated to be worth **$A5 billion dollars** .\n\nTherefore it may be simplistic, but true, that the undiscounted\n\nvalue of the gas in Australia’s northwest, is so far worth a\n\nstaggering **$500 billion dollars and rising** .\n\nDespite these mind bending numbers, existing production taps\n\nfar less than **half of 1%** of this huge resource each year,\n\na resource which increases almost by accident, from\n\nexceedingly modest levels of exploration for oil.\n\n##### **We at Mermaid recognise that these are solid and compelling**\n\n##### **reasons to focus our attention unwaveringly on this industry,**\n\n##### **within this region. To build the company’s seagoing assets**\n\n##### **and strategically blessed shore bases at Dampier, Broome and**\n\n##### **Darwin with all speed. To lift our professional expertise and**\n\n##### **productive capability to meet what we have assessed to be an**\n\n##### **amazing and highly exclusive opportunity.**",
- "page_start": 4,
- "page_end": 4,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "MERMAID MARINE\n\nAUSTRALIA LIMITED\n\n### O P E R AT I O N S R E V I E W\n\nbreakwater will be an over capping type, which interrupts the waves progress, but does not\n\ntotally protect from wave penetration. These events are manageable and estimated as a once in\n\n50 years possibility.\n\nThe breakwater core will be used as a construction causeway allowing land based equipment to\n\nperform the work. The greater part of the breakwater work involves winning the material as\n\nopposed to actual construction.\n\n##### **E. CYCLONE MOORINGS.**\n\nThe extent of the cyclone problem in Australia’s north and north west was emphasised when\n\nCyclone Tracey struck Darwin in 1974. The most powerful cyclone to cross the Australian coast\n\nwas Cyclone Vance in 1999, which passed near Dampier, destroying large parts of the towns of\n\nOnslow and Exmouth further to the south.\n\nThe problem is acute, particularly in the area between Exmouth and Port Hedland, which suffers\n\ncyclones of an intensity and frequency as high as anywhere in the world. The Mermaid Base is\n\ntypically on cyclone alert three times per season. The season is November to April.\n\nTo date there have been three options available to vessel owners when a cyclone approaches:.\n\n- Run to sea\n\n- Take refuge with crew onboard, on a mooring in the most sheltered location available such\n\nas the Dampier Archipelago or the Monte Bello Islands.\n\n- Construct a cyclone shelter.\n\nThere are serious personal safety and environmental considerations related to Options 1 and 2\n\nand it is obvious that best practice universally adopted by large responsible Companies can be\n\nsatisfied in this way.\n\nOnly Woodside at Dampier and BHP at Port Hedand have taken the step of building shelters\n\nwhich provides protection to 12 of the region’s 60 vessels and this at very considerable cost.\n\nMermaid has undertaken significant engineering work on the placing of vessels on partially\n\nsheltered spread moorings, allowing the vessels to be secured near to shore and the crews\n\ndemobilized to take care of their families and attend to household cyclone preparation.\n\nMermaid is taking a leadership role with a technical solution which will lead to wider adoption\n\nas vessel owners and the insurance industry fully value the arrangements. Mermaid will provide 12",
- "page_start": 15,
- "page_end": 15,
- "source_file": "ASX_MRM_2000.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "Word QS.pdf",
- "query": "How do I create a new document in Word?",
- "target_page": 2,
- "target_passage": "Just select File > New",
- "chunk_present": {
- "presence": true,
- "index": 0
- }
- },
- "top_chunk": [
- {
- "text": "Create something\n\nBegin with a **Blank document** to get right to work. Or start with a template to save yourself time and steps. Just select **File** > **New** , and then select or search for the template you want.\n\nAccess files anywhere\n\nNeed to work on the go and across different devices? Click **File** > **Account** to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\nFind recent files\n\nWhether you only work with files stored on your PC’s local hard drive or you store files in multiple shared locations, selecting **File** > **Open** takes you to your recently used documents and any files that you may have pinned to your list.\n\nDiscover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the **Table Design** and **Layout** tabs, which offer additional options.",
- "page_start": 1,
- "page_end": 1,
- "source_file": "Word QS.pdf"
- },
- {
- "text": "Find whatever you need\n\nType a keyword or phrase into the **Search** box to quickly find the Word features and ribbon commands you’re looking for, to discover **Help** content, or to get more information online .\n\nGet other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to **https://go.microsoft.com/fwlink/?linkid=2008317.**\n\nShare your work with others\n\nTo invite others to view or edit your documents, select the **Share** button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.\n\nNext steps with Word\n\n**See what’s new in Office** Explore the new and improved features in Word and the other Office apps. Visit **https://go.microsoft.com/fwlink/?linkid=871117** for more information.\n\n**Get free training, tutorials, and videos for Office** Ready to dig deeper into the capabilities that Word has to offer? Visit **https://go.microsoft.com/fwlink/?linkid=871123** to explore our free training options.\n\n**Send us your feedback** Love Word? Got an idea for improvement to share with us? On the **File** menu, select **Feedback** and then follow the prompts to send your suggestions directly to the Word product team. Thank you!",
- "page_start": 3,
- "page_end": 3,
- "source_file": "Word QS.pdf"
- },
- {
- "text": "Quick Start Guide\n\n## New to Word? Use this guide to learn the basics.\n\n**Save your progress**\n\nSave your work on OneDrive\n\nor SharePoint automatically.\n\n**Find whatever you need**\n\nLook up commands from the ribbon,\n\nget Help, or search the web.\n\n**Discover contextual commands**\n\nSelect tables, pictures, or other objects\n\nin a document to reveal additional\n\noptions.\n\n**Share your work with others**\n\nInvite other people to view and edit\n\ncloud-based documents stored in\n\nOneDrive or on SharePoint sites.\n\n**Navigate with ease**\n\nUse the sidebar to manage long or\n\ncomplex documents. **Show or hide the ribbon**\n\nSelect the arrow icon to show\n\nor hide the Quick Access\n\nToolbar, and change ribbon\n\nsettings.\n\n**Format with the mini toolbar**\n\nSelect or right-click text and objects to\n\nquickly format them in place.\n\n**Status bar shortcuts**\n\nSelect any status bar indicator to\n\nnavigate your document, view word\n\ncount statistics, or check your spelling.\n\n**Change your view**\n\nSelect the status bar buttons to\n\nswitch between views, or use the\n\nslider to magnify the page to\n\nyour liking.",
- "page_start": 0,
- "page_end": 0,
- "source_file": "Word QS.pdf"
- },
- {
- "text": "[Word.Document.ExportAsFixedFormat2](https://learn.microsoft.com/en-us/office/vba/api/word.document.exportasfixedformat2) **Extending Office PDF Export**",
- "page_start": 1,
- "page_end": 1,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "### Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don’t even need Word\n\nto open it.\n\n**Try it:** Select **Share** , and send a link to this document. (keyboard shortcut - Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone’s email address or by copying the link and pasting it\n\ninto a message or chat. If you want them to read the document but not edit it, set their\n\npermission to view-only.\n\nIf they don’t have Word, the document will open in their web browser, in Word Online.\n\n### Add visuals with pictures from the web\n\nWord works with Bing to give you access to thousands of pictures you can use in your\n\ndocuments.\n\n**Try it:** Hit enter after this line to make a blank line:\n\n**1.** With your cursor in the blank space above, go to the Insert tab, select **Online Pictures** ,\n\nand then search for something, like *puppy clip art* .\n\n**2.** Select the picture you want, and select **Insert** .",
- "page_start": 2,
- "page_end": 2,
- "source_file": "welcome_to_word_template.pdf"
- },
- {
- "text": "## Welcome to Word\n\n#### Instructions you can edit, share, and print\n\nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will\n\nteach you some basics about Word, but this document isn’t just for reading. It’s for editing too,\n\nso you can learn by doing.\n\nFor practice using Word features, watch for **Try it** text in red throughout this document.\n\n**Time saver:** If you’ve only got a minute\n\nand you want to see how this works,\n\nwatch this Video: Welcome to Word .\n\n### Write eloquently, with a little help\n\nWord automatically checks spelling and grammar, and marks misspelled words with a red\n\nsquiggly underline. Grammatical glitches get a blue double underline.\n\n**Try it:** Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write\n\na sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph.\n\nRight-click the text that’s marked with underlines, or Press F7. Choose a suggestion to correct\n\nthe mistakes.",
- "page_start": 0,
- "page_end": 0,
- "source_file": "welcome_to_word_template.pdf"
- },
- {
- "text": "### Count on Word to count your words\n\n**Try it:** Hit return after this line and type some words.\n\nThe status bar at the bottom of the window keeps a running count of the number of words in\n\nthe document.\n\n### Save this for later, access it anywhere\n\nWhen you save this document in OneDrive, you’ll be able to open it anywhere: on your\n\ncomputer, tablet, or phone. Your changes will be saved automatically.\n\n**Try it:** Select **File** > **Save As** , and then select OneDrive and give this document a name.\n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files.\n\nYou can pick up where you left off… even if you left the document open on the computer you’re\n\nusing now.",
- "page_start": 1,
- "page_end": 1,
- "source_file": "welcome_to_word_template.pdf"
- },
- {
- "text": "### Get help with Word\n\nThe **Tell me** search box takes you straight to commands and Help in Word.\n\n**Try it:** Get help:\n\n**1.** Go to **Tell me what you want to do** at the top of the window.\n\n**2.** Type what you want to do.\n\nFor example, type:\n\n- **Add watermark** to quickly get to the watermark command.\n\n- **Help** to go to Word help.\n\n- **Training** to see the list of Word training courses.\n\n- **What’s new** for a list of the most recent updates to Word\n\n### Let us know what you think\n\nPlease give us feedback on this template , so we can provide content that’s truly useful and\n\nhelpful. Thanks!",
- "page_start": 7,
- "page_end": 7,
- "source_file": "welcome_to_word_template.pdf"
- },
- {
- "text": "## **Word PDF Accessibility**\n\nArticle - 11/26/2024\n\nAuthors can ensure that their Word documents are accessible to people with disabilities\n\neven when distributing them in PDF format using the following approach:\n\n1. First, they should follow the practices in [Make your Word documents accessible to](https://support.microsoft.com/office/d9bf3683-87ac-47ea-b91a-78dcacb3c66d)\n\n[people with disabilities](https://support.microsoft.com/office/d9bf3683-87ac-47ea-b91a-78dcacb3c66d) .\n\n2. Next, they should follow the steps in [Create accessible PDFs](https://support.microsoft.com/office/064625e0-56ea-4e16-ad71-3aa33bb4b7ed) to preserve the\n\naccessibility of the document in PDF format.\n\nThis article provides details about the information Word includes in the PDF to make it\n\naccessible.\n\n1. [PDF/UA](https://www.iso.org/standard/64599.html) tags are included to provide semantic information about the content in\n\nthe document.\n\n2. Decorative content does not need to be read, so it is marked as in the\n\nContent Tree in the PDF and no PDF/UA tags are included.\n\n3. Bookmarks for each section and slide are included to make it easier to navigate the\n\ncontent.\n\n| Type of content Tags |\n|:---|\n| Document |\n| Title |\n| H1, H2, etc. <H1>, <H2>, etc. |\n\n**Summary**\n\n**PDF/UA Tags**\n\nﾉ **Expand table**",
- "page_start": 55,
- "page_end": 55,
- "source_file": "office-pdf.pdf"
- },
- {
- "text": "### Give your doc an instant makeover\n\nStyle sets and themes let you completely change the look of your document in an instant. They\n\nwork best when your document is formatted with styles (so it’s good that we fixed that Heading\n\nstyle, above).\n\n**Try it:** Explore style sets and themes:\n\n**1.** On the **Design** tab, select **Themes** , and choose a theme from the drop-down.\n\nNotice that the gallery of style sets updates to reflect the theme you picked.\n\n**2.** Select any theme you like from the drop-down and click to apply.",
- "page_start": 5,
- "page_end": 5,
- "source_file": "welcome_to_word_template.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "Word QS.pdf",
- "query": "Where can I find other Microsoft quick start guides?",
- "target_page": 4,
- "target_passage": "To download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.",
- "chunk_present": {
- "presence": true,
- "index": 2
- }
- },
- "top_chunk": [
- {
- "text": "Quick Start Guide\n\n## New to Word? Use this guide to learn the basics.\n\n**Save your progress**\n\nSave your work on OneDrive\n\nor SharePoint automatically.\n\n**Find whatever you need**\n\nLook up commands from the ribbon,\n\nget Help, or search the web.\n\n**Discover contextual commands**\n\nSelect tables, pictures, or other objects\n\nin a document to reveal additional\n\noptions.\n\n**Share your work with others**\n\nInvite other people to view and edit\n\ncloud-based documents stored in\n\nOneDrive or on SharePoint sites.\n\n**Navigate with ease**\n\nUse the sidebar to manage long or\n\ncomplex documents. **Show or hide the ribbon**\n\nSelect the arrow icon to show\n\nor hide the Quick Access\n\nToolbar, and change ribbon\n\nsettings.\n\n**Format with the mini toolbar**\n\nSelect or right-click text and objects to\n\nquickly format them in place.\n\n**Status bar shortcuts**\n\nSelect any status bar indicator to\n\nnavigate your document, view word\n\ncount statistics, or check your spelling.\n\n**Change your view**\n\nSelect the status bar buttons to\n\nswitch between views, or use the\n\nslider to magnify the page to\n\nyour liking.",
- "page_start": 0,
- "page_end": 0,
- "source_file": "Word QS.pdf"
- },
- {
- "text": "## **Excel**\n\n## **Fundamentals**",
- "page_start": 0,
- "page_end": 0,
- "source_file": "Excel Training Manual 1.pdf"
- },
- {
- "text": "Find whatever you need\n\nType a keyword or phrase into the **Search** box to quickly find the Word features and ribbon commands you’re looking for, to discover **Help** content, or to get more information online .\n\nGet other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to **https://go.microsoft.com/fwlink/?linkid=2008317.**\n\nShare your work with others\n\nTo invite others to view or edit your documents, select the **Share** button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.\n\nNext steps with Word\n\n**See what’s new in Office** Explore the new and improved features in Word and the other Office apps. Visit **https://go.microsoft.com/fwlink/?linkid=871117** for more information.\n\n**Get free training, tutorials, and videos for Office** Ready to dig deeper into the capabilities that Word has to offer? Visit **https://go.microsoft.com/fwlink/?linkid=871123** to explore our free training options.\n\n**Send us your feedback** Love Word? Got an idea for improvement to share with us? On the **File** menu, select **Feedback** and then follow the prompts to send your suggestions directly to the Word product team. Thank you!",
- "page_start": 3,
- "page_end": 3,
- "source_file": "Word QS.pdf"
- },
- {
- "text": "### **Welcome to Microsoft Teams**\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help you get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team.\n\n**Hit the ground running now!** Build confidence by trying things on your own. Go to the meet now button\n\n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!\n\n**Download** the app for [desktop ](https://www.microsoft.com/microsoft-teams/download-app) and [mobile](https://www.microsoft.com/microsoft-teams/download-app) to access Teams with the best performance anywhere you go.\n\nOnce you [sign in](https://teams.microsoft.com/l/home/_#/) , **connect** with your team in chat, channels, calls, and meetings. **Try out** the different features as you learn about them in this guide. You’ll get the basics in no time!\n\n#### **Set up Explore Practice**",
- "page_start": 0,
- "page_end": 0,
- "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf"
- },
- {
- "text": "#### **Share knowledge**\n\nTeamwork is all about collaboration! **Share with your team best practices** you learn along the way, tips and tricks for how you can best organize your workflows and ask for their own advice to define how you can best use Teams together.\n\n#### **Keep learning Test meetings**\n\nUse the Meet now button in the Calendar tab\n\nThen select “Start meeting”\n\nAnd then \"Join now”\n\n## **Next Steps**\n\nYou will **get the most out of Teams** when you get to truly connect with your team and collaborate together. Keep practicing until each step of your workflow feels natural.\n\nNo matter how you like to learn and practice, we've got resources to support and inspire you:\n\n[Virtual classes:](https://www.microsoft.com/en-us/store/workshops-training-and-events/detail/get-started-with-microsoft-teams?program=Professionals&src=carousel1&pos=0) We have instructors to answer your questions and walk you through all the details. -\n\n-\n\n-\n\n-\n\n[Training series:](https://docs.microsoft.com/learn/paths/teamwork-specialist/) Complete the beginner series of videos at your own pace.\n\n[Support articles and step-by-step guides:](https://support.microsoft.com/teams) To get answers to your most common questions.\n\n[Feature overviews, tutorials, and announcements: ](https://www.youtube.com/c/MicrosoftTeams/featured) Our YouTube channel has carefully curated content to get you excited and show how you can use Teams effortlessly.\n\n1.\n\n2.\n\n3.\n\nHere you can try to share your screen, start a whiteboard or even record yourself while you are practicing a presentation. This is your safe space to test everything out!",
- "page_start": 5,
- "page_end": 5,
- "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf"
- },
- {
- "text": "#### **3.1.9 How to Search for Datasets by Keyword**\n\n(please refer to section 3.2.1)",
- "page_start": 24,
- "page_end": 24,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "### Get help with Word\n\nThe **Tell me** search box takes you straight to commands and Help in Word.\n\n**Try it:** Get help:\n\n**1.** Go to **Tell me what you want to do** at the top of the window.\n\n**2.** Type what you want to do.\n\nFor example, type:\n\n- **Add watermark** to quickly get to the watermark command.\n\n- **Help** to go to Word help.\n\n- **Training** to see the list of Word training courses.\n\n- **What’s new** for a list of the most recent updates to Word\n\n### Let us know what you think\n\nPlease give us feedback on this template , so we can provide content that’s truly useful and\n\nhelpful. Thanks!",
- "page_start": 7,
- "page_end": 7,
- "source_file": "welcome_to_word_template.pdf"
- },
- {
- "text": "###### Board of Directors",
- "page_start": 29,
- "page_end": 29,
- "source_file": "NYSE_HIG_2001.pdf"
- },
- {
- "text": "## BASIC ENGLISH language skills",
- "page_start": 0,
- "page_end": 0,
- "source_file": "basic-english-language-skills.PDF"
- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "Word QS.pdf",
- "query": "How to connect to my Microsoft account from Word?",
- "target_page": 2,
- "target_passage": " Click File > Account to sign in with your Microsoft account",
- "chunk_present": {
- "presence": true,
- "index": 5
- }
- },
- "top_chunk": [
- {
- "text": "Find whatever you need\n\nType a keyword or phrase into the **Search** box to quickly find the Word features and ribbon commands you’re looking for, to discover **Help** content, or to get more information online .\n\nGet other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to **https://go.microsoft.com/fwlink/?linkid=2008317.**\n\nShare your work with others\n\nTo invite others to view or edit your documents, select the **Share** button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.\n\nNext steps with Word\n\n**See what’s new in Office** Explore the new and improved features in Word and the other Office apps. Visit **https://go.microsoft.com/fwlink/?linkid=871117** for more information.\n\n**Get free training, tutorials, and videos for Office** Ready to dig deeper into the capabilities that Word has to offer? Visit **https://go.microsoft.com/fwlink/?linkid=871123** to explore our free training options.\n\n**Send us your feedback** Love Word? Got an idea for improvement to share with us? On the **File** menu, select **Feedback** and then follow the prompts to send your suggestions directly to the Word product team. Thank you!",
- "page_start": 3,
- "page_end": 3,
- "source_file": "Word QS.pdf"
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- "text": "### Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don’t even need Word\n\nto open it.\n\n**Try it:** Select **Share** , and send a link to this document. (keyboard shortcut - Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone’s email address or by copying the link and pasting it\n\ninto a message or chat. If you want them to read the document but not edit it, set their\n\npermission to view-only.\n\nIf they don’t have Word, the document will open in their web browser, in Word Online.\n\n### Add visuals with pictures from the web\n\nWord works with Bing to give you access to thousands of pictures you can use in your\n\ndocuments.\n\n**Try it:** Hit enter after this line to make a blank line:\n\n**1.** With your cursor in the blank space above, go to the Insert tab, select **Online Pictures** ,\n\nand then search for something, like *puppy clip art* .\n\n**2.** Select the picture you want, and select **Insert** .",
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- "text": "Quick Start Guide\n\n## New to Word? Use this guide to learn the basics.\n\n**Save your progress**\n\nSave your work on OneDrive\n\nor SharePoint automatically.\n\n**Find whatever you need**\n\nLook up commands from the ribbon,\n\nget Help, or search the web.\n\n**Discover contextual commands**\n\nSelect tables, pictures, or other objects\n\nin a document to reveal additional\n\noptions.\n\n**Share your work with others**\n\nInvite other people to view and edit\n\ncloud-based documents stored in\n\nOneDrive or on SharePoint sites.\n\n**Navigate with ease**\n\nUse the sidebar to manage long or\n\ncomplex documents. **Show or hide the ribbon**\n\nSelect the arrow icon to show\n\nor hide the Quick Access\n\nToolbar, and change ribbon\n\nsettings.\n\n**Format with the mini toolbar**\n\nSelect or right-click text and objects to\n\nquickly format them in place.\n\n**Status bar shortcuts**\n\nSelect any status bar indicator to\n\nnavigate your document, view word\n\ncount statistics, or check your spelling.\n\n**Change your view**\n\nSelect the status bar buttons to\n\nswitch between views, or use the\n\nslider to magnify the page to\n\nyour liking.",
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- "text": "### Get help with Word\n\nThe **Tell me** search box takes you straight to commands and Help in Word.\n\n**Try it:** Get help:\n\n**1.** Go to **Tell me what you want to do** at the top of the window.\n\n**2.** Type what you want to do.\n\nFor example, type:\n\n- **Add watermark** to quickly get to the watermark command.\n\n- **Help** to go to Word help.\n\n- **Training** to see the list of Word training courses.\n\n- **What’s new** for a list of the most recent updates to Word\n\n### Let us know what you think\n\nPlease give us feedback on this template , so we can provide content that’s truly useful and\n\nhelpful. Thanks!",
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- "text": "### **Amazon Web Services account**\n\nBefore getting started, you must have or create an Amazon Web Services (AWS) account.\n\nAmazon Web Services account 9",
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- "text": "## Welcome to Word\n\n#### Instructions you can edit, share, and print\n\nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will\n\nteach you some basics about Word, but this document isn’t just for reading. It’s for editing too,\n\nso you can learn by doing.\n\nFor practice using Word features, watch for **Try it** text in red throughout this document.\n\n**Time saver:** If you’ve only got a minute\n\nand you want to see how this works,\n\nwatch this Video: Welcome to Word .\n\n### Write eloquently, with a little help\n\nWord automatically checks spelling and grammar, and marks misspelled words with a red\n\nsquiggly underline. Grammatical glitches get a blue double underline.\n\n**Try it:** Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write\n\na sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph.\n\nRight-click the text that’s marked with underlines, or Press F7. Choose a suggestion to correct\n\nthe mistakes.",
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- "query": "What are the products of Hormel Foods Corporation?",
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- "text": "Item 1. BUSINESS\n\nItem 2. PROPERTIES\n\nItem 3. LEGAL PROCEEDINGS\n\nItem 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\n\n##### **PART II**\n\nItem 5. MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\n\nItem 6. SELECTED FINANCIAL DATA\n\nItem 7. MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nItem 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK\n\nItem 8. FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA\n\nItem 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE\n\nItem 9A. CONTROLS AND PROCEDURES\n\n##### **PART III**\n\nItem 10. DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT\n\nItem 11. EXECUTIVE COMPENSATION\n\nItem 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER\n\nMATTERS\n\nItem 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n\nItem 14. PRINCIPAL ACCOUNTING FEES AND SERVICES\n\n##### **PART IV**\n\nItem 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\n\n##### **SIGNATURES**\n\n##### **PART I**\n\n##### **Item 1.** * **BUSINESS** *\n\n##### **Available Information**\n\nThe Company makes available, free of charge on its website at *www.hormel.com* , its annual report on Form 10-K, quarterly reports on Form 10-Q,\n\ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of\n\n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such\n\nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free\n\nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website,\n\nfree of charge, under the caption \"Investor.\"\n\n##### **(a)** * **General Development of Business** *\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company.\n\nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel\n\nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of\n\nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has\n\nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned\n\nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing\n\nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with\n\nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey\n\nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS",
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- "text": "## **Hormel Foods Annual Report 2004**\n\n### **Form 10-K (NYSE:HRL)**\n\n#### Published: January 23rd, 2004\n\nPDF generated by [stocklight.com](http://stocklight.com?gac=annual_report&gaa=pdf_click&gal=NYSE:HRL)",
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- "text": "markets its turkey products through its own sales force and independent brokers.\n\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003\n\nstrengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest\n\ncompanies providing nutritional products to the U.S. healthcare industry.\n\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages\n\nand sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers.\n\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a\n\npresence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the\n\nPhilippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the\n\nPhilippines (Purefoods-Hormel, 40% holding).\n\nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the\n\nCompany have been acquired in the ordinary course of business.\n\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the\n\nbeginning of the fiscal year.\n\n##### **(b)** * **Industry Segment** *\n\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other.\n\nThe contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by\n\nsegment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual\n\nStockholder's Report for the year ended October 25, 2003, incorporated herein by reference.\n\n##### **(c)** * **Description of Business** *\n\n##### **Products and Distribution**\n\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and\n\ncanned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows:\n\nPerishable meat 50.3% 53.0% 54.7%\n\nNonperishable meat 18.9 19.8 21.0\n\nPoultry 22.1 22.6 20.3\n\nOther 8.7 4.6 4.0\n\n100.0% 100.0% 100.0%\n\nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution\n\nchannels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's general-\n\npurpose financial statements.\n\nPerishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon\n\nmeats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen\n\nprocessed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and\n\nsupplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin\n\nproducts. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003),\n\nDiamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\n\nNo new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned\n\nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of\n\nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by\n\ncommon carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada,\n\nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and\n\noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a\n\nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n##### **Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize\n\nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog\n\nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the\n\nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not\n\neliminated the sensitivity of Company results to raw material supply and price fluctuations.",
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- "text": "#### Use these links to rapidly review the document\n\n#### HORMEL FOODS CORPORATION TABLE OF CONTENTS\n\n### **ANNUAL REPORT ON FORM 10-K**\n\n### **HORMEL FOODS CORPORATION**\n\n### **OCTOBER 25, 2003**\n\n### **FORM 10-K**\n\n#### **ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF**\n\n#### **THE SECURITIES EXCHANGE ACT OF 1934**\n\n### **HORMEL FOODS CORPORATION**\n\n(Exact name of registrant as specified in its charter)\n\n##### **DELAWARE 41-0319970**\n\n(State or other jurisdiction of\n\nincorporation or organization)\n\n(I.R.S. Employer\n\nIdentification No.)\n\n## **1 HORMEL PLACE AUSTIN, MINNESOTA 55912-3680**\n\n(Address of principal executive offices) (Zip Code)\n\nRegistrant's telephone number, including area code **(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\n##### **COMMON STOCK, PAR VALUE $.0586 PER SHARE**\n\nTitle of Each Class\n\n##### **NEW YORK STOCK EXCHANGE**\n\nName of Each Exchange\n\nOn Which Registered\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934\n\nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the\n\nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to\n\nthis Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most\n\nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value—138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value—0 shares\n\n##### **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and\n\nincluded as exhibit 13.1 filed herewith.\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **TABLE OF CONTENTS**\n\n##### **PART I**",
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- "text": "##### **YEAR ENDED OCTOBER 25, 2003**\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **Austin, Minnesota**\n\n##### **Item 15(a) (1), (2) and (3) and Item 15 (c) and (d)**\n\n##### **LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its\n\nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\n**Consolidated Statements of Financial Position** —October 25, 2003, and October 26, 2002.\n\n**Consolidated Statements of Operations** —Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\n**Consolidated Statements of Changes in Shareholders' Investment** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Consolidated Statements of Cash Flows** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Notes to Financial Statements** —October 25, 2003.\n\n##### **Report of Independent Auditors**\n\n##### **FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n##### **Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required\n\nunder the related instructions or are inapplicable, and therefore have been omitted.\n\n##### **FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n##### **SCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES**\n\n##### **HORMEL FINANCIAL SERVICES CORPORATION**\n\n##### **(In Thousands)**\n\n**Note (1)** —Uncollectible accounts written off.\n\n**Note (2)** —Recoveries on accounts previously written off.\n\n**Note (3)** —Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\n**Note (4)** —Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n##### **LIST OF EXHIBITS**\n\n##### **HORMEL FOODS CORPORATION**\n\n2.1 <sup>(1)</sup> Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\n\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\n\ndated March 9, 2001, File No. 001-02402.)\n\n3.1 <sup>(1)</sup> Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10-\n\nK/A for the fiscal year ended October 28, 2000, File No. 001-02402.)",
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- "text": "Kurt F. Mueller 47 Vice President Fresh Pork Sales and\n\nMarketing\n\nDirector Fresh Pork Sales and Marketing\n\n11/01/99 to Present\n\n02/03/97 to 10/31/99\n\n1999\n\nGary C. Paxton 58 Vice President Specialty Foods Group\n\nVice President Prepared Foods Operations\n\nVice President Manufacturing\n\n09/29/03 to Present\n\n11/01/99 to 09/30/03\n\n01/27/92 to 10/31/99\n\n1992\n\nLarry J. Pfeil 54 Vice President Engineering\n\nDirector of Engineering\n\nCorporate Manager Engineering\n\n11/01/99 to Present\n\n01/04/99 to 10/31/99\n\n01/13/97 to 01/03/99\n\n1999\n\nDouglas R. Reetz 49 Vice President Grocery Products Sales\n\nDirector Grocery Products Sales and\n\nBusiness Development\n\n11/01/99 to Present\n\n09/15/97 to 10/31/99\n\n1999\n\nJames N. Sheehan 48 Vice President and Controller\n\nTreasurer\n\nPresident Hormel Financial Services\n\nCorporation\n\nCorporate Manager Credit/Claims Hormel\n\nFinancial Services Corporation\n\n05/01/00 to Present\n\n11/01/99 to 04/30/00\n\n09/21/98 to 10/31/99\n\n07/28/97 to 09/20/98\n\n1999\n\nWilliam F. Snyder 46 Vice President Refrigerated Foods\n\nOperations\n\nDirector Fresh Pork Operations\n\nFremont Plant Manager\n\n11/01/99 to Present\n\n09/27/99 to 10/31/99\n\n12/25/95 to 09/26/99\n\n1999\n\nJames M. Splinter 41 Vice President Marketing—Consumer\n\nProducts—Refrigerated Foods\n\nSenior Vice President Retail Division\n\nJennie-O Turkey Store\n\nSenior Vice President Sales and Marketing\n\nJennie-O Turkey Store\n\nGroup Product Manager Grocery Products\n\nSenior Product Manager Grocery Products\n\n06/02/03 to Present\n\n04/30/01 to 06/01/03\n\n09/06/99 to 04/29/01\n\n04/27/98 to 09/05/99\n\n09/30/96 to 04/26/98\n\n2003\n\nJoe C. Swedberg 48 Vice President Legislative Affairs and\n\nMarketing Services\n\nVice President Meat Products Marketing\n\nDirector Meat Products Marketing\n\n06/02/03 to Present\n\n11/01/99 to 06/01/03\n\n01/04/93 to 10/31/99\n\n1999\n\nLarry L. Vorpahl 40 Vice President and General Manager\n\nGrocery Products\n\nVice President Grocery Products Marketing\n\nDirector Grocery Products Marketing\n\n12/01/03 to Present\n\n11/01/99 to 11/30/03\n\n09/30/96 to 10/31/99\n\n1999\n\nJames W. Cavanaugh 54 Corporate Secretary and Senior Attorney\n\nAssistant Secretary and Senior Attorney\n\n01/29/01 to Present\n\n01/29/90 to 01/28/01\n\n2001\n\nNo family relationship exists among the executive officers.\n\nExecutive officers are elected annually by the Board of Directors at the first meeting following the Annual Meeting of Stockholders. Vacancies may be\n\nfilled and additional officers elected at any regular or special meeting.\n\n##### **Item 2.** * **PROPERTIES** *\n\n##### * **Hormel Foods Corporation** *\n\n*Slaughtering and Processing Plants*\n\nAustin, Minnesota 1,292,000 Owned\n\nFremont, Nebraska 655,000 Owned\n\n*Processing Plants*\n\nAlgona, Iowa 153,000 Owned\n\nAurora, Illinois 141,000 Owned\n\nBeloit, Wisconsin 339,000 Owned\n\nFt. Dodge, Iowa 17,000 Owned",
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- "text": "##### **(d)** * **Executive Officers of the Registrant** *\n\nJoel W. Johnson 60 Chairman of the Board, President and Chief\n\nExecutive Officer\n\n12/08/95 to Present 1991\n\nMichael J. McCoy 56 Executive Vice President and Chief\n\nFinancial Officer\n\nSenior Vice President and Chief Financial\n\nOfficer\n\nVice President and Controller\n\nVice President and Treasurer\n\n10/29/01 to Present\n\n05/01/00 to 10/28/01\n\n04/27/98 to 04/30/00\n\n01/27/97 to 04/26/98\n\n1996\n\nGary J. Ray 57 Executive Vice President Refrigerated Foods\n\nExecutive Vice President Operations\n\n11/01/99 to Present\n\n07/27/92 to 10/31/99\n\n1988\n\nEric A. Brown 57 Group Vice President Prepared Foods 12/02/96 to Present 1987\n\nSteven G. Binder 46 Group Vice President Foodservice\n\nVice President Foodservice\n\nDirector Foodservice Sales\n\n10/30/00 to Present\n\n11/02/98 to 10/29/00\n\n12/30/96 to 11/01/98\n\n1998\n\nRichard A. Bross 52 Group Vice President Hormel/President\n\nHormel Foods International Corporation\n\nVice President Hormel/President Hormel\n\nFoods International Corporation\n\nVice President Grocery Products\n\n10/29/01 to Present\n\n11/01/99 to 10/28/01\n\n01/30/95 to 10/31/99\n\n1995\n\nJeffrey M. Ettinger 45 Group Vice President Hormel/President and\n\nChief Executive Officer Jennie-O Turkey\n\nStore\n\nGroup Vice President Hormel/President and\n\nChief Operating Officer Jennie-O Turkey\n\nStore\n\nVice President Hormel/President and\n\nChief Operating Officer Jennie-O Turkey\n\nStore\n\nVice President Hormel/President and Chief\n\nExecutive Officer Jennie-O Foods\n\nVice President Hormel/Jennie-O Foods\n\nTreasurer\n\nAssistant Treasurer\n\n03/03/03 to Present\n\n10/29/01 to 03/02/03\n\n04/30/01 to 10/28/01\n\n01/31/00 to 04/29/01\n\n11/01/99 to 01/30/00\n\n04/27/98 to 10/31/99\n\n11/24/97 to 04/26/98\n\n1998\n\nRonald W. Fielding 50 Group Vice President Sales Strategy\n\nGroup Vice President Meat Products\n\nVice President Hormel/President Hormel\n\nFoods International Corporation\n\n06/02/03 to Present\n\n11/01/99 to 06/01/03\n\n01/27/97 to 10/31/99\n\n1997\n\nJames A. Jorgenson 59 Senior Vice President Corporate Staff\n\nVice President Human Resources\n\n11/01/99 to Present\n\n12/30/91 to 10/31/99\n\n1990\n\nMahlon C. Schneider 64 Senior Vice President External Affairs and\n\nGeneral Counsel\n\nVice President and General Counsel\n\n11/01/99 to Present\n\n11/19/90 to 10/31/99\n\n1990\n\nThomas R. Day 45 Vice President Foodservice Sales\n\nDirector Foodservice Sales\n\nDirector Dubuque Foods Incorporated\n\nFoodservice Sales and Marketing\n\n10/30/00 to Present\n\n11/02/98 to 10/29/00\n\n03/07/94 to 11/01/98\n\n2000\n\nForrest D. Dryden 60 Vice President Research and Development 01/26/87 to Present 1987\n\nJody H. Feragen 47 Vice President and Treasurer\n\nTreasurer\n\nAssistant Treasurer, National Computer\n\nSystems in Eden Prairie, Minnesota, a\n\ndata collection and software company\n\n10/29/01 to Present 10/30/00 to\n\n10/28/01\n\n12/01/95 to 10/30/00\n\n2000\n\nDennis B. Goettsch 50 Vice President Foodservice Marketing\n\nDirector Foodservice Marketing\n\n10/30/00 to Present\n\n10/01/90 to 10/29/00\n\n2000\n\nDaniel A. Hartzog 52 Vice President Meat Products Sales\n\nDirector of Meat Products Business\n\nDevelopment\n\nMeat Products Regional Sales Manager\n\n10/30/00 to Present\n\n07/03/00 to 10/29/00\n\n09/19/88 to 07/02/00\n\n2000",
- "page_start": 5,
- "page_end": 5,
- "source_file": "NYSE_HRL_2004.pdf"
- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "#### Balanced growth. Product diversity. Market leadership.\n\n#### These continue to stand as signs of our strength.\n\n## 5",
- "page_start": 6,
- "page_end": 6,
- "source_file": "NASDAQ_ATRI_2003.pdf"
- },
- {
- "text": "#### We focus on the fundamentals of growth.\n\n#### Profitability. Productivity. Strategic management.\n\n## 3",
- "page_start": 4,
- "page_end": 4,
- "source_file": "NASDAQ_ATRI_2003.pdf"
- }
- ]
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- {
- "references": {
- "source_file": "NYSE_HRL_2004.pdf",
- "query": "Where are Hormel Foods Corporation plants located? ",
- "target_page": 5,
- "target_passage": "has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China",
- "chunk_present": {
- "presence": true,
- "index": 8
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- "text": "Item 1. BUSINESS\n\nItem 2. PROPERTIES\n\nItem 3. LEGAL PROCEEDINGS\n\nItem 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\n\n##### **PART II**\n\nItem 5. MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\n\nItem 6. SELECTED FINANCIAL DATA\n\nItem 7. MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nItem 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK\n\nItem 8. FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA\n\nItem 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE\n\nItem 9A. CONTROLS AND PROCEDURES\n\n##### **PART III**\n\nItem 10. DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT\n\nItem 11. EXECUTIVE COMPENSATION\n\nItem 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER\n\nMATTERS\n\nItem 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n\nItem 14. PRINCIPAL ACCOUNTING FEES AND SERVICES\n\n##### **PART IV**\n\nItem 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\n\n##### **SIGNATURES**\n\n##### **PART I**\n\n##### **Item 1.** * **BUSINESS** *\n\n##### **Available Information**\n\nThe Company makes available, free of charge on its website at *www.hormel.com* , its annual report on Form 10-K, quarterly reports on Form 10-Q,\n\ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of\n\n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such\n\nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free\n\nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website,\n\nfree of charge, under the caption \"Investor.\"\n\n##### **(a)** * **General Development of Business** *\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company.\n\nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel\n\nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of\n\nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has\n\nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned\n\nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing\n\nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with\n\nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey\n\nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS",
- "page_start": 2,
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- "text": "Kurt F. Mueller 47 Vice President Fresh Pork Sales and\n\nMarketing\n\nDirector Fresh Pork Sales and Marketing\n\n11/01/99 to Present\n\n02/03/97 to 10/31/99\n\n1999\n\nGary C. Paxton 58 Vice President Specialty Foods Group\n\nVice President Prepared Foods Operations\n\nVice President Manufacturing\n\n09/29/03 to Present\n\n11/01/99 to 09/30/03\n\n01/27/92 to 10/31/99\n\n1992\n\nLarry J. Pfeil 54 Vice President Engineering\n\nDirector of Engineering\n\nCorporate Manager Engineering\n\n11/01/99 to Present\n\n01/04/99 to 10/31/99\n\n01/13/97 to 01/03/99\n\n1999\n\nDouglas R. Reetz 49 Vice President Grocery Products Sales\n\nDirector Grocery Products Sales and\n\nBusiness Development\n\n11/01/99 to Present\n\n09/15/97 to 10/31/99\n\n1999\n\nJames N. Sheehan 48 Vice President and Controller\n\nTreasurer\n\nPresident Hormel Financial Services\n\nCorporation\n\nCorporate Manager Credit/Claims Hormel\n\nFinancial Services Corporation\n\n05/01/00 to Present\n\n11/01/99 to 04/30/00\n\n09/21/98 to 10/31/99\n\n07/28/97 to 09/20/98\n\n1999\n\nWilliam F. Snyder 46 Vice President Refrigerated Foods\n\nOperations\n\nDirector Fresh Pork Operations\n\nFremont Plant Manager\n\n11/01/99 to Present\n\n09/27/99 to 10/31/99\n\n12/25/95 to 09/26/99\n\n1999\n\nJames M. Splinter 41 Vice President Marketing—Consumer\n\nProducts—Refrigerated Foods\n\nSenior Vice President Retail Division\n\nJennie-O Turkey Store\n\nSenior Vice President Sales and Marketing\n\nJennie-O Turkey Store\n\nGroup Product Manager Grocery Products\n\nSenior Product Manager Grocery Products\n\n06/02/03 to Present\n\n04/30/01 to 06/01/03\n\n09/06/99 to 04/29/01\n\n04/27/98 to 09/05/99\n\n09/30/96 to 04/26/98\n\n2003\n\nJoe C. Swedberg 48 Vice President Legislative Affairs and\n\nMarketing Services\n\nVice President Meat Products Marketing\n\nDirector Meat Products Marketing\n\n06/02/03 to Present\n\n11/01/99 to 06/01/03\n\n01/04/93 to 10/31/99\n\n1999\n\nLarry L. Vorpahl 40 Vice President and General Manager\n\nGrocery Products\n\nVice President Grocery Products Marketing\n\nDirector Grocery Products Marketing\n\n12/01/03 to Present\n\n11/01/99 to 11/30/03\n\n09/30/96 to 10/31/99\n\n1999\n\nJames W. Cavanaugh 54 Corporate Secretary and Senior Attorney\n\nAssistant Secretary and Senior Attorney\n\n01/29/01 to Present\n\n01/29/90 to 01/28/01\n\n2001\n\nNo family relationship exists among the executive officers.\n\nExecutive officers are elected annually by the Board of Directors at the first meeting following the Annual Meeting of Stockholders. Vacancies may be\n\nfilled and additional officers elected at any regular or special meeting.\n\n##### **Item 2.** * **PROPERTIES** *\n\n##### * **Hormel Foods Corporation** *\n\n*Slaughtering and Processing Plants*\n\nAustin, Minnesota 1,292,000 Owned\n\nFremont, Nebraska 655,000 Owned\n\n*Processing Plants*\n\nAlgona, Iowa 153,000 Owned\n\nAurora, Illinois 141,000 Owned\n\nBeloit, Wisconsin 339,000 Owned\n\nFt. Dodge, Iowa 17,000 Owned",
- "page_start": 6,
- "page_end": 6,
- "source_file": "NYSE_HRL_2004.pdf"
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- "text": "## **Hormel Foods Annual Report 2004**\n\n### **Form 10-K (NYSE:HRL)**\n\n#### Published: January 23rd, 2004\n\nPDF generated by [stocklight.com](http://stocklight.com?gac=annual_report&gaa=pdf_click&gal=NYSE:HRL)",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NYSE_HRL_2004.pdf"
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- "text": "#### Use these links to rapidly review the document\n\n#### HORMEL FOODS CORPORATION TABLE OF CONTENTS\n\n### **ANNUAL REPORT ON FORM 10-K**\n\n### **HORMEL FOODS CORPORATION**\n\n### **OCTOBER 25, 2003**\n\n### **FORM 10-K**\n\n#### **ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF**\n\n#### **THE SECURITIES EXCHANGE ACT OF 1934**\n\n### **HORMEL FOODS CORPORATION**\n\n(Exact name of registrant as specified in its charter)\n\n##### **DELAWARE 41-0319970**\n\n(State or other jurisdiction of\n\nincorporation or organization)\n\n(I.R.S. Employer\n\nIdentification No.)\n\n## **1 HORMEL PLACE AUSTIN, MINNESOTA 55912-3680**\n\n(Address of principal executive offices) (Zip Code)\n\nRegistrant's telephone number, including area code **(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\n##### **COMMON STOCK, PAR VALUE $.0586 PER SHARE**\n\nTitle of Each Class\n\n##### **NEW YORK STOCK EXCHANGE**\n\nName of Each Exchange\n\nOn Which Registered\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934\n\nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the\n\nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to\n\nthis Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most\n\nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value—138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value—0 shares\n\n##### **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and\n\nincluded as exhibit 13.1 filed herewith.\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **TABLE OF CONTENTS**\n\n##### **PART I**",
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- "text": "Corporate Headquarters\n\n1 Applied Plaza\n\nCleveland, Ohio 44115\n\n216/426-4000\n\n**Applied.com**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "NYSE_AIT_2012.pdf"
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- "text": "##### **YEAR ENDED OCTOBER 25, 2003**\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **Austin, Minnesota**\n\n##### **Item 15(a) (1), (2) and (3) and Item 15 (c) and (d)**\n\n##### **LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its\n\nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\n**Consolidated Statements of Financial Position** —October 25, 2003, and October 26, 2002.\n\n**Consolidated Statements of Operations** —Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\n**Consolidated Statements of Changes in Shareholders' Investment** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Consolidated Statements of Cash Flows** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Notes to Financial Statements** —October 25, 2003.\n\n##### **Report of Independent Auditors**\n\n##### **FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n##### **Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required\n\nunder the related instructions or are inapplicable, and therefore have been omitted.\n\n##### **FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n##### **SCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES**\n\n##### **HORMEL FINANCIAL SERVICES CORPORATION**\n\n##### **(In Thousands)**\n\n**Note (1)** —Uncollectible accounts written off.\n\n**Note (2)** —Recoveries on accounts previously written off.\n\n**Note (3)** —Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\n**Note (4)** —Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n##### **LIST OF EXHIBITS**\n\n##### **HORMEL FOODS CORPORATION**\n\n2.1 <sup>(1)</sup> Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\n\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\n\ndated March 9, 2001, File No. 001-02402.)\n\n3.1 <sup>(1)</sup> Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10-\n\nK/A for the fiscal year ended October 28, 2000, File No. 001-02402.)",
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- "text": "markets its turkey products through its own sales force and independent brokers.\n\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003\n\nstrengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest\n\ncompanies providing nutritional products to the U.S. healthcare industry.\n\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages\n\nand sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers.\n\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a\n\npresence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the\n\nPhilippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the\n\nPhilippines (Purefoods-Hormel, 40% holding).\n\nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the\n\nCompany have been acquired in the ordinary course of business.\n\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the\n\nbeginning of the fiscal year.\n\n##### **(b)** * **Industry Segment** *\n\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other.\n\nThe contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by\n\nsegment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual\n\nStockholder's Report for the year ended October 25, 2003, incorporated herein by reference.\n\n##### **(c)** * **Description of Business** *\n\n##### **Products and Distribution**\n\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and\n\ncanned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows:\n\nPerishable meat 50.3% 53.0% 54.7%\n\nNonperishable meat 18.9 19.8 21.0\n\nPoultry 22.1 22.6 20.3\n\nOther 8.7 4.6 4.0\n\n100.0% 100.0% 100.0%\n\nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution\n\nchannels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's general-\n\npurpose financial statements.\n\nPerishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon\n\nmeats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen\n\nprocessed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and\n\nsupplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin\n\nproducts. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003),\n\nDiamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\n\nNo new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned\n\nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of\n\nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by\n\ncommon carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada,\n\nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and\n\noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a\n\nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n##### **Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize\n\nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog\n\nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the\n\nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not\n\neliminated the sensitivity of Company results to raw material supply and price fluctuations.",
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- "text": "##### **(d)** * **Executive Officers of the Registrant** *\n\nJoel W. Johnson 60 Chairman of the Board, President and Chief\n\nExecutive Officer\n\n12/08/95 to Present 1991\n\nMichael J. McCoy 56 Executive Vice President and Chief\n\nFinancial Officer\n\nSenior Vice President and Chief Financial\n\nOfficer\n\nVice President and Controller\n\nVice President and Treasurer\n\n10/29/01 to Present\n\n05/01/00 to 10/28/01\n\n04/27/98 to 04/30/00\n\n01/27/97 to 04/26/98\n\n1996\n\nGary J. Ray 57 Executive Vice President Refrigerated Foods\n\nExecutive Vice President Operations\n\n11/01/99 to Present\n\n07/27/92 to 10/31/99\n\n1988\n\nEric A. Brown 57 Group Vice President Prepared Foods 12/02/96 to Present 1987\n\nSteven G. Binder 46 Group Vice President Foodservice\n\nVice President Foodservice\n\nDirector Foodservice Sales\n\n10/30/00 to Present\n\n11/02/98 to 10/29/00\n\n12/30/96 to 11/01/98\n\n1998\n\nRichard A. Bross 52 Group Vice President Hormel/President\n\nHormel Foods International Corporation\n\nVice President Hormel/President Hormel\n\nFoods International Corporation\n\nVice President Grocery Products\n\n10/29/01 to Present\n\n11/01/99 to 10/28/01\n\n01/30/95 to 10/31/99\n\n1995\n\nJeffrey M. Ettinger 45 Group Vice President Hormel/President and\n\nChief Executive Officer Jennie-O Turkey\n\nStore\n\nGroup Vice President Hormel/President and\n\nChief Operating Officer Jennie-O Turkey\n\nStore\n\nVice President Hormel/President and\n\nChief Operating Officer Jennie-O Turkey\n\nStore\n\nVice President Hormel/President and Chief\n\nExecutive Officer Jennie-O Foods\n\nVice President Hormel/Jennie-O Foods\n\nTreasurer\n\nAssistant Treasurer\n\n03/03/03 to Present\n\n10/29/01 to 03/02/03\n\n04/30/01 to 10/28/01\n\n01/31/00 to 04/29/01\n\n11/01/99 to 01/30/00\n\n04/27/98 to 10/31/99\n\n11/24/97 to 04/26/98\n\n1998\n\nRonald W. Fielding 50 Group Vice President Sales Strategy\n\nGroup Vice President Meat Products\n\nVice President Hormel/President Hormel\n\nFoods International Corporation\n\n06/02/03 to Present\n\n11/01/99 to 06/01/03\n\n01/27/97 to 10/31/99\n\n1997\n\nJames A. Jorgenson 59 Senior Vice President Corporate Staff\n\nVice President Human Resources\n\n11/01/99 to Present\n\n12/30/91 to 10/31/99\n\n1990\n\nMahlon C. Schneider 64 Senior Vice President External Affairs and\n\nGeneral Counsel\n\nVice President and General Counsel\n\n11/01/99 to Present\n\n11/19/90 to 10/31/99\n\n1990\n\nThomas R. Day 45 Vice President Foodservice Sales\n\nDirector Foodservice Sales\n\nDirector Dubuque Foods Incorporated\n\nFoodservice Sales and Marketing\n\n10/30/00 to Present\n\n11/02/98 to 10/29/00\n\n03/07/94 to 11/01/98\n\n2000\n\nForrest D. Dryden 60 Vice President Research and Development 01/26/87 to Present 1987\n\nJody H. Feragen 47 Vice President and Treasurer\n\nTreasurer\n\nAssistant Treasurer, National Computer\n\nSystems in Eden Prairie, Minnesota, a\n\ndata collection and software company\n\n10/29/01 to Present 10/30/00 to\n\n10/28/01\n\n12/01/95 to 10/30/00\n\n2000\n\nDennis B. Goettsch 50 Vice President Foodservice Marketing\n\nDirector Foodservice Marketing\n\n10/30/00 to Present\n\n10/01/90 to 10/29/00\n\n2000\n\nDaniel A. Hartzog 52 Vice President Meat Products Sales\n\nDirector of Meat Products Business\n\nDevelopment\n\nMeat Products Regional Sales Manager\n\n10/30/00 to Present\n\n07/03/00 to 10/29/00\n\n09/19/88 to 07/02/00\n\n2000",
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- "text": "Livestock slaughtered by the Company is purchased by Company buyers and commission dealers at sale barns and terminal markets or under long-term\n\nsupply contracts at locations principally in Minnesota, Illinois, Iowa, Nebraska, Colorado and South Dakota. The cost of livestock and the utilization of the\n\nCompany's facilities are affected by both the level and the methods of pork production in the United States. The hog production industry has been rapidly\n\nmoving to very large, vertically integrated, year-round confinement operations operating under long-term supply agreements. This has resulted in fewer\n\nhogs being available on the spot cash market, which decreases the supply of hogs on the open market and can severely diminish the utilization of\n\nslaughter facilities and increase the cost of the raw materials they produce. The Company, along with others in the industry, uses long-term supply\n\ncontracts to manage the effects of this trend and to assure a stable supply of raw materials while minimizing extreme fluctuations in costs over the long-\n\nterm. This may result in costs for live hogs that are either higher or lower than the spot cash market depending on the relationship of the cash spot\n\nmarket to contract prices. Contract costs are fully reflected in the Company's reported financial results. In fiscal 2003, the Company purchased 79 percent\n\nof its hogs under long-term supply contracts.\n\nIn fiscal 2003, JOTS raised approximately 57 percent of the turkeys needed to meet its raw material requirements for whole bird and processed turkey\n\nproducts. Turkeys not sourced within the Company are contracted with independent turkey growers. JOTS' turkey-raising farms are located throughout\n\nMinnesota and Wisconsin. Production costs in raising turkeys are primarily subject to fluctuations in feed grain prices and to a lesser extent fuel costs.\n\n##### **Manufacturing**\n\nThe Company has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China that slaughter livestock for processing. Quality Pork Processors of\n\nDallas, Texas, operates the slaughter facility at Austin under a custom slaughter arrangement.\n\nFacilities that produce manufactured items are located in Algona, Iowa; Aurora, Illinois; Austin, Minnesota; Beloit, Wisconsin; Bondurant, Iowa; Ft. Dodge,\n\nIowa; Fremont, Nebraska; Houston, Texas; Knoxville, Iowa; Mitchellville, Iowa; Osceola, Iowa; Perrysburg, Ohio; Quakertown, Pennsylvania; Rochelle,\n\nIllinois; Savannah, Georgia; Sparta, Wisconsin; Stockton, California; Tucker, Georgia; Visalia, California; Wichita, Kansas; Beijing, China; and Shanghai,\n\nChina. Company products are also custom manufactured by several other companies. The following are the Company's larger custom manufacturers:\n\nLakeside Packing Company, Manitowoc, Wisconsin; Schroeder Milk, Maplewood, Minnesota; Steuben Foods, Jamaica, New York; Power Packaging, St.\n\nCharles, Illinois; Criders, Stilmore, Georgia; Tony Downs, St. James, Minnesota; and Concept Foods, Alma, Kansas. Power\n\nLogistics, Inc., based in St. Charles, Illinois, operates distribution centers for the Company in Dayton, Ohio, and Osceola, Iowa.\n\nThe Company's turkey slaughter and processing operations are located in Barron, Wisconsin; Faribault, Minnesota; Melrose, Minnesota; Montevideo,\n\nMinnesota; Pelican Rapids, Minnesota; and Willmar, Minnesota.\n\n##### **Patents and Trademarks**\n\nThere are numerous patents and trademarks that are important to the Company's business. The Company holds seven foreign and 47 U.S. issued\n\npatents. Some of the trademarks are registered and some are not. In recognition of the importance of these assets, the Company created a subsidiary,\n\nHormel Foods, LLC, in 1998 to create, own, maintain and protect most of the Company's trademarks and patents. Some of the more significant owned or\n\nlicensed trademarks used in the Company's segments are:\n\nHORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S\n\nPRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF\n\nTSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD\n\nSMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG,\n\nSWEET THING, THICK & EASY and WRANGLERS.\n\n##### **Customers and Backlog Orders**\n\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up\n\napproximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS,\n\n51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material\n\nadverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders\n\nare accepted and shipped on a current basis.\n\n##### **Competition**\n\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with\n\nmanufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish.\n\nThe Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and\n\nConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc.\n\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong\n\nquality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then\n\nsupport higher value perceptions from customers.\n\nThe Company competes using this same strategy in international markets around the world.\n\n##### **Research and Development**\n\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The\n\nexpenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42\n\nprofessional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products.\n\n##### **Employees**\n\nAs of October 25, 2003, the Company had over 16,000 active employees.",
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- "query": "Does Hormel Food Corporation have any material legal proceedings pending?",
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- "target_passage": "The Company knows of no pending material legal proceedings.",
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- "text": "Item 1. BUSINESS\n\nItem 2. PROPERTIES\n\nItem 3. LEGAL PROCEEDINGS\n\nItem 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\n\n##### **PART II**\n\nItem 5. MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\n\nItem 6. SELECTED FINANCIAL DATA\n\nItem 7. MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nItem 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK\n\nItem 8. FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA\n\nItem 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE\n\nItem 9A. CONTROLS AND PROCEDURES\n\n##### **PART III**\n\nItem 10. DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT\n\nItem 11. EXECUTIVE COMPENSATION\n\nItem 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER\n\nMATTERS\n\nItem 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n\nItem 14. PRINCIPAL ACCOUNTING FEES AND SERVICES\n\n##### **PART IV**\n\nItem 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\n\n##### **SIGNATURES**\n\n##### **PART I**\n\n##### **Item 1.** * **BUSINESS** *\n\n##### **Available Information**\n\nThe Company makes available, free of charge on its website at *www.hormel.com* , its annual report on Form 10-K, quarterly reports on Form 10-Q,\n\ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of\n\n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such\n\nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free\n\nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website,\n\nfree of charge, under the caption \"Investor.\"\n\n##### **(a)** * **General Development of Business** *\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company.\n\nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel\n\nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of\n\nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has\n\nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned\n\nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing\n\nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with\n\nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey\n\nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS",
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- "text": "## **Hormel Foods Annual Report 2004**\n\n### **Form 10-K (NYSE:HRL)**\n\n#### Published: January 23rd, 2004\n\nPDF generated by [stocklight.com](http://stocklight.com?gac=annual_report&gaa=pdf_click&gal=NYSE:HRL)",
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- "text": "#### Use these links to rapidly review the document\n\n#### HORMEL FOODS CORPORATION TABLE OF CONTENTS\n\n### **ANNUAL REPORT ON FORM 10-K**\n\n### **HORMEL FOODS CORPORATION**\n\n### **OCTOBER 25, 2003**\n\n### **FORM 10-K**\n\n#### **ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF**\n\n#### **THE SECURITIES EXCHANGE ACT OF 1934**\n\n### **HORMEL FOODS CORPORATION**\n\n(Exact name of registrant as specified in its charter)\n\n##### **DELAWARE 41-0319970**\n\n(State or other jurisdiction of\n\nincorporation or organization)\n\n(I.R.S. Employer\n\nIdentification No.)\n\n## **1 HORMEL PLACE AUSTIN, MINNESOTA 55912-3680**\n\n(Address of principal executive offices) (Zip Code)\n\nRegistrant's telephone number, including area code **(507) 437-5611**\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\n##### **COMMON STOCK, PAR VALUE $.0586 PER SHARE**\n\nTitle of Each Class\n\n##### **NEW YORK STOCK EXCHANGE**\n\nName of Each Exchange\n\nOn Which Registered\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934\n\nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the\n\nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to\n\nthis Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most\n\nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value—138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value—0 shares\n\n##### **DOCUMENTS INCORPORATED BY REFERENCE**\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and\n\nincluded as exhibit 13.1 filed herewith.\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **TABLE OF CONTENTS**\n\n##### **PART I**",
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- "text": "##### **YEAR ENDED OCTOBER 25, 2003**\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **Austin, Minnesota**\n\n##### **Item 15(a) (1), (2) and (3) and Item 15 (c) and (d)**\n\n##### **LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES**\n\n##### **HORMEL FOODS CORPORATION**\n\n##### **FINANCIAL STATEMENTS**\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its\n\nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\n**Consolidated Statements of Financial Position** —October 25, 2003, and October 26, 2002.\n\n**Consolidated Statements of Operations** —Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\n**Consolidated Statements of Changes in Shareholders' Investment** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Consolidated Statements of Cash Flows** —Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\n**Notes to Financial Statements** —October 25, 2003.\n\n##### **Report of Independent Auditors**\n\n##### **FINANCIAL STATEMENT SCHEDULES**\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n##### **Schedule II—Valuation and Qualifying Accounts and Reserves...F-3**\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required\n\nunder the related instructions or are inapplicable, and therefore have been omitted.\n\n##### **FINANCIAL STATEMENTS AND SCHEDULES OMITTED**\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n##### **SCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES**\n\n##### **HORMEL FINANCIAL SERVICES CORPORATION**\n\n##### **(In Thousands)**\n\n**Note (1)** —Uncollectible accounts written off.\n\n**Note (2)** —Recoveries on accounts previously written off.\n\n**Note (3)** —Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\n**Note (4)** —Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n##### **LIST OF EXHIBITS**\n\n##### **HORMEL FOODS CORPORATION**\n\n2.1 <sup>(1)</sup> Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\n\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\n\ndated March 9, 2001, File No. 001-02402.)\n\n3.1 <sup>(1)</sup> Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10-\n\nK/A for the fiscal year ended October 28, 2000, File No. 001-02402.)",
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- "text": "3.2 <sup>(1)</sup> Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on\n\nForm S-4, dated November 29, 2001, File No. 333-68498.)\n\n4.1 <sup>(1)</sup> Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain\n\noutstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated,\n\nAugust 28, 2001, File No. 333-68498.)\n\n4.2 <sup>(1)</sup> Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank\n\nTrust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to\n\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n\n4.3 <sup>(1)</sup> Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The\n\nDepository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to\n\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n\n4.4 <sup>(1)</sup> Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are\n\nnot filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request.\n\n10.1 <sup>(1)</sup> U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages\n\nthereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report\n\non Form 8-K dated October 23, 2003.)\n\n10.2 <sup>(1)(3)</sup> Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to\n\nHormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.)\n\n10.3 <sup>(1)(3)</sup> Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to\n\nExhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.)\n\n10.4 <sup>(1)(3)</sup> Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy\n\nStatement filed on December 30, 1999, File No. 001-02402.)\n\n(1) Document has previously been filed with the Securities and Exchange Commission and is incorporated herein by reference.\n\n(2) These Exhibits transmitted via EDGAR.\n\n(3) Management compensatory plan",
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- "text": "markets its turkey products through its own sales force and independent brokers.\n\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003\n\nstrengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest\n\ncompanies providing nutritional products to the U.S. healthcare industry.\n\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages\n\nand sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers.\n\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a\n\npresence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the\n\nPhilippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the\n\nPhilippines (Purefoods-Hormel, 40% holding).\n\nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the\n\nCompany have been acquired in the ordinary course of business.\n\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the\n\nbeginning of the fiscal year.\n\n##### **(b)** * **Industry Segment** *\n\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other.\n\nThe contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by\n\nsegment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual\n\nStockholder's Report for the year ended October 25, 2003, incorporated herein by reference.\n\n##### **(c)** * **Description of Business** *\n\n##### **Products and Distribution**\n\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and\n\ncanned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows:\n\nPerishable meat 50.3% 53.0% 54.7%\n\nNonperishable meat 18.9 19.8 21.0\n\nPoultry 22.1 22.6 20.3\n\nOther 8.7 4.6 4.0\n\n100.0% 100.0% 100.0%\n\nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution\n\nchannels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's general-\n\npurpose financial statements.\n\nPerishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon\n\nmeats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen\n\nprocessed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and\n\nsupplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin\n\nproducts. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003),\n\nDiamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\n\nNo new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned\n\nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of\n\nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by\n\ncommon carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada,\n\nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and\n\noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a\n\nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n##### **Raw Materials**\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize\n\nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog\n\nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the\n\nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not\n\neliminated the sensitivity of Company results to raw material supply and price fluctuations.",
- "page_start": 3,
- "page_end": 3,
- "source_file": "NYSE_HRL_2004.pdf"
- },
- {
- "text": "Kurt F. Mueller 47 Vice President Fresh Pork Sales and\n\nMarketing\n\nDirector Fresh Pork Sales and Marketing\n\n11/01/99 to Present\n\n02/03/97 to 10/31/99\n\n1999\n\nGary C. Paxton 58 Vice President Specialty Foods Group\n\nVice President Prepared Foods Operations\n\nVice President Manufacturing\n\n09/29/03 to Present\n\n11/01/99 to 09/30/03\n\n01/27/92 to 10/31/99\n\n1992\n\nLarry J. Pfeil 54 Vice President Engineering\n\nDirector of Engineering\n\nCorporate Manager Engineering\n\n11/01/99 to Present\n\n01/04/99 to 10/31/99\n\n01/13/97 to 01/03/99\n\n1999\n\nDouglas R. Reetz 49 Vice President Grocery Products Sales\n\nDirector Grocery Products Sales and\n\nBusiness Development\n\n11/01/99 to Present\n\n09/15/97 to 10/31/99\n\n1999\n\nJames N. Sheehan 48 Vice President and Controller\n\nTreasurer\n\nPresident Hormel Financial Services\n\nCorporation\n\nCorporate Manager Credit/Claims Hormel\n\nFinancial Services Corporation\n\n05/01/00 to Present\n\n11/01/99 to 04/30/00\n\n09/21/98 to 10/31/99\n\n07/28/97 to 09/20/98\n\n1999\n\nWilliam F. Snyder 46 Vice President Refrigerated Foods\n\nOperations\n\nDirector Fresh Pork Operations\n\nFremont Plant Manager\n\n11/01/99 to Present\n\n09/27/99 to 10/31/99\n\n12/25/95 to 09/26/99\n\n1999\n\nJames M. Splinter 41 Vice President Marketing—Consumer\n\nProducts—Refrigerated Foods\n\nSenior Vice President Retail Division\n\nJennie-O Turkey Store\n\nSenior Vice President Sales and Marketing\n\nJennie-O Turkey Store\n\nGroup Product Manager Grocery Products\n\nSenior Product Manager Grocery Products\n\n06/02/03 to Present\n\n04/30/01 to 06/01/03\n\n09/06/99 to 04/29/01\n\n04/27/98 to 09/05/99\n\n09/30/96 to 04/26/98\n\n2003\n\nJoe C. Swedberg 48 Vice President Legislative Affairs and\n\nMarketing Services\n\nVice President Meat Products Marketing\n\nDirector Meat Products Marketing\n\n06/02/03 to Present\n\n11/01/99 to 06/01/03\n\n01/04/93 to 10/31/99\n\n1999\n\nLarry L. Vorpahl 40 Vice President and General Manager\n\nGrocery Products\n\nVice President Grocery Products Marketing\n\nDirector Grocery Products Marketing\n\n12/01/03 to Present\n\n11/01/99 to 11/30/03\n\n09/30/96 to 10/31/99\n\n1999\n\nJames W. Cavanaugh 54 Corporate Secretary and Senior Attorney\n\nAssistant Secretary and Senior Attorney\n\n01/29/01 to Present\n\n01/29/90 to 01/28/01\n\n2001\n\nNo family relationship exists among the executive officers.\n\nExecutive officers are elected annually by the Board of Directors at the first meeting following the Annual Meeting of Stockholders. Vacancies may be\n\nfilled and additional officers elected at any regular or special meeting.\n\n##### **Item 2.** * **PROPERTIES** *\n\n##### * **Hormel Foods Corporation** *\n\n*Slaughtering and Processing Plants*\n\nAustin, Minnesota 1,292,000 Owned\n\nFremont, Nebraska 655,000 Owned\n\n*Processing Plants*\n\nAlgona, Iowa 153,000 Owned\n\nAurora, Illinois 141,000 Owned\n\nBeloit, Wisconsin 339,000 Owned\n\nFt. Dodge, Iowa 17,000 Owned",
- "page_start": 6,
- "page_end": 6,
- "source_file": "NYSE_HRL_2004.pdf"
- },
- {
- "text": "##### **(d)** * **Executive Officers of the Registrant** *\n\nJoel W. Johnson 60 Chairman of the Board, President and Chief\n\nExecutive Officer\n\n12/08/95 to Present 1991\n\nMichael J. McCoy 56 Executive Vice President and Chief\n\nFinancial Officer\n\nSenior Vice President and Chief Financial\n\nOfficer\n\nVice President and Controller\n\nVice President and Treasurer\n\n10/29/01 to Present\n\n05/01/00 to 10/28/01\n\n04/27/98 to 04/30/00\n\n01/27/97 to 04/26/98\n\n1996\n\nGary J. Ray 57 Executive Vice President Refrigerated Foods\n\nExecutive Vice President Operations\n\n11/01/99 to Present\n\n07/27/92 to 10/31/99\n\n1988\n\nEric A. Brown 57 Group Vice President Prepared Foods 12/02/96 to Present 1987\n\nSteven G. Binder 46 Group Vice President Foodservice\n\nVice President Foodservice\n\nDirector Foodservice Sales\n\n10/30/00 to Present\n\n11/02/98 to 10/29/00\n\n12/30/96 to 11/01/98\n\n1998\n\nRichard A. Bross 52 Group Vice President Hormel/President\n\nHormel Foods International Corporation\n\nVice President Hormel/President Hormel\n\nFoods International Corporation\n\nVice President Grocery Products\n\n10/29/01 to Present\n\n11/01/99 to 10/28/01\n\n01/30/95 to 10/31/99\n\n1995\n\nJeffrey M. Ettinger 45 Group Vice President Hormel/President and\n\nChief Executive Officer Jennie-O Turkey\n\nStore\n\nGroup Vice President Hormel/President and\n\nChief Operating Officer Jennie-O Turkey\n\nStore\n\nVice President Hormel/President and\n\nChief Operating Officer Jennie-O Turkey\n\nStore\n\nVice President Hormel/President and Chief\n\nExecutive Officer Jennie-O Foods\n\nVice President Hormel/Jennie-O Foods\n\nTreasurer\n\nAssistant Treasurer\n\n03/03/03 to Present\n\n10/29/01 to 03/02/03\n\n04/30/01 to 10/28/01\n\n01/31/00 to 04/29/01\n\n11/01/99 to 01/30/00\n\n04/27/98 to 10/31/99\n\n11/24/97 to 04/26/98\n\n1998\n\nRonald W. Fielding 50 Group Vice President Sales Strategy\n\nGroup Vice President Meat Products\n\nVice President Hormel/President Hormel\n\nFoods International Corporation\n\n06/02/03 to Present\n\n11/01/99 to 06/01/03\n\n01/27/97 to 10/31/99\n\n1997\n\nJames A. Jorgenson 59 Senior Vice President Corporate Staff\n\nVice President Human Resources\n\n11/01/99 to Present\n\n12/30/91 to 10/31/99\n\n1990\n\nMahlon C. Schneider 64 Senior Vice President External Affairs and\n\nGeneral Counsel\n\nVice President and General Counsel\n\n11/01/99 to Present\n\n11/19/90 to 10/31/99\n\n1990\n\nThomas R. Day 45 Vice President Foodservice Sales\n\nDirector Foodservice Sales\n\nDirector Dubuque Foods Incorporated\n\nFoodservice Sales and Marketing\n\n10/30/00 to Present\n\n11/02/98 to 10/29/00\n\n03/07/94 to 11/01/98\n\n2000\n\nForrest D. Dryden 60 Vice President Research and Development 01/26/87 to Present 1987\n\nJody H. Feragen 47 Vice President and Treasurer\n\nTreasurer\n\nAssistant Treasurer, National Computer\n\nSystems in Eden Prairie, Minnesota, a\n\ndata collection and software company\n\n10/29/01 to Present 10/30/00 to\n\n10/28/01\n\n12/01/95 to 10/30/00\n\n2000\n\nDennis B. Goettsch 50 Vice President Foodservice Marketing\n\nDirector Foodservice Marketing\n\n10/30/00 to Present\n\n10/01/90 to 10/29/00\n\n2000\n\nDaniel A. Hartzog 52 Vice President Meat Products Sales\n\nDirector of Meat Products Business\n\nDevelopment\n\nMeat Products Regional Sales Manager\n\n10/30/00 to Present\n\n07/03/00 to 10/29/00\n\n09/19/88 to 07/02/00\n\n2000",
- "page_start": 5,
- "page_end": 5,
- "source_file": "NYSE_HRL_2004.pdf"
- },
- {
- "text": "####### **ITEM 3. LEGAL PROCEEDINGS**\n\nWe are and will continue to be involved in various administrative and legal proceedings in the ordinary\n\ncourse of business. We can give you no assurance regarding the outcome of these proceedings or the eÅect\n\ntheir outcomes may have, or that our insurance coverages or reserves are adequate. A signiÑcant judgment\n\nagainst our company, the loss of signiÑcant permits or licenses, or the imposition of a signiÑcant Ñne could\n\nhave a material adverse eÅect on our Ñnancial position, results of operations, cash Öows or prospects.\n\n####### **ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS**\n\nNo matters were submitted to our stockholders during the fourth quarter of 2004.\n\n19",
- "page_start": 26,
- "page_end": 26,
- "source_file": "NYSE_RSG_2004.pdf"
- },
- {
- "text": "12\n\n**Item 3. Legal Proceedings.**\n\nWe are subject from time to time to various claims and lawsuits arising in the ordinary course of business, including lawsuits alleging\n\nviolations of state and/or federal wage and hour and other employment laws, privacy and other consumer-based claims. Some of these\n\nlawsuits include certified classes of litigants, or purport or may be determined to be class or collective actions and seek substantial damages\n\nor injunctive relief, or both, and some may remain unresolved for several years. We believe the recorded reserves in our consolidated\n\nfinancial statements are adequate in light of the probable and estimable liabilities. As of the date of this report, we do not believe any\n\ncurrently identified claim, proceeding or litigation, either alone or in the aggregate, will have a material impact on our results of operations,\n\nfinancial position or cash flows. Since these matters are subject to inherent uncertainties, our view of them may change in the future.\n\n**Item 4. Mine Safety Disclosures.**\n\nNone.",
- "page_start": 23,
- "page_end": 23,
- "source_file": "NYSE_JWN_2014.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "Open_Data_Report.pdf",
- "query": "What is Mexican Farm Subsidies ?",
- "target_page": 9,
- "target_passage": "an online tool to analyze how the federal government allocates those subsidies",
- "chunk_present": {
- "presence": true,
- "index": 5
- }
- },
- "top_chunk": [
- {
- "text": "## FINANCIAL SECTION\n\nFINANCIAL SECTION",
- "page_start": 69,
- "page_end": 69,
- "source_file": "OTC_NSANY_2004.pdf"
- },
- {
- "text": "###### Financial Information",
- "page_start": 31,
- "page_end": 31,
- "source_file": "NYSE_HIG_2001.pdf"
- },
- {
- "text": "Sumitomo Mitsui Financial Group CSR Report\n\n**Digest version**\n\nwww.smfg.co.jp/english",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NYSE_SMFG_2011.pdf"
- },
- {
- "text": "## Financial Information",
- "page_start": 55,
- "page_end": 55,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "Colombia\n\nDemocratic Republic of the Congo\n\nEcuador\n\nEswatini\n\nEthiopia\n\nFrench Guiana\n\nGuyana\n\nIndia\n\nKenya\n\nLesotho\n\nMalawi\n\nThe Maldives\n\nMozambique\n\nNamibia\n\nNepal\n\nOman\n\nPakistan\n\nPanama\n\nParaguay\n\nPeru\n\nPhilippines\n\nQatar\n\nRwanda\n\nSeychelles\n\nSomalia\n\nSouth Africa\n\nSuriname\n\nTanzania\n\nTurkey\n\nUnited Arab Emirates\n\nUruguay\n\nVenezuela\n\nZambia\n\nZimbabwe",
- "page_start": 32,
- "page_end": 32,
- "source_file": "uksi_20210582_en.pdf"
- },
- {
- "text": "Right now, one of the most active Asian countries in the Open Data arena is India, which also\n\nsigned an [Open Government partnership with the USA](http://www.whitehouse.gov/blog/2010/11/07/a-us-india-partnership-open-government) in November 2010. In January 2011 the\n\nIndian Congress Party announced plans for a new law to fight corruption among public servants and\n\npoliticians. Anti-corruption websites (including ones in local dialects) like\n\n[Indiaagainstcorruption.org](http://www.indiaagainstcorruption.org/) , already existed, including one, [Ipaidabribe.com](http://www.ipaidabribe.com/) , that collected more\n\nthan 3,000 people reports of graft in its first four months.\n\nAs it happens in Asia, even Latin America is currently focused, at least outside Public\n\nAdministration circles, on how to open public data to achieve actual transparency. This appears\n\neven from the way many projects are labeled, that is [ \"Civic Information\"](http://informacioncivica.info/mexico/access-to-information/) instead of Open Data\n\n(which is an idea starting from data *reuse* ) or Open Government.\n\nThe reason is that even where good Freedom of Information laws exist in Latin America, they still\n\nhave too little practical effects. Mexico, for example, already has a digital system to manage\n\nFreedom of Information requests, but there are reports of complaints filed against municipal\n\nofficials that either have no effect at all, or aren't possible in the first place, because relevant\n\ninformation has not been updated in years, or omits key data like (in the case of budget reports)\n\n*\"descriptions of how the money was spent\"* .\n\nEven with these difficulties, the Latin America Open Data/Civic Information landscape is active\n\nand definitely worthwhile following. The list of interesting Civic Information projects in Latin\n\nAmerica include (from Sasaki's [Access to Information: Is Mexico a Model for the Rest of the ](http://informacioncivica.info/mexico/access-to-information/)\n\n[World?](http://informacioncivica.info/mexico/access-to-information/) :\n\n- Mexico\n\n- [Mexican Farm Subsidies](http://www.subsidiosalcampo.org.mx/index.html/) - an online tool to analyze how the federal government\n\nallocates those subsidies\n\n- [Compare Your School](http://www.comparatuescuela.org/) : compares aggregate test results from any school with the\n\nmunicipal, regional, and national averages\n\n- [Rebellion of the Sick](http://www.sonoraciudadana.org.mx/) built for patients with chronic diseases whose expenses are not\n\ncovered by the government subsidized health coverage.\n\n- Argentina: [Public Spending in Bahía](http://gastopublicobahiense.org/acerca-de-gpb/) analyzes how public funds are used.\n\n- Colombia: [Visible Congress](http://www.congresovisible.org/) monitors the actions of the Colombian congress\n\n- Brazil\n\n- [Eleitor 2010](http://eleitor2010.com/) : a website to submit reports of electoral fraud during the Brazil 2010\n\n*9/34*",
- "page_start": 8,
- "page_end": 8,
- "source_file": "Open_Data_Report.pdf"
- },
- {
- "text": "## Corporate Governance **CORPORATE GOVERNANCE**",
- "page_start": 47,
- "page_end": 47,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "progress towards the target will be under constant review, and adjustment if needed, to\n\nmitigate against undue impact on biodiversity, food security and farmers’ competitiveness.\n\nAgroecology can provide healthy food while maintaining productivity, increase soil fertility and biodiversity, and reduce the footprint of food production. Organic farming in particular holds great potential for farmers and consumers alike. The sector creates jobs and attracts young farmers. Organic farming also provides 10-20 % more jobs per hectare than conventional farms, and creates added value for agricultural products <sup>32</sup> . To make the most of this potential, at least **25% of the EU’s agricultural land must be organically farmed by 2030** . In addition to CAP measures, the Commission will put forward an Action Plan on organic farming, helping Member States stimulate both supply and demand of organic products. It will also ensure consumer’s trust through promotion campaigns and green public procurement. In the implementation of the EU-wide agro- ecological targets set out in this strategy and in the Farm to Fork Strategy, the different starting points and differences in progress already made in Member States will be taken into account.\n\nThe uptake of agroforestry support measures under rural development should be increased as it has great potential to provide multiple benefits for biodiversity, people and climate.\n\nThe decline of **genetic diversity** must also be reversed, including by facilitating the use of traditional varieties of crops and breeds. This would also bring health benefits through more varied and nutritious diets. The Commission is considering the revision of marketing rules for traditional crop varieties in order to contribute to their conservation and sustainable use. The Commission will also take measures to facilitate the registration of seed varieties, including for organic farming, and to ensure easier market access for traditional and locally adapted varieties.\n\n#### *2.2.3.* *Addressing land take and restoring soil ecosystems*\n\nSoil is one of the most complex of all ecosystems. It is a habitat in its own right, and home to an incredible diversity of organisms that regulate and control key ecosystem services such as soil fertility, nutrient cycling and climate regulation. **Soil is a hugely important non-renewable resource** , vital for human and economic health, as well as the production of food and new medications.\n\nIn the EU, the degradation of soil is having considerable environmental and economic consequences. Poor land management, such as deforestation, overgrazing, unsustainable farming and forestry practices, construction activities and land sealing are among the main causes of this situation <sup>33</sup> . Despite recent reductions in the pace of soil sealing, fertile soils continue to be lost to land take and urban sprawl <sup>34</sup> . When compounded by\n\n32 OECD (2016), [Farm Management Practices to Foster Green Growth](https://www.oecd.org/publications/farm-management-practices-to-foster-green-growth-9789264238657-en.htm) . European Environment Agency (2019), [EEA Signals 2019: Land and Soil in Europe](https://www.eea.europa.eu/publications/eea-signals-2019-land) . European Environment Agency and Swiss Federal Office for the Environment (FOEN) (2016), [Urban ](https://www.eea.europa.eu/publications/urban-sprawl-in-europe) [sprawl in Europe](https://www.eea.europa.eu/publications/urban-sprawl-in-europe) .",
- "page_start": 8,
- "page_end": 8,
- "source_file": "legal5_eubiodiversity_cc4.pdf"
- },
- {
- "text": "annual report 2002",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NASDAQ_FFIN_2002.pdf"
- },
- {
- "text": "###### Board of Directors",
- "page_start": 29,
- "page_end": 29,
- "source_file": "NYSE_HIG_2001.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "Open_Data_Report.pdf",
- "query": "What concerns has open data raised in the insurance sector?",
- "target_page": 23,
- "target_passage": "insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual",
- "chunk_present": {
- "presence": true,
- "index": 0
- }
- },
- "top_chunk": [
- {
- "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides\n\nthat those from (properly done) Open Data are a really tiny percentage of the total.\n\nThis is a consequence of the fact that data about us end up online from the most different sources\n\n(including ourselves and our acquaintances), and that often it would be very hard to discover, never\n\nmind *prove* , that they've been used against our interest. There have been concerns, for example, that\n\ninsurance companies may charge higher fees for life insurance to those among their customers\n\nwho... put online a family tree from which it shows that they come from families with an average\n\nlife expectancy lower than usual.\n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of\n\ndata, that weren't even published by any Public Administration? Of course, publishing online\n\ncomplete, official Census data of several generations, in a way that would make such automatic\n\nanalysis possible would be a totally different matter.\n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is\n\nneeded to dismiss for good the idea that Open Data is a generalized attack to privacy is to always\n\nremember and explain that:\n\n1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air\n\npollution measurements....)\n\n2. The majority of data that are directly related to individuals (e.g. things like names and\n\naddress of people with specific diseases, or who were victims of some crime) have no reason\n\nto be published, **nor there is any actual demand for them by Open Data advocates**\n\n3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to\n\npublic offices, Government and Parliament members etc...) already exist in many countries\n\n4. Very often, in practice, Open Data struggles only happen about *when and how* to make\n\navailable in the most effective way for society information that was *already* recognized as\n\npublic. *What* to declare public, hence open, is indeed a serious issue (more on this in the next\n\nparagraph) but is a separate one.\n\n### **3.8. Need to better define what is Public Data**\n\nTogether with citizens education, there is a huge challenge that Governments and the Open Data\n\nmovement will have to face (hopefully together) in 2011 and beyond. This challenge is to update\n\nand expand the definition of Public Data and to have it accepted by lawmakers and public\n\nadministrators.",
- "page_start": 22,
- "page_end": 22,
- "source_file": "Open_Data_Report.pdf"
- },
- {
- "text": "#### **3.6.1. Data alterations and financial sustainability**\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, *before*\n\nthey are published online. The most common concerns of this type are (from [Open Public Data: ](http://blog.okfn.org/2011/01/28/open-public-data-then-what-part-1/)\n\n[Then What? - Part 1](http://blog.okfn.org/2011/01/28/open-public-data-then-what-part-1/) ):\n\n1. Opening up PSI causes those data to not be produced anymore, or to be only produced as\n\nprivate property by private corporations, because the public agencies whose job was to\n\nproduce those data, can't sell them anymore.\n\n2. total accessibility of data provides more incentives to tinker with them, at the risk of\n\nreducing trust in institutions and inhibiting decision-making even more than today.\n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account\n\nis that, once data are open, routinely used and monitored by as many independent users as possible,\n\neven the cost of keeping them up to date may be sensibly reduced: in other words, in the\n\nmedium/long term Open Data may reduce the need to periodically perform complete, that is very\n\nexpensive, studies and surveys to update a whole corpus of data in one run.\n\nBesides, and above all, even if opening data always destroyed any source of income for the public\n\noffice that used to create and maintain them, this problem would only exist for the PSI datasets that\n\nare *already* sold today. Such data, even if of strategic importance as is the case with digital\n\ncartography, are only a minimal fraction of all the PSI that could and should be opened to increase\n\ntransparency, reduce the costs of Government and stimulate the economy. In all these other cases:\n\n- the money to generate the data already arrives by some other source than sales and\n\nlicensing(but even with those data it may be possible to generate them by crowdsourcing,\n\nthereby reducing those costs!)\n\n- the only extra expense caused by publishing those data online (assuming they're already\n\navailable in some digital format, of course!), would be the hosting and bandwidth costs, that\n\nmay be greatly reduced by mirroring and other technical solutions like torrents, already\n\nwidely used to distribute Free/Open Source Software (FOSS) through the Internet.\n\n#### **3.6.2. Real impact of data manipulation or misunderstanding**\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but\n\nto simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance\n\nof occasions to secretly play with data and how they are managed is a symptom of excessive, or\n\npeak complexity: again, problems and risks with Open Data are a symptom of a [pre-",
- "page_start": 16,
- "page_end": 16,
- "source_file": "Open_Data_Report.pdf"
- },
- {
- "text": "**Table of Contents**\n\n1. Introduction........................................................................................................................3\n\n2. Social and political landscape.............................................................................................3\n\n2.1. Wikileaks and the Open Data movement...................................................................................................................................5\n\n2.2. Data Openness in EU................................................................................................................................................................6\n\n2.3. Open Data in Latin America, Asia and Africa...........................................................................................................................8\n\n3. Emerging trends and issues related to Open Data.............................................................11\n\n3.1. Cost of not opening PSI is increasing......................................................................................................................................11\n\n3.2. Creative, unforeseen uses of local Open Data increase............................................................................................................12\n\n3.3. Legal issues remain crucial.....................................................................................................................................................13\n\n3.4. The price of digitization..........................................................................................................................................................14\n\n3.5. The nature of Open Government and the relationship between citizens and Government.......................................................15\n\n3.6. Clearer vision of the real risks and limits of Open Data..........................................................................................................16\n\n3.6.1. Data alterations and financial sustainability...............................................................................................................................................17\n\n3.6.2. Real impact of data manipulation or misunderstanding.............................................................................................................................17\n\n3.6.3. Unequal access............................................................................................................................................................................................19\n\n3.6.4. Lack of education to data............................................................................................................................................................................20\n\n3.6.5. Lack of public interest................................................................................................................................................................................21\n\n3.6.6. Unprepared Public Administrators.............................................................................................................................................................22\n\n3.7. The privacy problem...............................................................................................................................................................22\n\n3.8. Need to better define what is Public Data................................................................................................................................23\n\n4. Conclusion: seven Open Data strategy and best practices suggestions.............................27\n\n4.1. Properly define and explain both Open Data and Public Data.................................................................................................27\n\n4.2. Keep political issues separated by economics ones.................................................................................................................27\n\n4.3. Keep past and future separate..................................................................................................................................................28\n\n4.4. Impose proper licensing and streamline procurement..............................................................................................................29\n\n4.5. Educate citizens to understand and use data............................................................................................................................30\n\n4.6. Focus on local, specific issues to raise interest for Open Data.................................................................................................31\n\n4.7. Involve NGOs, charities and business associations.................................................................................................................32\n\n5. Bibliography.....................................................................................................................33\n\n*2/34*",
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- "text": "What is, exactly, Public Data? A definition that is accepted almost implicitly is *\"data that is of*\n\n*public interest, that belongs to the whole community, data that every citizen is surely entitled to*\n\n*know and use\"* . This definition is so generic that accepting it together with the assumption that all\n\nsuch data should be open as preached by the Open Data movement (online, as soon as possible, in\n\nmachine readable format with an open license etc...) doesn't create any particular problem or\n\nconflict.\n\nReal problems however start as it has happened all too often so far, whenever we assume more or\n\nless consciously that \"Public Data\" in the sense defined above and data directly produced by\n\nGovernments and Public Administrations, that is what's normally called PSI (Public Sector\n\nInformation) are the same thing.\n\nThere is no doubt that Governments and Public Administrations produce huge quantities of Public\n\nData. But this is an age of privatization of many public services, from transportation to healthcare,\n\nenergy and water management. This is an age in which many activities with potentially very serious\n\nimpacts on whole communities, like processing of hazardous substances or toxic waste, happen\n\n*outside* Public Administrations. The paradox is that, as [Sasaki put it](http://informacioncivica.info/mexico/access-to-information/) , this increased privatization is\n\nhappening in the very same period in which *\" we are observing a worldwide diffusion of access to*\n\n*information laws that empower citizens to hold government agencies accountable.\"*\n\nIn such a context, \"Public Data\"is critical just because it is a much bigger set of data than what\n\nconstitutes traditional, official PSI. \"Public Data\" includes all that information *plus* the much bigger\n\namount of data describing and measuring all the activities of private companies, from bus\n\ntimetables to packaged food ingredients, aqueducts performances and composition of fumes\n\nreleased in the atmosphere, that have a *direct impact* on the health and rights of all citizens of the\n\ncommunities affected by the activities of those companies.\n\nAre such data \"Public\" today, in the sense defined at the beginning of this paragraph, that is\n\nsomething every citizen has the right to know without intermediaries or delegates, or not? Should\n\nthey be public? If yes, shouldn't law mandate that all such data be Open (that is, published online as\n\nsoon as possible, in machine readable format with an open license etc...) just like, for example, the\n\nbudget of some Ministry? Answering these questions may be one of the biggest challenges for the\n\nOpen Data community, and for society as a whole, in the next years.\n\nHere are, in order to facilitate reflection on this issue, a few recent, real world examples of \"Public\n\nData\" that are *not* PSI, and of the impacts of their lack of openness.",
- "page_start": 23,
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- "text": "there is no mandate to support one group to centralize it.\n\nKenya's own OpenData.go.ke website has only ever seen a small handful of data sets,\n\nnone of which are now (early April 2011) available anymore. Groups like the Ministry\n\nof Education might publish some information on schools, but they won't give anyone\n\nthe location data.\n\n## **3. Emerging trends and issues related to Open**\n\n**Data**\n\nOne of the most common activities for Open Data activists in this moment is the creation of\n\ncountry-wide catalogs of all data sources, to facilitate individuation and correlation of independent\n\ndata sets. Normally, all initiatives of this type are announced on the Open Knowledge Foundation\n\n[blog](http://okfn.org/) and/or its data hub [CKAN](http://ckan.net/) . Another relevant development is the publication of an [Open Data ](http://opendatamanual.org/)\n\n[Manual](http://opendatamanual.org/) that *\"can be used by anyone but is especially designed for those seeking to open up data,*\n\n*since it discusses why to go open, what open is, and the how to 'Open' Data.\"* Activists in several\n\nEuropean countries have already published local versions of the manual, or equivalent documents.\n\nOn this background, several interesting issues, some of which were anticipated in the Open Data,\n\nOpen Society report, are coming in full light. They are presented, one at a time, in the following\n\nsections of this chapter.\n\n### **3.1. Cost of not opening PSI is increasing**\n\nMuch has been said on the *economic* benefits of opening public sector information, and much more\n\nremains to be said and studied. One part of this issue that is becoming more evident over time is that\n\nOpen Data are the simplest, if not the only way, to save Public Administrations from the costs that\n\nthey have *already* (and rightfully!) forced themselves to bear, through assorted laws and official\n\nregulations. This is explained well in the report from LinkedGov about the [economic impact of ](http://wiki.linkedgov.org/index.php/The_economic_impact_of_open_data)\n\n[open data](http://wiki.linkedgov.org/index.php/The_economic_impact_of_open_data) :\n\n*(p. 2) \"As the costs of disseminating and accessing information have declined, the*\n\n*transactions costs associated with charging for access to information, and controlling*\n\n*subsequent redistribution have come to constitute a major barrier to access in*\n\n*themselves. As a result, the case for free (gratis) provision of Public Sector Information*\n\n*is stronger than has already been recognized.*\n\nEaves provides a practical example from Canada in [Access to Information is Fatally Broken… You ](http://eaves.ca/2011/03/30/access-to-information-is-fatally-broken-you-just-dont-know-it-yet/)\n\n[Just Don't Know it Yet](http://eaves.ca/2011/03/30/access-to-information-is-fatally-broken-you-just-dont-know-it-yet/) : *the number of Access to Information Requests (ATIP) has almost tripled*",
- "page_start": 10,
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- "text": "## **1. Introduction**\n\nThis report is the final deliverable of the Open Data, Open Society research project. It follows the\n\npublication of the [Open Data, Open Society report](http://www.lem.sssup.it/WPLem/odos/odos.html) , finished in late October 2010 and published in\n\nearly January 2011. That first report focused on explaining the critical importance of digital data in\n\ncontemporary society and business activities; defining Open Data; giving examples on their\n\npotential, especially at the local level, on transparency and economics activities; finally, defining\n\nsummarizing some general best practices.\n\nThis second report looks at what happened in the Open Data arena after October 2010. After some\n\nconsiderations on the general social and political background in late 2010/early 2011, it is divided\n\nin two main parts. The first describes some emerging trends and issues related to Open Data, that\n\ngot minor or no coverage in the first report. The second part discusses some practices and actions to\n\nfollow to deal with those trends and issues.\n\n## **2. Social and political landscape**\n\nIt is worthwhile to begin by mentioning several events, happened between the end of 2010 and the\n\nfirst months of 2011, that can help to understand what will be the place and role of Open Data in the\n\nfuture, as well as the challenges faced by its advocates.\n\nThe first two are the Spanish \"Indignados\" and the Arab Spring. The first movement has among its\n\ngoals *\"a change in society and an increase in social awareness\"* . The Arab Spring, as L. Millar put\n\nit on the [New Zealand Computer Society website](http://www.nzcs.org.nz/newsletter/article/126) , *\"demonstrated the potency of technology to*\n\n*reflect citizens' views of government systems that are not transparent.\"* As a consequence, noted the\n\n[Afrinnovator](http://afrinnovator.com/blog/2011/04/14/looking-forward-where-next-generation-innovation-is-coming-from/) blog, *\"we have seen from the civil disobedience in the North of Africa and the Middle*\n\n*East, the appetite for more accountable and transparent government will only grow from here on\"* .\n\nFrom this analysis it looks like, in a way, both the Indignados and the participants to the Arab\n\nSpring are (also) asking for Open Data, even if they aren't using the term and many participants to\n\nthese grassroots movement may still ignore its definition, that was born inside hackers and Public\n\nAdministration circles.\n\nTwo other important events that, in different ways and at different levels, prove the importance of\n\nOpen Data are the Fukushima nuclear accident and the Cablegate, which we'll analyze in the next\n\n*3/34*",
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- "text": "more concrete over time is damage control. In a world that produces digital data without\n\ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to\n\npredict, practically impossible to avoid and increasingly common. Opening public government data,\n\nthat is providing plenty of officially verified information, becomes therefore also a damage control\n\nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official\n\nOpen Public Data, individual citizens, political parties or other organizations will start to process\n\nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different\n\ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong\n\nconclusions. This is not some theoretical possibility far in the future, as this real world example\n\n(from a comment to an [Open Data discussion in an italian blog](http://www.cottica.net/2010/09/16/spaghetti-open-data-reloaded/) ) proves:\n\n\" *on the* *[non italian]* *Geonames website you can download geo-referenced data*\n\n*about... 47000 Italian municipalities. That worries me, because there are only 8094 of*\n\n*them. Besides, I grabbed a few random data about population, and I can guarantee you*\n\n*that not one was right. What should be done in such cases?*\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they\n\nsuggest that, considering its current needs and problems, current societies want and need more Open\n\nData than they already have.\n\n### **2.1. Wikileaks and the Open Data movement**\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published\n\nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence\n\nof a more or less conscious mixing of the two themes, because in a very general sense, both Open\n\nData and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks\n\nscandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and\n\ntransparency whenever government activities are concerned. Citizens must be able to know what\n\nthe state is *actually* doing but sometimes, be it for careful evaluation of all the alternatives or\n\nbecause of security, it must be possible to work behind closed doors, [at least temporarily](http://www.shirky.com/weblog/2010/12/wikileaks-and-the-long-haul/) . We'll\n\ncome back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness\n\nand transparency in politics, not only there are deep differences between the two ideas but, in our\n\n*5/34*",
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- "text": "coal plants. If data are not available, every conclusion is questionable because it relies\n\non assumptions or estimates.\n\n### **2.3. Open Data in Latin America, Asia and Africa**\n\nSeveral countries in Latin America are studying and making experiments with Open Data both at\n\nthe government and at the grassroots level. The same is happening, on a much smaller scale, in a\n\nfew parts of Asia and Africa. On average, the volume of these Open Data experiments and the level\n\nof *local* interest and awareness around them is still lower than what is happening in Europe and\n\nNorth America. In spite of this we suggest that it is important, for public officials and civic activists\n\nin Western Countries, to follow these developments closely. The reason is that they may turn into\n\nvery useful test beds for all the strengths and limits of Open Data, especially those not encountered\n\nyet where the movement was born.\n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The\n\nproblem they want to solve is how to make democracy work better *in countries where it already*\n\n*exists and which share a great amount of history and cultural/philosophical values* .\n\nOther countries face very different challenges, from the philosophical level to the practical one. A\n\ncommon issue in developing countries, for example, is that there is very little to open simply\n\nbecause much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first\n\nthing to do is to *create* data, normally through outsourcing and crowd sourcing.\n\nOther issues, that will be discussed in detail in other sections of the report because they are also\n\npresent in Europe in different forms, are related to lack of equal opportunities for access to data and\n\nserious fears (sometimes, concrete, sometimes caused by confusion about what should be open and\n\nhow) that data will be used *against* citizens. A commenter to Gurstein's [Open Data: Empowering ](http://gurstein.wordpress.com/2010/09/02/open-data-empowering-the-empowered-or-effective-data-use-for-everyone/)\n\n[the Empowered or Effective Data Use for Everyone?](http://gurstein.wordpress.com/2010/09/02/open-data-empowering-the-empowered-or-effective-data-use-for-everyone/) said:\n\n*in Delhi and Mumbai, mobs and rioters managed to get information about particular*\n\n*identity groups through voter rolls: openness is, in certain situations, a precarious*\n\n*virtue. It is almost certain that Open Data would be used to rig election but here again*\n\n*openness is not the issue, they would find it anyway...*\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its\n\neffects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in\n\nThailand, for example, one of the most appreciated entries was a software scraper of the Thailand's\n\nMember of House of Representative Website, that [made it possible for everybody](http://eaves.ca/2010/12/29/three-stories-of-change-from-the-international-open-data-hackathon/) to create\n\napplications using those data.\n\n*8/34*",
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- "text": "several centuries, in the analog, pre-computer world. Developing countries are good case studies\n\nfrom this point of view, because they are often leapfrogging from oral tradition straight to\n\ncomputers in all fields, not just e-government.\n\nLand ownership in India, discussed by Gurnstein in 2010, is a perfect example of the problems\n\ncarried by digitization that requests for Open Data only expose, without creating them. Digitization\n\ncan certainly increase efficiency, transparency and economic activities, but fully achieves these\n\ngoals only by:\n\n- standardizing as much as possible all concepts, formats and procedures.\n\n- replacing *completely* , at least in standard day to day procedures, whatever other records and\n\nways of working existed before\n\nGurnstein wrote:\n\n*\"The problem of open access in the case of land records in India is... the manner in*\n\n*which the data tends to get encoded. Typically, digitization of land records would mean*\n\n*either scanning the record as it is, or inputting all the data on the record as it is,*\n\n*without changing any fields. But ways of maintaining land records are highly diverse...*\n\n*Private ownership is not the only means of holding a land parcel. When it comes to*\n\n*land ownership, for example, it may eliminate the history of land, how were sub-*\n\n*divisions and usufruct rights negotiated and enforced.\"*\n\nAnother risk of digitization and e-government (without openness, that is) is lack of contact between\n\ncitizens and institutions:\n\n*\"Prior to digitization, land records in India were available to people who made*\n\n*requests with village accountants for them. .. after digitization of several services,*\n\n*village accountants no longer personally visit the villages they are in charge of... What*\n\n*has happened with digitization is a reorganization of earlier forms of social and*\n\n*political relations. Accountability has moved from the immediate village level\"*\n\nOf course, all these problems existed well before computers and return every time the political or\n\nsocial order changes. The demand for Open Data is only increasing, by orders of magnitude, the\n\nnumbers of times in which we meet them.\n\n### **3.5. The nature of Open Government and the relationship**\n\n**between citizens and Government**\n\nOpen Data are an essential part of Open Government. Almost everybody agrees with this.\n\nAgreement on what exactly defines Open Government is, however, less universal. In January 2011\n\nLucas Cioffi, replying to Alex Howard, [wrote](http://gov20.govfresh.com/social-media-fastfwd-defining-gov-2-0-and-open-government-in-2011/) :",
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- "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first\n\nis to protect a public administration from having to pay *twice* for those data, if it needs it again in\n\nthe future for some other internal activity, not explicitly mentioned in the initial contract. The\n\nsecond reason is to not spend more than what is absolutely necessary to respond to public records\n\nrequests, that is to comply with Freedom of Information laws.\n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is\n\nsharing it with all the citizens using the public services based on those data. A [real world example ](http://blog.okfn.org/2010/10/29/open-data-in-public-private-partnerships-how-citizens-can-become-true-watchdogs/)\n\nof this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bike-\n\nsharing scheme started in May 2009, through a partnerships with a private company: JCDecaux\n\nfinances the infrastructure and operates it, in exchange for advertising space on the bikes\n\nthemselves and on billboards at the bike sharing stations. The availability of bikes and parking\n\nspaces of each station is published online in real time on the official Villo's website.\n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website\n\nthat reuses those data to measure where and how often there aren't enough available bikes and\n\nparking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated\n\nit to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because\n\ncitizens could monitor the service by themselves, were possible just because the data from the\n\nofficial website were legally and automatically reusable.\n\n### **3.4. The price of digitization**\n\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if\n\nit is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that\n\nalready existed and must be fixed anyway, regardless (again) of openness. Any substantial increase\n\nof efficiency and reduction of the costs of Public Administrations can only happen when data and\n\nprocedures are digitized. The problem is that such digitization (which, obviously, must happen\n\nanyway sooner or later) can be very expensive and we are only now starting to really realize how\n\nmuch. Actual, material costs are not the worst problem here. Activities like semi-automatic\n\nscanning of paper documents or typing again their content inside some database, are relatively low,\n\none-time expenses that are also very easy to calculate and budget in advance with great precision.\n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is\n\nreally difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less\n\nautomatic procedures and file templates, formats, habits and customs developed, maybe over",
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- "source_file": "Open_Data_Report.pdf",
- "query": "What are Steinberg's concerns about the government releasing all non-private existing data?",
- "target_page": 28,
- "target_passage": "The first reasons for Steinberg's concern is that asking for everything as soon as possible would \"stress the system too much, by spreading thin the finite amount of good will, money and political capital\". The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them",
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- "text": "more concrete over time is damage control. In a world that produces digital data without\n\ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to\n\npredict, practically impossible to avoid and increasingly common. Opening public government data,\n\nthat is providing plenty of officially verified information, becomes therefore also a damage control\n\nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official\n\nOpen Public Data, individual citizens, political parties or other organizations will start to process\n\nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different\n\ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong\n\nconclusions. This is not some theoretical possibility far in the future, as this real world example\n\n(from a comment to an [Open Data discussion in an italian blog](http://www.cottica.net/2010/09/16/spaghetti-open-data-reloaded/) ) proves:\n\n\" *on the* *[non italian]* *Geonames website you can download geo-referenced data*\n\n*about... 47000 Italian municipalities. That worries me, because there are only 8094 of*\n\n*them. Besides, I grabbed a few random data about population, and I can guarantee you*\n\n*that not one was right. What should be done in such cases?*\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they\n\nsuggest that, considering its current needs and problems, current societies want and need more Open\n\nData than they already have.\n\n### **2.1. Wikileaks and the Open Data movement**\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published\n\nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence\n\nof a more or less conscious mixing of the two themes, because in a very general sense, both Open\n\nData and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks\n\nscandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and\n\ntransparency whenever government activities are concerned. Citizens must be able to know what\n\nthe state is *actually* doing but sometimes, be it for careful evaluation of all the alternatives or\n\nbecause of security, it must be possible to work behind closed doors, [at least temporarily](http://www.shirky.com/weblog/2010/12/wikileaks-and-the-long-haul/) . We'll\n\ncome back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness\n\nand transparency in politics, not only there are deep differences between the two ideas but, in our\n\n*5/34*",
- "page_start": 4,
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- "text": "### **4.3. Keep past and future separate**\n\nFor the same reason why it is important to always distinguishes between political and economical\n\nadvantages (or disadvantages) of Open Data, it is necessary to keep decisions about *future* data\n\n(those that will arrive in the future, due to new contracts, public services and so on) separate from\n\nthose about data that already exist. At the end of 2010, T. Steinberg [wrote](thttp://steiny.typepad.com/premise/2010/11/open-data-how-not-to-cock-it-up.html) that the idea that\n\nGovernment should publish everything non-private it can **now** is \"rather dangerous\", and that it\n\nwould be much better to release nothing until someone actually asked for it, and at that point doing\n\nit right, that is with an open license and so on. The first reasons for Steinberg's concern is that\n\nasking for everything as soon as possible would *\"stress the system too much, by spreading thin the*\n\n*finite amount of good will, money and political capital\"* . The second is that many existing old data\n\nand data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend\n\nresources in opening them.\n\nEven if these concerns were always true, it is important to realize that they apply (especially the\n\nsecond) to already existing data, not to future ones. The two classes of data have, or can have, very\n\ndifferent constraints. Existing data may still exist only in paper format and/or be locked by closed or\n\nunclear licenses, or not relevant anymore for future decisions.\n\nOpening *future* data, instead, is almost always more important, useful urgent, easier and cheaper\n\nthan digitizing or even only reformatting material that in many cases is already too old to make\n\nimmediate, concrete differences. While this argument is probably not always true when we look at\n\nOpen data for transparency, it probably is when it comes to economic development.\n\nTherefore, features and guidelines that should be present in all future data generation and\n\nmanagement processes include:\n\n- standardization: the less, obviously open, formats are used for data of the same type, the\n\neasier it is to merge and correlate them. The formats that have to be standardized are not\n\nonly those at the pure software level. Even more important is, for example, to adopt by law\n\nstandard identificators for government suppliers, names and machine-readable identifiers of\n\nbudget voices and so on\n\n- preparation for future digitization: new digital systems should explicitly be designed from\n\nthe beginning so that it will be possible, when non-digital records will be digitized, to add\n\nthem to the databases without modifying losses.\n\n- Open licenses",
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- "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides\n\nthat those from (properly done) Open Data are a really tiny percentage of the total.\n\nThis is a consequence of the fact that data about us end up online from the most different sources\n\n(including ourselves and our acquaintances), and that often it would be very hard to discover, never\n\nmind *prove* , that they've been used against our interest. There have been concerns, for example, that\n\ninsurance companies may charge higher fees for life insurance to those among their customers\n\nwho... put online a family tree from which it shows that they come from families with an average\n\nlife expectancy lower than usual.\n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of\n\ndata, that weren't even published by any Public Administration? Of course, publishing online\n\ncomplete, official Census data of several generations, in a way that would make such automatic\n\nanalysis possible would be a totally different matter.\n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is\n\nneeded to dismiss for good the idea that Open Data is a generalized attack to privacy is to always\n\nremember and explain that:\n\n1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air\n\npollution measurements....)\n\n2. The majority of data that are directly related to individuals (e.g. things like names and\n\naddress of people with specific diseases, or who were victims of some crime) have no reason\n\nto be published, **nor there is any actual demand for them by Open Data advocates**\n\n3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to\n\npublic offices, Government and Parliament members etc...) already exist in many countries\n\n4. Very often, in practice, Open Data struggles only happen about *when and how* to make\n\navailable in the most effective way for society information that was *already* recognized as\n\npublic. *What* to declare public, hence open, is indeed a serious issue (more on this in the next\n\nparagraph) but is a separate one.\n\n### **3.8. Need to better define what is Public Data**\n\nTogether with citizens education, there is a huge challenge that Governments and the Open Data\n\nmovement will have to face (hopefully together) in 2011 and beyond. This challenge is to update\n\nand expand the definition of Public Data and to have it accepted by lawmakers and public\n\nadministrators.",
- "page_start": 22,
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- "source_file": "Open_Data_Report.pdf"
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- "text": "What is, exactly, Public Data? A definition that is accepted almost implicitly is *\"data that is of*\n\n*public interest, that belongs to the whole community, data that every citizen is surely entitled to*\n\n*know and use\"* . This definition is so generic that accepting it together with the assumption that all\n\nsuch data should be open as preached by the Open Data movement (online, as soon as possible, in\n\nmachine readable format with an open license etc...) doesn't create any particular problem or\n\nconflict.\n\nReal problems however start as it has happened all too often so far, whenever we assume more or\n\nless consciously that \"Public Data\" in the sense defined above and data directly produced by\n\nGovernments and Public Administrations, that is what's normally called PSI (Public Sector\n\nInformation) are the same thing.\n\nThere is no doubt that Governments and Public Administrations produce huge quantities of Public\n\nData. But this is an age of privatization of many public services, from transportation to healthcare,\n\nenergy and water management. This is an age in which many activities with potentially very serious\n\nimpacts on whole communities, like processing of hazardous substances or toxic waste, happen\n\n*outside* Public Administrations. The paradox is that, as [Sasaki put it](http://informacioncivica.info/mexico/access-to-information/) , this increased privatization is\n\nhappening in the very same period in which *\" we are observing a worldwide diffusion of access to*\n\n*information laws that empower citizens to hold government agencies accountable.\"*\n\nIn such a context, \"Public Data\"is critical just because it is a much bigger set of data than what\n\nconstitutes traditional, official PSI. \"Public Data\" includes all that information *plus* the much bigger\n\namount of data describing and measuring all the activities of private companies, from bus\n\ntimetables to packaged food ingredients, aqueducts performances and composition of fumes\n\nreleased in the atmosphere, that have a *direct impact* on the health and rights of all citizens of the\n\ncommunities affected by the activities of those companies.\n\nAre such data \"Public\" today, in the sense defined at the beginning of this paragraph, that is\n\nsomething every citizen has the right to know without intermediaries or delegates, or not? Should\n\nthey be public? If yes, shouldn't law mandate that all such data be Open (that is, published online as\n\nsoon as possible, in machine readable format with an open license etc...) just like, for example, the\n\nbudget of some Ministry? Answering these questions may be one of the biggest challenges for the\n\nOpen Data community, and for society as a whole, in the next years.\n\nHere are, in order to facilitate reflection on this issue, a few recent, real world examples of \"Public\n\nData\" that are *not* PSI, and of the impacts of their lack of openness.",
- "page_start": 23,
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- "source_file": "Open_Data_Report.pdf"
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- "text": "#### **3.6.1. Data alterations and financial sustainability**\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, *before*\n\nthey are published online. The most common concerns of this type are (from [Open Public Data: ](http://blog.okfn.org/2011/01/28/open-public-data-then-what-part-1/)\n\n[Then What? - Part 1](http://blog.okfn.org/2011/01/28/open-public-data-then-what-part-1/) ):\n\n1. Opening up PSI causes those data to not be produced anymore, or to be only produced as\n\nprivate property by private corporations, because the public agencies whose job was to\n\nproduce those data, can't sell them anymore.\n\n2. total accessibility of data provides more incentives to tinker with them, at the risk of\n\nreducing trust in institutions and inhibiting decision-making even more than today.\n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account\n\nis that, once data are open, routinely used and monitored by as many independent users as possible,\n\neven the cost of keeping them up to date may be sensibly reduced: in other words, in the\n\nmedium/long term Open Data may reduce the need to periodically perform complete, that is very\n\nexpensive, studies and surveys to update a whole corpus of data in one run.\n\nBesides, and above all, even if opening data always destroyed any source of income for the public\n\noffice that used to create and maintain them, this problem would only exist for the PSI datasets that\n\nare *already* sold today. Such data, even if of strategic importance as is the case with digital\n\ncartography, are only a minimal fraction of all the PSI that could and should be opened to increase\n\ntransparency, reduce the costs of Government and stimulate the economy. In all these other cases:\n\n- the money to generate the data already arrives by some other source than sales and\n\nlicensing(but even with those data it may be possible to generate them by crowdsourcing,\n\nthereby reducing those costs!)\n\n- the only extra expense caused by publishing those data online (assuming they're already\n\navailable in some digital format, of course!), would be the hosting and bandwidth costs, that\n\nmay be greatly reduced by mirroring and other technical solutions like torrents, already\n\nwidely used to distribute Free/Open Source Software (FOSS) through the Internet.\n\n#### **3.6.2. Real impact of data manipulation or misunderstanding**\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but\n\nto simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance\n\nof occasions to secretly play with data and how they are managed is a symptom of excessive, or\n\npeak complexity: again, problems and risks with Open Data are a symptom of a [pre-",
- "page_start": 16,
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- "source_file": "Open_Data_Report.pdf"
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- "text": "[with a project called \"Tales of Things\"](http://www.grist.org/article/2011-02-17-norways-facebook-killer-is-for-buses-only) to allow people to leave messages for each other (or just for\n\nthe world) at the bus stops. Scanning the QR code now allows people to see not just the bus\n\ntimetable, but also the notes other travelers have left on that stop, including *\"what's nearby, who's*\n\n*waiting for whom, what number can you call for a good time. It's a cross between bus stop*\n\n*Facebook and digital graffiti\"* , that happened thanks to the openness of the original bus stop data.\n\nThe [Social Life of Data Project](http://www.practicalparticipation.co.uk/odi/2011/05/new-project-the-social-life-of-data/) will study instead how particular datasets have been used, who used\n\nthem, how those people are connected and what conversations happen around Open Data.\n\n### **3.3. Legal issues remain crucial**\n\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this\n\nrule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing\n\nEaves, until a government get the licensing issue right, Open Data cannot bring all the possible\n\nbenefits in that country. If there are no guarantees that public data can be used without restriction,\n\nvery little happens in practice, and when it happens it may be something against the public interest.\n\nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process\n\nand analyze official crime data, also publishes online, with a proprietary license, anonymized\n\nsummaries of those data. When in 2010 another company, Report See Inc, scraped those data from\n\ntheir website to reuse them, Public Engines sued.\n\nReporting this, D. Eaves [rightly points out](http://eaves.ca/2010/09/21/does-your-government-and-thus-you-actually-own-its-data/) that *both* companies are right: one is trying to protect its\n\ninvestment, the other is simply trying to reuse what IS public data, by getting it from the ONLY\n\nplace where it's available. This is what happens when public officials leave the ownership of *public*\n\ndata to the third parties hired to collect them. Please note that, in practice, it makes very little\n\ndifference whether those third parties are private, for-profit corporations or even other Public\n\nAdministrations. Unless, of course, there are national laws already in place that define in advance\n\nwhat is the license of all present and future Public Data, *no matter how they were generated and by*\n\n*whom* , those data can be lost in any moment for society. In all other cases, the legal status of data\n\nwill be either officially closed and locked, or uncertain enough to prevent most or all reuses. In\n\nFebruary 2011, the [news came](http://www.techdirt.com/articles/20110221/01191413180/privatization-public-data-sets-bad-precedent.shtml) that, even if they weren't the original copyright holders, Public\n\nEngines had been able to put together enough legal claims to convince Report See to give up.\n\nDisputes like this should not happen and would not happen if all contracts regarding collection and\n\nmanagement of PSI clearly specified that all the resulting data either go directly into the public\n\ndomain (after being anonymized if necessary, of course) or remain exclusive property of the",
- "page_start": 12,
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- "source_file": "Open_Data_Report.pdf"
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- "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first\n\nis to protect a public administration from having to pay *twice* for those data, if it needs it again in\n\nthe future for some other internal activity, not explicitly mentioned in the initial contract. The\n\nsecond reason is to not spend more than what is absolutely necessary to respond to public records\n\nrequests, that is to comply with Freedom of Information laws.\n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is\n\nsharing it with all the citizens using the public services based on those data. A [real world example ](http://blog.okfn.org/2010/10/29/open-data-in-public-private-partnerships-how-citizens-can-become-true-watchdogs/)\n\nof this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bike-\n\nsharing scheme started in May 2009, through a partnerships with a private company: JCDecaux\n\nfinances the infrastructure and operates it, in exchange for advertising space on the bikes\n\nthemselves and on billboards at the bike sharing stations. The availability of bikes and parking\n\nspaces of each station is published online in real time on the official Villo's website.\n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website\n\nthat reuses those data to measure where and how often there aren't enough available bikes and\n\nparking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated\n\nit to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because\n\ncitizens could monitor the service by themselves, were possible just because the data from the\n\nofficial website were legally and automatically reusable.\n\n### **3.4. The price of digitization**\n\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if\n\nit is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that\n\nalready existed and must be fixed anyway, regardless (again) of openness. Any substantial increase\n\nof efficiency and reduction of the costs of Public Administrations can only happen when data and\n\nprocedures are digitized. The problem is that such digitization (which, obviously, must happen\n\nanyway sooner or later) can be very expensive and we are only now starting to really realize how\n\nmuch. Actual, material costs are not the worst problem here. Activities like semi-automatic\n\nscanning of paper documents or typing again their content inside some database, are relatively low,\n\none-time expenses that are also very easy to calculate and budget in advance with great precision.\n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is\n\nreally difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less\n\nautomatic procedures and file templates, formats, habits and customs developed, maybe over",
- "page_start": 13,
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- "text": "there is no mandate to support one group to centralize it.\n\nKenya's own OpenData.go.ke website has only ever seen a small handful of data sets,\n\nnone of which are now (early April 2011) available anymore. Groups like the Ministry\n\nof Education might publish some information on schools, but they won't give anyone\n\nthe location data.\n\n## **3. Emerging trends and issues related to Open**\n\n**Data**\n\nOne of the most common activities for Open Data activists in this moment is the creation of\n\ncountry-wide catalogs of all data sources, to facilitate individuation and correlation of independent\n\ndata sets. Normally, all initiatives of this type are announced on the Open Knowledge Foundation\n\n[blog](http://okfn.org/) and/or its data hub [CKAN](http://ckan.net/) . Another relevant development is the publication of an [Open Data ](http://opendatamanual.org/)\n\n[Manual](http://opendatamanual.org/) that *\"can be used by anyone but is especially designed for those seeking to open up data,*\n\n*since it discusses why to go open, what open is, and the how to 'Open' Data.\"* Activists in several\n\nEuropean countries have already published local versions of the manual, or equivalent documents.\n\nOn this background, several interesting issues, some of which were anticipated in the Open Data,\n\nOpen Society report, are coming in full light. They are presented, one at a time, in the following\n\nsections of this chapter.\n\n### **3.1. Cost of not opening PSI is increasing**\n\nMuch has been said on the *economic* benefits of opening public sector information, and much more\n\nremains to be said and studied. One part of this issue that is becoming more evident over time is that\n\nOpen Data are the simplest, if not the only way, to save Public Administrations from the costs that\n\nthey have *already* (and rightfully!) forced themselves to bear, through assorted laws and official\n\nregulations. This is explained well in the report from LinkedGov about the [economic impact of ](http://wiki.linkedgov.org/index.php/The_economic_impact_of_open_data)\n\n[open data](http://wiki.linkedgov.org/index.php/The_economic_impact_of_open_data) :\n\n*(p. 2) \"As the costs of disseminating and accessing information have declined, the*\n\n*transactions costs associated with charging for access to information, and controlling*\n\n*subsequent redistribution have come to constitute a major barrier to access in*\n\n*themselves. As a result, the case for free (gratis) provision of Public Sector Information*\n\n*is stronger than has already been recognized.*\n\nEaves provides a practical example from Canada in [Access to Information is Fatally Broken… You ](http://eaves.ca/2011/03/30/access-to-information-is-fatally-broken-you-just-dont-know-it-yet/)\n\n[Just Don't Know it Yet](http://eaves.ca/2011/03/30/access-to-information-is-fatally-broken-you-just-dont-know-it-yet/) : *the number of Access to Information Requests (ATIP) has almost tripled*",
- "page_start": 10,
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- "text": "opinion, the Wikileaks experience proves the advantages of Open Data.\n\nWas Wikileaks right to publish the cable? Were the specific facts and behaviors uncovered by\n\nCablegate right or wrong? The answer to these questions are outside the scope of this document.\n\nHere we only wish to point out that Cablegate and Wikileaks, at least in the form we've known them\n\nso far, have been about:\n\n- reacting to problems *after* they occurred\n\n- without any intervention and involvement of the parties and organizations that may have\n\nbehaved improperly\n\nOpen Data, instead, is about *prevention* of errors, abuses and inefficiencies, through conscious and\n\ncontinuous collaboration of citizens and governments officials *during* day to day operations, if not\n\nbefore their beginning.\n\nOf course, citizens must always check that they aren't getting incomplete or biased data. But in any\n\ncase, Open Data means that the involved government officials aren't just prepared to see that data\n\npublished, they know and accept it from the start. In such a context, some risks associated to\n\nWikileaks, like the fact that the leaker lacks the means to influence the downstream use of the\n\ninformation, and therefore may harm anybody connected to the linked information, are almost non-\n\nexistent.\n\nAbove all, unlike the content of most Wikileaks documents, Open Data are almost always data that\n\nshould surely be open, unlike wartime military reports, and that almost never contain any personal\n\ninformation. In summary, whatever the conclusions about Wikileaks are, they could not be\n\nconclusions against Open Data, because there are too many differences between the two\n\nmovements.\n\n### **2.2. Data Openness in EU**\n\nBoth the interest and the need for data openness at the European Union level remain high. Here,\n\nwithout making any complete analysis, we'll only report and comment a few relevant episodes.\n\nWhile studies continue to point at the political and economical advantages of Open Data, great\n\ninefficiencies and delays still keep the time and cost savings that could be achieved a far goal for\n\nthe European Union.\n\nAll the principles of the Open Declaration (collaboration, transparency, empowerment) have been\n\ndeclared key areas of action of the new EC eGov action plan. Particularly important, as explained\n\n*6/34*",
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- "text": "[During the 2024 Indian elections, US$50 millions was spent on authorized AI-generated content, notably](https://en.wikipedia.org/wiki/2024_Indian_general_election)\n\n[by creating deepfakes of allied (including sometimes deceased) politicians to better engage with voters,](https://en.wikipedia.org/wiki/Deepfake)\n\nand by translating speeches to various local languages. <sup>[182]</sup>\n\nAI has potential benefits and potential risks. <sup>[183]</sup> AI may be able to advance science and find solutions for\n\n[serious problems: Demis Hassabis of DeepMind hopes to \"solve intelligence, and then use that to solve](https://en.wikipedia.org/wiki/DeepMind)\n\neverything else\". <sup>[184]</sup> However, as the use of AI has become widespread, several unintended\n\nconsequences and risks have been identified. <sup>[185]</sup> In-production systems can sometimes not factor ethics\n\nand bias into their AI training processes, especially when the AI algorithms are inherently unexplainable\n\nin deep learning. <sup>[186]</sup>\n\nMachine learning algorithms require large amounts of data. The techniques used to acquire this data have\n\n[raised concerns about privacy, surveillance and copyright.](https://en.wikipedia.org/wiki/Copyright)\n\nAI-powered devices and services, such as virtual assistants and IoT products, continuously collect\n\npersonal information, raising concerns about intrusive data gathering and unauthorized access by third\n\nparties. The loss of privacy is further exacerbated by AI's ability to process and combine vast amounts of\n\ndata, potentially leading to a surveillance society where individual activities are constantly monitored and\n\nanalyzed without adequate safeguards or transparency.\n\nSensitive user data collected may include online activity records, geolocation data, video or audio. <sup>[187]</sup>\n\n[For example, in order to build speech recognition algorithms, Amazon has recorded millions of private](https://en.wikipedia.org/wiki/Amazon_(company))\n\n[conversations and allowed temporary workers to listen to and transcribe some of them.](https://en.wikipedia.org/wiki/Temporary_worker) <sup>[188]</sup> Opinions\n\n[about this widespread surveillance range from those who see it as a necessary evil to those for whom it is](https://en.wikipedia.org/wiki/Necessary_evil)\n\n[clearly unethical and a violation of the right to privacy.](https://en.wikipedia.org/wiki/Right_to_privacy) <sup>[189]</sup>\n\nAI developers argue that this is the only way to deliver valuable applications. and have developed several\n\n[techniques that attempt to preserve privacy while still obtaining the data, such as data aggregation, de-](https://en.wikipedia.org/wiki/De-identification)\n\n[identification and differential privacy.](https://en.wikipedia.org/wiki/Differential_privacy) <sup>[190]</sup> [ Since 2016, some privacy experts, such as Cynthia Dwork,](https://en.wikipedia.org/wiki/Cynthia_Dwork)\n\n[have begun to view privacy in terms of fairness. Brian Christian wrote that experts have pivoted \"from](https://en.wikipedia.org/wiki/Brian_Christian)\n\nthe question of 'what they know' to the question of 'what they're doing with it'.\" <sup>[191]</sup>\n\nGenerative AI is often trained on unlicensed copyrighted works, including in domains such as images or\n\n[computer code; the output is then used under the rationale of \"fair use\". Experts disagree about how well](https://en.wikipedia.org/wiki/Fair_use)\n\nand under what circumstances this rationale will hold up in courts of law; relevant factors may include\n\n\"the purpose and character of the use of the copyrighted work\" and \"the effect upon the potential market\n\nfor the copyrighted work\". <sup>[192][193]</sup> Website owners who do not wish to have their content scraped can\n\n[indicate it in a \"robots.txt\" file.](https://en.wikipedia.org/wiki/Robots.txt) <sup>[194]</sup> [ In 2023, leading authors (including John Grisham and Jonathan](https://en.wikipedia.org/wiki/Jonathan_Franzen)\n\n### **Ethics**\n\n#### **Risks and harm**\n\n##### **Privacy and copyright**",
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- "query": "How did serum estradiol and progesterone levels change during pregnancy?",
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- "target_passage": "Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum",
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- "text": "**2255**\n\n### **Discussion**\n\nConverging evidence across mammalian species points to pregnancy\n\nas a remarkable period of neuroplasticity, revealing the brain’s ability\n\nto undergo adaptive, hormonally-driven neuroanatomical changes\n\nbeyond adolescence <sup>13</sup> <sup>-</sup> <sup>15</sup> <sup>,</sup> <sup>20</sup> <sup>,</sup> <sup>21</sup> <sup>,</sup> <sup>24</sup> <sup>-</sup> <sup>26</sup> . Investigations that compare women\n\nprepregnancy and then again postpartum provide the strongest evi-\n\ndence to date that the human brain undergoes such neural changes <sup>11</sup> <sup>,</sup> <sup>27</sup> .\n\nBut what about pregnancy itself? Over what time course do anatomical\n\nchanges in the maternal brain manifest? Are they tied to the substantial\n\nincrease in sex hormone production? Here we begin to address these\n\nPregnancy stages Sex steroid hormones\n\nProgesterone ng ml\n\n- 1 17 β\n\n-estradiol pg ml\n\n- 1\n\n12,500 100 17 β -estradiol\n\nProgesterone\n\nPre 1st 2nd 3rd Post\n\n<0 0- 13 14- 26 27- 40 >40\n\nGestation weeks\n\n**a b**\n\nWeeks since conception\n\n0 0\n\nBirth\n\n- 1 10 20 30 40 50\n\nStudy overview\n\n//\n\nWhole-brain T1\n\nMTL scan\n\nDifusion MRI\n\nBlood serum\n\nPre/IVF Pregnancy Birth Postpartum\n\n**c**\n\n0 14 27 40 60 93 162\n\nWeeks since conception\n\nSummary brain measures\n\nGMV (×10\n\n5\n\nmm\n\n3 )\n\nCT\n\n(×10 6 mm)\n\nBrain vol (×10 6 mm\n\n3 )\n\nGlobal quant. anisotropy\n\nLat ventricles (mm 3 )\n\nCSF (mm\n\n3 )\n\n**d**\n\nWeeks since conception Weeks since conception\n\n4.60\n\n1.80\n\n1.60\n\n1.29\n\n1.27\n\n4.80\n\n| 0 |\n|---:|\n| 0 |\n\n50 100 150\n\n50 100 150\n\n0 50 100 150\n\n24,500\n\n26,000\n\n0.44\n\n0.38\n\n4,800\n\n3,900\n\n*R* <sup>2</sup> adj <sup>= 0.79,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.50,</sup> *<sup>P</sup>* <sup>= 0.007</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.77,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.91,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.75,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.90,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\nBirth Birth\n\n| 0 |\n|---:|\n| 0 |\n\n50 100 150\n\n0 50 100 150\n\n//\n\n//\n\n//\n\n50 100 150\n\n0\n\n### **Fig. 1 | Precision imaging reveals neuroanatomical changes throughout**\n\n**gestation. a** , Standard medical demarcations for pregnancy stages (that is,\n\ntrimesters) by gestation week (the image is created with BioRender.com).\n\n**b** , Steroid hormones increased significantly throughout pregnancy and dropped\n\nprecipitously postpartum, as is characteristic of the prenatal and postnatal\n\nperiods. **c** , A healthy 38-year-old primiparous woman underwent 26 scanning\n\nsessions from 3 weeks preconception through 2 years postpartum. Scans were\n\ndistributed throughout preconception (four scans), first trimester (four scans),\n\nsecond trimester (six scans), third trimester (five scans) and postpartum\n\n(seven scans); tick marks indicate when major measures were collected and\n\ncolors denote pregnancy stage. The participant underwent IVF to achieve\n\npregnancy, allowing for precise mapping of ovulation, conception and gestation\n\nweek. **d** , Summary (that is, total) of brain measures throughout the experiment.\n\nGeneralized additive models revealed GMV, CT and total brain volume decreased\n\nthroughout pregnancy (see Methods for validation with cubic regression), with\n\na slight recovery postpartum. Global QA, lateral ventricle and CSF volumes\n\ndisplayed nonlinear increases across gestation, with a notable rise in the second\n\nand third trimesters before dropping sharply postpartum. Shaded regions\n\nrepresent 95% confidence bands; solid lines indicate model fit; dashed line\n\nindicates parturition.",
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- "text": "**2253**\n\n**nature neuroscience**\n\n[https://doi.org/10.1038/s41593-024-01741-0](https://doi.org/10.1038/s41593-024-01741-0) **Resource**\n\n## **Neuroanatomical changes observed over the course of a human pregnancy**\n\n**Laura Pritschet <sup>1</sup> , Caitlin M. Taylor <sup>1</sup> , Daniela Cossio <sup>2</sup> ,**\n\n**[Joshua Faskowitz ](http://orcid.org/0000-0003-1814-7206) <sup>3</sup> , Tyler Santander <sup>1</sup> [, Daniel A. Handwerker ](http://orcid.org/0000-0001-7261-4042) <sup>3</sup> ,**\n\n**Hannah Grotzinger <sup>1</sup> , Evan Layher <sup>1</sup> [, Elizabeth R. Chrastil ](http://orcid.org/0000-0003-2544-0152) <sup>2,5</sup> &**\n\n**[Emily G. Jacobs ](http://orcid.org/0000-0003-0001-5096) <sup>1,4,5</sup>**\n\nPregnancy is a period of profound hormonal and physiological changes\n\nexperienced by millions of women annually, yet the neural changes\n\nunfolding in the maternal brain throughout gestation are not well studied\n\nin humans. Leveraging precision imaging, we mapped neuroanatomical\n\nchanges in an individual from preconception through 2 years postpartum.\n\nPronounced decreases in gray matter volume and cortical thickness were\n\nevident across the brain, standing in contrast to increases in white matter\n\nmicrostructural integrity, ventricle volume and cerebrospinal fluid, with\n\nfew regions untouched by the transition to motherhood. This dataset serves\n\nas a comprehensive map of the human brain across gestation, providing an\n\nopen-access resource for the brain imaging community to further explore\n\nand understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies\n\nin their lifetime <sup>1</sup> , with 140 million women becoming pregnant each\n\nyear. Over an approximately 40-week gestational window, the maternal\n\nbody undergoes profound physiological adaptations to support the\n\ndevelopment of the fetus, including increases in plasma volume, meta-\n\nbolic rate, oxygen consumption and immune regulation <sup>2</sup> . These rapid\n\nadaptations are initiated by 100-fold to 1,000-fold increases in hormone\n\nproduction, including estrogen and progesterone. These neuromodu-\n\nlatory hormones also drive significant reorganization of the central\n\nnervous system. Evidence from animal models and human studies con-\n\nverge on pregnancy as a period of remarkable neuroplasticity <sup>3</sup> <sup>-</sup> <sup>10</sup> (see\n\nref. 10 for one of the earliest known observations). Gestational increases\n\nin steroid hormone synthesis drive neurogenesis, dendritic spine\n\ngrowth, microglial proliferation, myelination and astrocyte remodeling\n\n(for review, see ref. 11 ). These cellular changes are pronounced in brain\n\ncircuits that promote maternal behavior. For example, Ammari et al.\n\nrecently discovered that steroid hormones can fine-tune the response\n\nproperties of galanin neurons in the rodent medial preoptic area of\n\nthe hypothalamus (mPOA), leading to enhanced sensitivity in dams\n\nto sensory cues from newborn pups <sup>12</sup> .\n\nIn humans, reductions in gray matter volume (GMV) have\n\nbeen observed postpartum <sup>13</sup> <sup>-</sup> <sup>16</sup> , particularly in regions central to\n\ntheory-of-mind processing <sup>13</sup> . These GMV changes persist at 6 years\n\npostpartum <sup>17</sup> and are traceable decades later <sup>18</sup> <sup>,</sup> <sup>19</sup> , underscoring the\n\npermanence of this major remodeling event. And yet the changes that\n\noccur within the maternal brain during gestation itself are virtually\n\nunknown (see ref. 20 for early neuroimaging insight). A recent study by\n\nPaternina-Die et al. offers intriguing clues <sup>21</sup> . Women were scanned once\n\nin the third trimester and again in the postpartum period, revealing a\n\nreduction of cortical volume observable in the late pregnancy scan.\n\nThese findings suggest that pregnancy is a highly dynamic period for\n\nneural remodeling, yet neuroscientists lack a detailed map of how the\n\nhuman brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in\n\nwhich a healthy 38-year-old primiparous woman underwent 26 mag-\n\nnetic resonance imaging (MRI) scans and venipuncture beginning\n\n3 weeks preconception through 2 years postpartum. We observed\n\nwidespread reductions in cortical GMV and cortical thickness (CT)\n\noccurring in step with advancing gestational week and the dramatic\n\nrise in sex hormone production. Remodeling was also evident within\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\n[ Check for updates](http://crossmark.crossref.org/dialog/?doi=10.1038/s41593-024-01741-0&domain=pdf)\n\n1 Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2 Department of Neurobiology and Behavior, University\n\nof California, Irvine, CA, USA. <sup>3</sup> Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National\n\nInstitutes of Health, Bethesda, MD, USA. <sup>4</sup> Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. <sup>5</sup> These authors contributed\n\nequally: Elizabeth R. Chrastil, Emily G. Jacobs. e-mail: [laura.pritschet@pennmedicine.upenn.edu](mailto:laura.pritschet@pennmedicine.upenn.edu) ; [chrastil@uci.edu](mailto:chrastil@uci.edu) ; [emily.jacobs@psych.ucsb.edu](mailto:emily.jacobs@psych.ucsb.edu)",
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- "text": "**2254**\n\nassociated brain networks appear to decrease in volume at a faster\n\nrate than the rest of the brain throughout pregnancy, as determined\n\nby a subsequent analysis controlling for total GMV (Supplementary\n\nTables 1 and 2). GMV reductions were also significantly correlated with\n\nthe participant’s estradiol and progesterone concentrations (Supple-\n\nmentary Table 1). A highly similar pattern of results was observed when\n\nexamining pregnancy-related CT changes (Supplementary Fig. 3 and\n\nSupplementary Tables 4 and 5). Significant reductions in cortical GMV\n\nover gestation remained after controlling for standard quality control\n\n(QC) metrics, albeit with some influence on the magnitude and location\n\nof the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork\n\nC), limbic (subnetworks A and B) and visual peripheral networks buck\n\nthe global trend by slightly increasing (for example, temporal poles),\n\nremaining constant (for example, orbitofrontal cortex) or reducing at\n\na much slower rate (for example, extrastriate cortex) than total GMV\n\n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these\n\nregions exhibit similar patterns (Supplementary Fig. 3 and Supple-\n\nmentary Tables 4 and 5).\n\n#### **Subcortical GMV changes tied to gestation**\n\nConsistent with the broader cortical reductions in GMV, several subcor-\n\ntical regions significantly reduced in volume across gestation (Fig. 3a ,\n\nleft). This included bilateral ventral diencephalon (right hemisphere\n\nvalues shown in Fig. 3a , right; encompasses hypothalamus, substantia\n\nnigra, mammillary body, lateral geniculate nucleus and red nucleus\n\namong others <sup>22</sup> ), caudate, hippocampus and thalamus, along with left\n\nputamen and brain stem (Supplementary Table 6, *q* < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to\n\ninterrogate subcortical structures at a finer resolution, revealing non-\n\nlinear volumetric decreases in CA1 ( *F* (2,15) = 5.84, *q* = 0.031, *R* <sup>2</sup> adj <sup>= 0.36;</sup>\n\nFig. 3b , left) and CA2/CA3 ( *F* (2,15) = 6.82, *q* = 0.027, *R* <sup>2</sup> adj <sup>= 0.41; Fig.</sup> <sup>3b</sup> <sup>,</sup>\n\nmiddle) across gestation. PHC exhibited linear volumetric decreases\n\nacross gestation ( *F* (1,16) = 24.87, *q* < 0.001, *R* <sup>2</sup> adj <sup>= 0.58; Fig.</sup> <sup>3b</sup> <sup>, right)</sup>\n\nwhich was also tied to estradiol ( *F* (1,12) = 20.21, *q* = 0.005, *R* <sup>2</sup> adj <sup>= 0.60).</sup>\n\nAll three relationships remained significant after proportional correc-\n\ntion for total GMV. There was no significant change in other subregions\n\nor total volume of the hippocampal body, or in the parahippocampal\n\ngyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n#### **White matter microstructure changes tied to gestation**\n\nIn contrast to decreasing global GMV, correlational tractography of\n\nwhite matter, which tests for linear trends in the data, revealed increas-\n\ning microstructural integrity across the whole brain during gestation\n\n(Fig. 4a ), concomitant with the rise in 17β-estradiol and progesterone\n\n(all *q* < 0.001; Supplementary Fig. 9). Tracts displaying robust corre-\n\nlations with gestational week included the corpus callosum, arcuate\n\nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal\n\nfasciculus (Fig. 4b ), as well as the cingulum bundle, middle and superior\n\nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon-\n\ntine tracts (see Supplementary Table 9 for complete list).\n\n#### **Comparing brain changes across pregnancy against controls**\n\nWe then compared the changes in GMV across gestation to that of typi-\n\ncal variability over time, derived from eight densely-sampled controls <sup>23</sup> .\n\nThe GMV changes we see across pregnancy far exceed normative brain\n\nvariability (Supplementary Fig. 11). On average, change in cortical GMV\n\nwas nearly three times higher than controls scanned over a similar\n\nduration (Supplementary Fig. 11a,b). This extends to MTL subfields,\n\nwherein change in volume was three to four times greater across gesta-\n\ntion than normative brain variability (Supplementary Fig. 11c,d). We\n\ncontextualized these findings further by comparing gestational GMV\n\nchange against our participant’s preconception brain volumes; average\n\nGMV change during pregnancy was six times (cortical) and three times\n\n(MTL) higher than the variability observed between baseline sessions.\n\nsubcortical structures, including the ventral diencephalon, caudate,\n\nthalamus, putamen and hippocampus. High-resolution imaging and\n\nsegmentation of the medial temporal lobe (MTL) extend these findings\n\nfurther, revealing specific volumetric reductions within hippocampal\n\nsubfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In con-\n\ntrast to widespread decreases in cortical and subcortical GMV, cor -\n\nrelational tractography analyses revealed nonlinear increases in white\n\nmatter quantitative anisotropy (QA) throughout the brain—indicating\n\ngreater tract integrity—as gestational week progressed. Together, these\n\nfindings reveal the highly dynamic changes that unfold in a human\n\nbrain across pregnancy, demonstrating a capacity for extensive neural\n\nremodeling well into adulthood.\n\n### **Results**\n\n#### **Serological evaluations**\n\nSerological evaluations captured canonical hormone fluctuations\n\ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b ).\n\nSerum hormone concentrations increased significantly over the course\n\nof pregnancy and dropped precipitously postpartum (preconcep-\n\ntion, estradiol (E) = 3.42 pg ml <sup>−1</sup> and progesterone (P) = 0.84 ng ml <sup>−1</sup> ;\n\n3 weeks preparturition, E = 12,400 pg ml <sup>−1</sup> and P = 103 ng ml <sup>−1</sup> ; 3 months\n\npostparturition, E = 11.50 pg ml <sup>−1</sup> and P = 0.04 ng ml <sup>−1</sup> ).\n\n#### **Whole-brain dynamics from baseline through postpartum**\n\nTo begin, we characterized broad neuroanatomical changes over the\n\ncourse of the entire experimental window (baseline—2 years postpar-\n\ntum, 26 scans; Fig. 1d ). Generalized additive models revealed strong\n\nnonlinear (effective degrees of freedom > 3) relationships between\n\nweeks since conception and summary brain metrics. Total GMV\n\n( *F* = 27.87, *P* < 0.001, deviance explained = 93.9%, *R* <sup>2</sup> adj <sup>= 0.91), summary</sup>\n\nCT ( *F* = 15.79, *P* < 0.001, deviance explained = 78.6%, *R* <sup>2</sup> adj <sup>= 0.75) and</sup>\n\ntotal brain volume ( *F* = 26.12, *P* < 0.001, deviance explained = 93.4%,\n\n*R* <sup>2</sup> adj <sup>= 0.90) linearly decreased during gestation and appeared to</sup>\n\npartially rebound postpartum. In contrast, global microstructural\n\nintegrity (QA) of white matter increased throughout the first and sec-\n\nond trimesters before returning to baseline levels in the postpartum\n\nperiod (whole-brain QA, *F* = 4.62, *P* = 0.007, deviance explained = 60.2%,\n\n*R* <sup>2</sup> adj <sup>= 0.51). We also observed nonlinear patterns of lateral ventricle</sup>\n\nexpansion *(F* = 10.44, *P* < 0.001, deviance explained = 83.8%, *R* <sup>2</sup> adj <sup>= 0.77)</sup>\n\nand increased cerebrospinal fluid (CSF; *F* = 13.32, *P* < 0.001, deviance\n\nexplained = 83.8%, *R* <sup>2</sup> adj <sup>= 0.79) rising in the second and third trimesters</sup>\n\nbefore dropping sharply postpartum.\n\n#### **Cortical volume and thickness changes tied to gestation**\n\nWe then narrowed the aperture to capture changes unfolding within\n\ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships\n\nbetween summary brain metrics were evident over the gestational\n\nperiod as follows: total brain volume, GMV and CT were positively asso -\n\nciated with one another, whereas lateral ventricles, CSF and global QA\n\ndemonstrated negative relationships with GMV (Supplementary Fig. 1).\n\nChanges in GMV were near-ubiquitous across the cortical mantle\n\n(Fig. 2a ). Most large-scale brain networks exhibited decreases in GMV\n\n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of\n\ninterest (ROI) demonstrated negative relationships between GMV and\n\ngestation week (Fig. 2a and Supplementary Table 2). Together, these\n\nresults provide evidence of a global decrease in cortical volume across\n\npregnancy. Several sensory and attention subnetworks were particu-\n\nlarly sensitive to gestation, including the control (subnetwork B), sali-\n\nence/ventral attention (subnetwork A), dorsal attention (subnetwork\n\nB), default (subnetwork A) and somatomotor (subnetworks A and B)\n\nnetworks (Supplementary Table 1). Regions driving these network-level\n\nchanges include the bilateral inferior parietal lobe, postcentral gyri,\n\ninsulae, prefrontal cortex, posterior cingulate and somatosensory\n\ncortex (Fig. 2c , Supplementary Table 2 and validation of findings using\n\nalternate pipeline in Supplementary Tables 1 and 3). These regions and",
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- "text": "**2258**\n\noverlook the full range of changes that unfold within the gestational\n\nwindow, and underrepresent the brain’s metamorphosis during preg-\n\nnancy. Furthermore, although observed changes were largely global,\n\nsome regions displayed notable stability (for example, extrastriate cor-\n\ntex). The subcortical region that displayed the strongest relationship\n\nwith gestation week was the ventral diencephalon, which encompasses\n\nthe hypothalamus and subsequent medial preoptic area and paraven-\n\ntricular nucleus—structures critical for inducing maternal behavior <sup>12</sup> <sup>,</sup> <sup>16</sup> .\n\nThe hippocampus exhibited a reduction in volume across gestation,\n\nand with higher spatial resolution, this reduction was revealed to be\n\ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other\n\nhippocampal subfields remained stable. Adjacent PHC within the\n\nMTL also exhibited volume reduction across gestation. While our hip-\n\npocampal findings are consistent with pre/post studies of pregnancy <sup>13</sup> ,\n\nthe precision lens applied within gestation revealed the nonlinear\n\nnature of this reduction. Recapitulating and clarifying these region-\n\nally specific patterns of volume change throughout the MTL merits\n\nfurther investigation.\n\nSimilar precision imaging studies have captured dynamic brain\n\nreorganization across other neuroendocrine transitions, such as the\n\nmenstrual cycle (see review in ref. 28 ), underscoring the powerful\n\nrole steroid hormones have in shaping the mammalian brain <sup>29</sup> . Endo-\n\ncrine changes across pregnancy dwarf those that occur across the\n\nmenstrual cycle, which highlights the critical need to map the brain’s\n\nresponse to this unique hormonal state. Broad physiological changes\n\noccur in tandem with the rise in steroid hormones, including changes\n\nin body mass composition, water retention, immune function and\n\nsleep patterns <sup>11</sup> . These factors could have a role in the brain changes\n\nobserved here, with some driving neurobiological changes and others,\n\nlike water retention, potentially affecting MRI-based measurements.\n\nNote that, although cortical reductions in GMV over gestation were\n\nstable across analyses, accounting for QC measures influenced the\n\nmagnitude and location of these results. These metrics all fell within\n\nthe standard range, but there may be meaningful reductions in signal\n\nthat accompany volumetric reductions (for example, increased CSF\n\nand decreased GM)—a methodological nuance that goes beyond the\n\nscope of this resource study. Ultimately, identifying the shared and\n\nunique contributions of these factors to the neuroanatomical changes\n\nthat unfold across gestation warrants further investigation. Deeply\n\nphenotyping a large and diverse cohort of women across pregnancy will\n\nopen up new avenues of exploration, for example, allowing research-\n\ners to link blood-based proteomic signatures to pregnancy outcomes;\n\ndeploying wearable devices to monitor changes in sleep, cognition and\n\nmood; and probing the broader social and environmental determinants\n\nof maternal health <sup>27</sup> .\n\nThe neuroanatomical changes that unfold during matrescence\n\nmay have broad implications for understanding individual differences\n\nin parental behavior <sup>13</sup> <sup>,</sup> <sup>24</sup> <sup>,</sup> <sup>30</sup> <sup>,</sup> <sup>31</sup> , vulnerability to mental health disorders <sup>32</sup> <sup>,</sup> <sup>33</sup>\n\nand patterns of brain aging <sup>18</sup> <sup>,</sup> <sup>19</sup> <sup>,</sup> <sup>34</sup> <sup>-</sup> <sup>36</sup> . Decreases in GMV may reflect\n\n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara-\n\ntion for parenthood <sup>26</sup> . For example, in rodents, steroid hormones\n\npromote parental behavior by remodeling specific neural circuits in the\n\nmedial preoptic area of the hypothalamus. These behavioral adapta-\n\ntions are critical to the dam’s ability to meet the demands of caring for\n\n**a b**\n\nQuantitative anisotropy (zero centered)\n\nIndividual tracts\n\nCorpus Callosum\n\nR inf. fronto occipital fasc.\n\nGestation + postpartum\n\nSummary white matter tracts\n\nGestation\n\nStage Stage\n\nL inf. longitudinal fasc.\n\nL arcuate fasciculus\n\nPre 1st 2nd 3rd Post\n\nAF\n\nC\n\nCC\n\nCS\n\nIFOF\n\nILF\n\nCPT\n\nCST\n\nDT\n\nMLF\n\nPre 1st 2nd 3rd Post Pre 1st 2nd 3rd Post\n\nPre 1st 2nd 3rd Post\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n### **Fig. 4 | White matter microstructure changes throughout the experiment.**\n\n**a** , Numerous white matter tracts demonstrate increasing QA in relation to\n\nadvancing gestation week (baseline—36 weeks, 16 scans), as determined by\n\ncorrelational tractography analysis (FDR, *q* < 0.0001). See Supplementary\n\nTable 9 for complete list of tracts with a significant correlation between QA and\n\ngestation week. **b** , Summary of QA values by pregnancy stage (gestation and\n\npostpartum, 23 scans) for representative ROIs significantly tied to gestation.\n\nROI-based tractometry was used to extract QA values. Each boxplot represents\n\nIQR for each stage, with a horizontal line representing the median value. The\n\nwhiskers indicate variability outside (±1.5) of this range. Outside values are >1.5×\n\nand <3× IQR beyond either end of the box. Values were *z* scored and transformed\n\nto have a mean of zero and s.d. of one for easier comparison across individual\n\ntracts. AF, arcuate fasciculus; C, cingulum bundle; CC, corpus callosum; CPT,\n\ncorticopontine tracts; CS, corticostriatal tracts; CST, corticospinal tracts; DT,\n\ndentatorubrothalamic tract; IFOF, inferior frontal occipital fasciculus; ILF,\n\ninferior longitudinal fasciculus; MLF, middle longitudinal fasciculus.",
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Psychiatry* **180** , 668- 675 (2023).\n\n47. Shehata, H. A. & Okosun, H. Neurological disorders in pregnancy.\n\n*Curr. Opin. Obstet. Gynecol.* **16** , 117- 122 (2004).\n\n48. Mowinckel, A. M. & Vidal-Piñeiro, D. Visualization of brain statistics\n\nwith R packages ggseg and ggseg3d. *Adv. Methods Pract.*\n\n*Psychol. Sci.* **3** , 466- 483 (2020).\n\n**Publisher’s note** Springer Nature remains neutral with regard to\n\njurisdictional claims in published maps and institutional affiliations.\n\n**Open Access** This article is licensed under a Creative Commons\n\nAttribution 4.0 International License, which permits use, sharing,\n\nadaptation, distribution and reproduction in any medium or format,\n\nas long as you give appropriate credit to the original author(s) and the\n\nsource, provide a link to the Creative Commons licence, and indicate\n\nif changes were made. The images or other third party material in this\n\narticle are included in the article’s Creative Commons licence, unless\n\nindicated otherwise in a credit line to the material. If material is not\n\nincluded in the article’s Creative Commons licence and your intended\n\nuse is not permitted by statutory regulation or exceeds the permitted\n\nuse, you will need to obtain permission directly from the copyright\n\nholder. To view a copy of this licence, visit [http://creativecommons.](http://creativecommons.org/licenses/by/4.0/)\n\n[org/licenses/by/4.0/](http://creativecommons.org/licenses/by/4.0/) .\n\n© The Author(s) 2024",
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- "text": "**2259**\n\nthe offspring <sup>12</sup> . Human studies have revealed GMV reductions in areas\n\nof the brain important for social cognition and the magnitude of these\n\nchanges corresponds with increased parental attachment <sup>13</sup> . Deeper\n\nexamination of cellular and systems-level mechanisms will improve\n\nour understanding of how pregnancy remodels specific circuits to\n\npromote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal\n\nbehavior and white matter microstructure (particularly connectiv-\n\nity between temporal and occipital lobes) have been noted <sup>31</sup> . Here we\n\nreveal pronounced GMV changes in regions within sensory, attention\n\nand default mode networks over the gestational window. In paral-\n\nlel, we observed increased anisotropy in white matter tracts that\n\nfacilitate communication between emotional and visual processing\n\nhubs <sup>37</sup> <sup>-</sup> <sup>39</sup> , including the inferior longitudinal fasciculus and inferior\n\nfronto-occipital fasciculus. Pinpointing the synchrony of gray and\n\nwhite matter changes that unfold in the maternal brain could be\n\nkey to understanding the behavioral adaptions that emerge during\n\nand after pregnancy, such as honing the brain’s visual and auditory\n\nresponses to infant cues and eliciting maternal behavior. Research\n\ninto other major transition periods supports this idea. For instance,\n\nadolescence is a dynamic period characterized by region-specific,\n\nnonlinear decreases in GMV and increases in WMV, maturational\n\nbrain changes that are tied to gains in executive function and social\n\ncognition <sup>40</sup> . For both adolescence <sup>41</sup> and matrescence, the consider-\n\nable rise in steroid hormone production appears to remodel the brain\n\n(see ref. 25 for comparative analysis), promoting a suite of behaviors\n\nadaptive to that life stage. How specific neural changes give rise to\n\nspecific behavioral adaptations has yet to be fully explored with\n\nrespect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes\n\nacross pregnancy in a single individual, precluding our ability to gen-\n\neralize to the broader population. To benchmark our findings, we com-\n\npared the magnitude of GMV changes observed throughout pregnancy\n\nagainst data from nonpregnant individuals sampled over a similar time\n\ncourse. Doing so provided compelling evidence that pregnancy-related\n\nneuroanatomical shifts far exceed normative day-to-day brain variabil-\n\nity and measurement error. Evidence suggests that white matter micro-\n\nstructure remains fairly stable over a six-month period <sup>42</sup> , but more\n\nstudies are needed to compare the degree of white matter changes\n\nobserved during pregnancy to normative change over time. Further,\n\nsampling larger cohorts of women will generate much-needed norma-\n\ntive models of brain change (akin to ref. 43 ) throughout pregnancy to\n\nestablish what constitutes a typical degree of neuroanatomical change\n\nexpected during gestation and postpartum recovery.\n\nThese findings provide a critical rationale for conducting further\n\nprecision imaging studies of pregnancy in demographically enriched\n\ncohorts to determine the universality and idiosyncrasy of these adap-\n\ntations and their role in maternal health. Are the changes observed in\n\nour participant reflective of the broader population? Do deviations\n\nfrom the norm lead to maladaptive outcomes? A precision imaging\n\napproach can help determine whether the pace of pregnancy-induced\n\nneuroanatomical changes drives divergent brain health outcomes in\n\nwomen, as may be the case during other rapid periods of brain devel-\n\nopment <sup>44</sup> . One in five women experiences perinatal depression <sup>45</sup> and\n\nwhile the first FDA-approved treatment is now available <sup>46</sup> , early detec-\n\ntion remains elusive. Precision imaging studies could offer clues about\n\nan individual’s risk for or resilience to depression before symptom\n\nonset, helping clinicians better determine when and how to intervene.\n\nNeuroscientists and clinicians also lack tools to facilitate detection\n\nand treatment of neurological disorders that co-occur, worsen or\n\nremit with pregnancy, such as epilepsy, headaches, multiple sclerosis\n\nand intracranial hypertension <sup>47</sup> . Precision mapping of the maternal\n\nbrain lays the groundwork for a greater understanding of the subtle\n\nand sweeping structural, functional, behavioral and clinical changes\n\nthat unfold across pregnancy. Such pursuits will advance our basic\n\nunderstanding of the human brain and its remarkable ability to undergo\n\nprotracted plasticity in adulthood.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting sum-\n\nmaries, source data, extended data, supplementary information,\n\nacknowledgements, peer review information; details of author con-\n\ntributions and competing interests; and statements of data and code\n\navailability are available at [https://doi.org/10.1038/s41593-024-01741-0](https://doi.org/10.1038/s41593-024-01741-0) .\n\n**References** 1. World Health Organization. Maternal, newborn, child and\n\nadolescent health and ageing. [platform.who.int/data/](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing)\n\n[maternal-newborn-child-adolescent-ageing](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing) (2022).\n\n2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. *Knobil and Neill’s*\n\n*Physiology of Reproduction* pp. 1927- 1955 (Elsevier, 2015).\n\n3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for\n\nmotherhood. *Nat. Rev. Neurosci.* **9** , 11- 25 (2008).\n\n4. Gregg, C. Pregnancy, prolactin and white matter regeneration.\n\n*J. Neurol. Sci.* **285** , 22- 27 (2009).\n\n5. Haim, A. et al. A survey of neuroimmune changes in pregnant\n\nand postpartum female rats. *Brain Behav. Immun.* **59** ,\n\n67- 78 (2017).\n\n6. Barrière, D. A. et al. Brain orchestration of pregnancy and\n\nmaternal behavior in mice: a longitudinal morphometric study.\n\n*NeuroImage* **230** , 117776 (2021).\n\n7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The\n\ngenomic architecture of pregnancy-associated plasticity in\n\nthe maternal mouse hippocampus. *eNeuro* **9** , ENEURO.0117-22.\n\n2022 (2022).\n\n8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex differences:\n\nshort- and long-term effects of pregnancy on the brain. *Trends*\n\n*Neurosci.* **46** , 459- 471 (2023).\n\n9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural\n\nstem cells for transient neurogenesis in mothers. *Science* **382** ,\n\n958- 963 (2023).\n\n10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity\n\ninduced by environment and pregnancy. *Int. J. Neurosci.* **2** ,\n\n171- 178 (1971).\n\n11. Servin-Barthet, C. et al. The transition to motherhood:\n\nlinking hormones, brain and behaviour. *Nat. Rev. Neurosci.* **24** ,\n\n605- 619 (2023).\n\n12. Ammari, R. et al. Hormone-mediated neural remodeling\n\norchestrates parenting onset during pregnancy. *Science* **382** ,\n\n76- 81 (2023).\n\n13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in\n\nhuman brain structure. *Nat. Neurosci.* **20** , 287- 296 (2017).\n\n14. Hoekzema, E. et al. Mapping the effects of pregnancy on\n\nresting state brain activity, white matter microstructure, neural\n\nmetabolite concentrations and grey matter architecture. *Nat.*\n\n*Commun.* **13** , 6931 (2022).\n\n15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O.\n\n& Carmona, S. Characterizing the brain structural adaptations\n\nacross the motherhood transition. *Front. Glob. Womens Health* **2** ,\n\n742775 (2021).\n\n16. Spalek, K. et al. Pregnancy renders anatomical changes in\n\nhypothalamic substructures of the human brain that relate to\n\naspects of maternal behavior. *Psychoneuroendocrinology* **164** ,\n\n107021 (2024).\n\n17. Martínez-García, M. et al. Do pregnancy-induced brain changes\n\nreverse? The brain of a mother six years after parturition. *Brain Sci.*\n\n**11** , 168 (2021b).\n\n18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals\n\ntraces of childbirth in the maternal brain. *Proc. Natl Acad. Sci. USA*\n\n**116** , 22341- 22346 (2019).",
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- "text": "**Methods**\n\n**Participant**\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman\n\nwho underwent in-vitro fertilization (IVF) to achieve pregnancy. Pre-\n\nvious studies reported no observable differences in neural changes\n\nfrom prepregnancy to postpregnancy between women who conceived\n\nnaturally versus women who conceived via IVF <sup>13</sup> , and doing so provides\n\na controlled way of monitoring pregnancy status. The participant\n\nexperienced no pregnancy complications (for example, gestational\n\ndiabetes and hypertension), delivered at full term via vaginal birth,\n\nnursed through 16 months postpartum, and had no history of neu-\n\nropsychiatric diagnosis, endocrine disorders, prior head trauma or\n\nhistory of smoking. The participant gave written informed consent and\n\nthe study was approved by the University of California, Irvine Human\n\nSubjects Committee.\n\n**Study design**\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks\n\nbefore conception through 2 years postpartum (162 weeks), during\n\nwhich high-resolution anatomical and diffusion spectrum imaging\n\nscans of the brain were acquired. Scans were distributed throughout\n\nthis period, including prepregnancy (four scans), first trimester (four\n\nscans), second trimester (six scans), third trimester (five scans) and\n\npostpartum (seven scans; Fig. 1c ). The first 6 sessions took place at\n\nthe UCSB Brain Imaging Center (BIC), the final 20 sessions took place\n\nat the UCI Facility for Imaging and Brain Research (FIBRE). The major-\n\nity of scans took place between 9 AM and 2 PM, limiting significant\n\nAM- PM fluctuations <sup>49</sup> . The MRI protocol, scanner (Siemens 3T Prisma)\n\nand software (version MR E11) were identical across sites. Each scan-\n\nner was checked weekly for the duration of the study and passed all\n\nQC reports indicating no significant alterations in the geometry. To\n\nensure the robustness of the findings, after the final study session, the\n\nparticipant completed back-to-back validation scans at UCI and UCSB\n\nwithin a 12-h window to assess reliability between scanners. Intraclass\n\ncorrelation coefficients (two-way, random effects, absolute agreement,\n\nsingle rater) reveal ‘excellent’ test- retest reliability between scanners,\n\nincluding ROI-level GMV (ICC = 0.97, 95% CI: 0.80- 0.99), ROI-level\n\nCT (ICC = 0.96, 95% CI: 0.90- 0.98), MTL subfield volume (ICC = 0.99,\n\n95% CI: 0.97- 0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91- 0.97).\n\nFurthermore, when examining the relationship between gestation\n\nweek and GMV among UCI-only gestational sessions, findings were\n\nconsistent (Supplementary Fig. 12), indicating that site differences\n\nare highly unlikely to have contributed meaningfully to the observed\n\neffects. Although not applicable here, we note that having a control\n\nparticipant scanned over a similar duration within the same scanner is\n\ncritical for estimating how much variation in the brain can be attributed\n\nto within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the\n\nfollowing scales were administered on each experiment day: Perceived\n\nStress Scale <sup>50</sup> , Pittsburgh Sleep Quality Index <sup>51</sup> , State-Trait Anxiety\n\nInventory for Adults <sup>52</sup> and Profile of Mood States <sup>53</sup> . Correlation analy-\n\nses between state-dependent measures, summary brain metrics and\n\ngestation week revealed little to no relationships. The only exception\n\nto this was a moderate negative association between global QA and\n\nstate anxiety (Spearman’s correlation ( *ρ* ) = −0.65, *q* = 0.04; baseline—36\n\nweeks, *n* = 16). By making this data openly accessible, we encourage a\n\nmore nuanced approach toward exploring mood and lifestyle measures\n\nin relation to brain changes over pregnancy.\n\n**Endocrine procedures**\n\nThe participant underwent a blood draw ( *n* = 19; Fig. 1c ) before\n\nMRI scanning. Sex steroid concentrations were determined via\n\nultra-sensitive liquid chromatography- mass spectrometry at the\n\nBrigham and Women’s Hospital Research Assay Core (BRAC). Assay\n\nsensitivities, dynamic range and intra-assay coefficients of variation\n\nwere as follows: estradiol—1.0 pg ml <sup>−1</sup> , 1- 500 pg ml <sup>−1</sup> , <5% relative s.d.\n\n(RSD); progesterone—0.05 ng ml <sup>−1</sup> , 0.05- 10 ng ml <sup>−1</sup> , 9.33% RSD. Sero-\n\nlogical samples were not acquired in five sessions due to scheduling\n\nconflicts with UC Irvine’s Center for Clinical Research.\n\n**MRI acquisition .** MRI scanning sessions at the University of Califor-\n\nnia, Santa Barbara and Irvine were conducted on 3T Prisma scanners\n\nequipped with 64-channel phased-array head/neck coil (of which 50\n\ncoils are used for axial brain imaging). High-resolution anatomical scans\n\nwere acquired using a T1-weighted (T1w) magnetization prepared rapid\n\ngradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms,\n\ntime to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°,\n\n0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms,\n\nTE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w)\n\nturbo spin echo scan was also acquired with an oblique coronal orienta -\n\ntion positioned orthogonally to the main axis of the hippocampus (TR/\n\nTE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm <sup>2</sup> in-plane resolution,\n\n2-mm slice thickness, 38 interleaved slices with no gap, total acquisi-\n\ntion time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI)\n\nprotocol sampled the entire brain with the following parameters:\n\nsingle phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions,\n\n*b* -max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm\n\nvoxel resolution. These images were linearly registered to the\n\nwhole-brain T1w MPRAGE image. A custom foam headcase was used\n\nto provide extra padding around the head and neck, as well as to mini-\n\nmize head motion. Additionally, a custom-built sound-absorbing foam\n\ngirdle was placed around the participant’s waist to attenuate sound\n\nnear the fetus during second-trimester and third-trimester scanning.\n\n**Image processing .** *Cortical volume and thickness* . CT and GMV were\n\nmeasured with Advanced Normalization Tools <sup>54</sup> version 2.1.0 (ANTs).\n\nWe first built a subject-specific template (SST) (antsMultivariateTem-\n\nplateConstruction2) and tissue priors (antsCookTemplatePriors)\n\nbased on our participant’s two preconception whole-brain T1-weighted\n\nscans to examine neuroanatomical changes relative to the participant’s\n\nprepregnancy baseline. We used labels from the OASIS population\n\ntemplate, provided by ANTs, as priors for this step. For each session,\n\nthe structural image was processed and registered to the SST using the\n\nANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias\n\nfield correction for field inhomogeneity, then brain extraction using a\n\nhybrid registration/segmentation method <sup>55</sup> . Tissue segmentation was\n\nperformed using Atropos <sup>54</sup> to create tissue masks of CSF, gray matter,\n\nwhite matter and deep gray matter. Atropos allows prior knowledge\n\nto guide the segmentation algorithm, and we used labels from our SST\n\nas priors to minimize warping and remain in native participant space.\n\nCT measurements were then estimated using the DiReCT algorithm <sup>56</sup> ,\n\nwhich estimates the gray- white matter interface and the gray mat-\n\nter- CSF interface and computes a diffeomorphic mapping between\n\nthe two interactions, from which thickness is derived. Each gray matter\n\ntissue mask was normalized to the template and multiplied to a Jaco-\n\nbian image that was computed via affine and nonlinear transforms.\n\nUsing MATLAB (version 2022a), summary, regional-level estimates\n\nof CT, GMV and CSF for each scan were obtained by taking the first\n\neigenvariate (akin to a ‘weighted mean’ <sup>57</sup> ) across all voxels within each\n\nparcel of the Schaefer 400-region atlas <sup>58</sup> . We then averaged ROIs across\n\nnetworks, which were defined by the 17-network Schaefer scheme <sup>58</sup> <sup>,</sup> <sup>59</sup> .\n\nGlobal measures of CT, GMV and CSF were computed for each session\n\nby summing across all voxels within the respective output image;\n\ntotal brain volume was computed by summing across all voxels within\n\neach session’s brain extraction mask. Our findings held when using an\n\nSST derived from all 26 MRIs (prepregnancy through postpartum),\n\nas well as when estimating the mean (versus weighted mean) of all\n\nvoxels within each parcel. The ANTs CT pipeline is highly validated\n\nwith good test- retest reproducibility and improved ability to predict\n\nvariables such as age and gender from region-wise CT measurements",
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- "text": "**2257**\n\noutstanding questions. This study and corresponding open-access\n\ndataset offer neuroscientists a detailed map of the human brain across\n\ngestation, a resource for which a wide range of previously unattainable\n\nneurobiological questions can now be explored.\n\nOur findings from this precision imaging study show that preg-\n\nnancy is characterized by reductions in GMV, cortical thinning and\n\nenhanced white matter microstructural integrity that unfold week by\n\nweek. These changes were also tied to the significant rise in steroid hor-\n\nmone concentrations over pregnancy. Some of these changes persist\n\nat 2 years postpartum (for example, global reductions in GMV and CT),\n\nwhile others, including markers of white matter integrity, appear to be\n\ntransient. Ventricular expansion and contraction parallel these cortical\n\nchanges. These widespread patterns, and the notable increase in CSF\n\nvolume across gestation, could reflect increased water retention and\n\nsubsequent compression of cortical tissue. However, the persistence\n\nof these changes at 2 years postpartum and regional variation in GMV,\n\nCT and QA, hint at cellular underpinnings, such as alterations in glia\n\nor neuron number, synaptic density and myelination (for review on\n\nthe latter, see ref. 4 ). Future studies of the relationship between fluid\n\ndynamics and volumetric changes will help clarify the factors that drive\n\nglobal neural changes during pregnancy; such insights will have broad\n\nimplications for maternal health (for example, neurological effects tied\n\nto pre-eclampsia or edema).\n\nCritically, dynamic neural changes occurred within the pregnancy\n\nwindow itself, a nuance not captured by studies limited to comparisons\n\nbetween prepregnancy and postpregnancy. For example, we observed\n\nlarge increases in white matter microstructural integrity (QA) through-\n\nout the first and second trimesters of pregnancy, but these measures\n\nfully returned to baseline values by the first postpartum scan. This\n\npattern may explain why previous studies report no pregnancy-related\n\ndifferences in white matter tractography <sup>14</sup> . Other measures, such as\n\nGMV and CT, decreased throughout gestation and displayed only a\n\nmodest rebound postpartum. These nonlinear patterns suggest that\n\nonly quantifying prepregnancy and postpartum brain structure may\n\nWhole-brain subcortical volumes\n\nGestation + postpartum Gestation\n\nWeek Stage\n\nAvg GMV (mm 3\n\n)\n\n0 10 20 30 Pre 1st 2nd 3rd Post\n\n4,000\n\n3,900\n\n3,800\n\n3,700\n\n3,600\n\n3,500\n\n4,000\n\n3,800\n\n3,600\n\nRight ventral diencephalon\n\nBrain stem\n\n**a**\n\nCA1\n\nWeek\n\n0 10 20 30\n\nStage\n\n1,900\n\n1,800\n\n1,700\n\n1,900\n\n1,800\n\n1,700 Avg GMV (mm\n\n3\n\n)\n\nGestation + postpartum Gestation\n\nPHC CA2/CA3\n\nMedial temporal lobe subregion volumes **b**\n\nGestation + postpartum\n\nWeek Stage\n\n200\n\n180\n\n160\n\n200\n\n180\n\n160 Avg GMV (mm\n\n3 )\n\nGestation Gestation + postpartum\n\nWeek\n\n0 10 20 30\n\nStage\n\nPre Post\n\n540\n\n500\n\n460\n\n540\n\n500\n\n460\n\nAvg GMV (mm\n\n3\n\n)\n\n*R* *<sup>2</sup>* adj <sup>= 0.36,</sup> *<sup>q</sup>* <sup>= 0.031</sup> *R* *<sup>2</sup>* adj <sup>= 0.41,</sup> *<sup>q</sup>* <sup>= 0.027</sup> *R* *<sup>2</sup>* adj <sup>= 0.58,</sup> *<sup>q</sup>* <sup>= 0.001</sup>\n\nGestation\n\nVentral DC\n\n*T* stat\n\nHippocampus\n\nPutamen\n\nThalamus\n\nCaudate\n\nLateral ventricle\n\n- 6\n\n2\n\nPre 1st 2nd 3rd Post Pre Post 0 10 20 30 1st 2nd 3rd 1st 2nd 3rd\n\n### **Fig. 3 | Subcortical GMV changed throughout gestation. a** , Multivariate\n\nregression analyses revealed largely negative relationships between gestation\n\nweek and subcortical GMV regions over pregnancy, including bilateral thalamus,\n\ncaudate, hippocampus, ventral diencephalon (encompassing hypothalamus,\n\nsubstantia nigra, mammillary body and red nucleus) and left caudate. Lateral\n\nventricles displayed the only positive relationships with gestation week\n\n(also depicted in Fig. 1d ). The whole-brain subcortical GMV estimates shown\n\nhere were derived via FreeSurfer and ‘aseg’ subcortical segmentation. FDR-\n\ncorrected at *q* < 0.05. Inset, right ventral diencephalon displayed the strongest\n\nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did\n\nnot return to baseline postpartum (right; gestation and postpartum, 26 scans).\n\n**b** , The participant’s hippocampus and surrounding cortex were segmented\n\ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression\n\nanalyses (PHC) revealed subfields were negatively associated with gestation\n\nweek (baseline—36 weeks, 18 scans) and did not return to baseline postpartum\n\n(gestation and postpartum, 25 scans). Shaded regions in scatterplots represent\n\na 95% confidence interval. Each boxplot represents IQR for each stage, with a\n\nhorizontal line representing the median value. The whiskers indicate variability\n\noutside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either\n\nend of the box. FDR-corrected at *q* < 0.05. For **a** and **b** , nonsignificant regions\n\nwere set to zero for interpretability. See Supplementary Fig. 6 for complete\n\nlabeling of regions in both segmentations. Brain visualizations created with R\n\npackage ggseg <sup>48</sup> *.* DC, diencephalon.",
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- "text": "performed an outlier check, labeling images as a ‘low-quality outlier’ if\n\nthe correlation coefficient was >3 s.d. from the absolute mean. None of\n\nour scans were flagged as outliers. The reconstructed participant files\n\nwere aggregated into one connectometry database per metric.\n\n*Day2Day control dataset* . To compare our findings against a control\n\ngroup of nonpregnant densely-sampled individuals, we used the Day-\n\n2Day dataset <sup>23</sup> which offered comparable whole-brain T1 and T2 MTL\n\nscans for eight participants (two male) scanned 12- 50 times over 2- 7\n\nmonths. Each participant was run through the ANTs CT and ASHS pro-\n\ncessing pipelines as outlined above (‘Cortical volume and thickness’\n\nand ‘Hippocampal segmentation’). To note, for each participant, we\n\ncreated an SST based on their first two sessions for consistency with\n\nthe primary dataset; subfield volumes for the T2 MTL scans did not\n\nundergo manual retouching. Due to missing header information on\n\nthe publicly available diffusion scans, we were unable to benchmark\n\nour white matter changes with the Day2Day dataset.\n\n**Statistical analysis .** Statistical analyses were conducted using R (sMRI;\n\nversion 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\n*Summary brain metrics* . To reflect the existing literature, we first\n\nexplored brain metrics across the entire study duration (prepregnancy\n\nthrough postpartum, *n* = 26 scans). When including all sessions, total\n\nbrain volume, GMV, CT, global QA, ventricle volume and CSF displayed\n\nnonlinear trends over time; therefore, we used generalized additive\n\nmodels (GAM; cubic spline basis, *k* = 10, smoothing = GCV), a method of\n\nnonparametric regression analysis (R package, mgcv <sup>76</sup> ), to explore the\n\nrelationship between summary brain metrics (outcome variables) and\n\ngestation week (smooth term). Each model underwent examination\n\n(gam.check function) to ensure it was correctly specified with regards\n\nto (1) the choice of basis dimension ( *k* ) and (2) the distribution of model\n\nresiduals (see mgcv documentation in ref. 76 ). The general pattern of\n\nresults held after toggling model parameters; however, we note the\n\nrisk of overinterpreting complex models with small sample sizes <sup>77</sup> . To\n\naddress overfitting and cross-validate our basis type selection, we also\n\nfit the data using nonpenalized general linear models (GLM) with both\n\nlinear and polynomial terms for gestation week. We compared the per-\n\nformance of each GLM (that is, models using only a linear term versus\n\nmodels with polynomial terms) via the Akaike information criterion\n\n(AIC), which revealed that cubic models consistently outperformed\n\nboth linear and quadratic models (AIC diff > 3), providing additional\n\nevidence for nonlinear changes in structural brain variables over time.\n\nDetermining whether these patterns replicate in larger cohorts and\n\nwhether complex models are better suited to capture data patterns\n\nacross individuals will be a necessary next step.\n\n*Cortical GMV and CT* . We then narrowed our analyses to the first 19\n\nsessions (baseline—36 weeks gestation) to assess novel brain changes\n\noccurring over the gestational window. We first computed Pearson’s\n\nproduct-moment correlation matrices between the following vari -\n\nables: gestation week, estradiol, progesterone and the 17 network-level\n\naverage GMV values. We then ran a multivariate regression analysis\n\npredicting ROI-level GMV changes by gestation week. To identify which\n\nregions were changing at a rate different from the global decrease,\n\nwe then ran the analyses again to include total GMV in the regression\n\nmodel (Supplementary Table 2). This was extended to the network\n\nlevel, where we ran partial correlations accounting for total GMV. These\n\nsame analyses were then run with CT measures. Globally-corrected\n\nresults provided in Supplementary Tables 1- 5. Percent change at the\n\nnetwork level was computed by subtracting the final pregnancy value\n\n(36 weeks pregnant) from the first prepregnancy baseline value, then\n\ndividing that difference by said first prepregnancy baseline value. All\n\nanalyses underwent multiple comparisons testing (false discovery rate\n\n(FDR)-corrected at *q* < 0.05).\n\n*Subcortical GMV* . A similar statistical approach was taken for subcorti-\n\ncal volume estimates. We ran a multivariate regression analysis predict-\n\ning GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by\n\ngestation week (FDR-corrected at *q* < 0.05).\n\nTo evaluate the relationship between gestation week and MTL\n\nsubregion volume over pregnancy ( *n* = 7 bilateral subregions and\n\n*n* = 18 MTL scans), we used a combination of linear and nonlinear\n\nmodels based on individual subregion data patterns. Models were\n\ncompared for best fit with each subregion via AIC from the GLM output\n\n(as described in ‘Summary brain metrics’). A linear regression model\n\nwas most appropriate for PHC (AIC diff < 3), whereas a quadratic model\n\nperformed best for CA1 and CA2/CA3. As a control, we repeated the\n\nanalyses with MTL subregion volumes after proportional volume cor-\n\nrection of total GMV calculated by ASHS. Finally, we evaluated the\n\nrelationship between endogenous sex hormones (estrogen and proges-\n\nterone) and subregion volumes using linear regression. Relationships\n\nwere considered significant only if they met FDR correction at *q* < 0.05.\n\n*White matter microstructure* . DSI Studio’s correlational tractography <sup>74</sup>\n\nwas used to analyze the relationship between white matter structure\n\nand gestational week ( *n* = 16). A truncated model was run to examine the\n\nrelationship between white matter and sex steroid hormones ( *n* = 14)\n\nfor the subset of diffusion scans with paired endocrine data during ges-\n\ntation. A nonparametric Spearman’s correlation was used to derive the\n\ncorrelation between gestational week and endocrine factors and our\n\nmetrics of interest (QA and MD; see Supplementary Table 9 and Sup-\n\nplementary Fig. 10 for MD results) because the data were not normally\n\ndistributed. Statistical inference was reached using connectometry,\n\na permutation-based approach that tests the strength of coherent\n\nassociations found between the local connectome and our variables\n\nof interest. It provides higher reliability and replicability by correcting\n\nfor multiple comparisons. This technique provides a high-resolution\n\ncharacterization of local axonal orientation. The correlational trac-\n\ntography was run with the following parameters: *t* score threshold of\n\n2.5, four pruning iterations and a length threshold of 25 voxel distance.\n\nTo estimate the FDR, a total of 4,000 randomized permutations were\n\napplied to obtain the null distribution of the track length. Reported\n\nregions were selected based on FDR cutoff (FDR < 0.2, suggested by\n\nDSI Studio), and contained at least ten tracts. For visualization of global\n\nand tract QA at each gestational stage, mean QA values were extracted\n\nusing DSI Studio’s whole-brain fiber tracking algorithm and ROI-based\n\ntracking using the default HCP842 atlas <sup>78</sup> .\n\n*Day2Day dataset: measurement variability* . To establish a marker of\n\nnormative variability over half a year, we computed metrics of meas-\n\nurement variability using the Day2Day dataset <sup>23</sup> , which provided both\n\nwhole-brain T1 and high-resolution T2 MTL scans. For each region, *j* , of\n\nthe Schaefer parcellation, we assessed across-session variability, *ε* , as\n\nε *j* = 100 × mean ( || *t* *s* −̂ *t* ||\n\n̂ *t* )\n\nWhere *t* *s* is the morphometric measurement of a parcel for session *s*\n\nand <sup>̂</sup> *t* is the mean of *t* across sessions <sup>55</sup> <sup>,</sup> <sup>79</sup> . Thus, we defined variability\n\nas the mean absolute percent difference between each individual and\n\nthe mean across sessions. Across-session variability estimates for all\n\n400 regions were then averaged across eight participants, and a global\n\nmeasure of cortical GMV variability was computed by averaging across\n\nthe 400 regions. This approach was repeated independently for the\n\nT2 hippocampal scans, wherein we computed across-session variability\n\nfor each parcel of the ASHS parcellation scheme ( *n* = 7 bilateral sub-\n\nfields). However, it is important to note that raw subfield values (that\n\nis, no manual retouching) were used for Day2Day variability assess-\n\nments and should be interpreted with caution. Finally, to better com-\n\npare against our own data, we repeated this approach using our",
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- "text": "**2256**\n\n*T* stat\n\nInferior parietal Control network B\n\n4\n\n- 14\n\n**a** Whole-brain GMV\n\nGMV ~ gestation week\n\nLat Med\n\nL\n\nR\n\nBaseline - 36 weeks\n\nGMV change by network **b**\n\nDMNC VisPeri LimbicA LimbicB DMNB DMNA SomMotB VisCent ContC TempPar DorsAttnA ContA SomMotA SalVentAttnA SalVentAttnB ContB Total DorsAttnB\n\n- 8\n\n- 5\n\n- 3\n\n0\n\n2\n\nPercent\n\n**c**\n\nPostcentral gyrus Dorsal attention network B Frontal eye fields Dorsal attention network B\n\nMedial frontal Salience ventral attention network A Insula Salience ventral attention network B\n\nPrecuneus/posterior cingulate Default mode network A\n\nAvg GMV (zero centered)\n\nRegional GMV\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nStage\n\n2nd\n\nWeek\n\n30 20 10 0 Pre 1st 3rd Post Stage Week 30 20 10 0\n\nStage Week 30 20 10 0 Avg GMV (zero centered) 2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nGestation + postpartum Gestation Gestation + postpartum Gestation Gestation + postpartum Gestation\n\nGestation + postpartum Gestation Gestation + postpartum Gestation Gestation + postpartum Gestation\n\nStage Week\n\n30 20 10 0\n\nStage Week\n\n30 20 10 0\n\nStage Week\n\n30 20 10 0\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nAvg GMV (zero centered)\n\nAvg GMV (zero centered) Avg GMV (zero centered) Avg GMV (zero centered)\n\n2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post\n\n### **Fig. 2 | Cortical GMV showed widespread change through gestation and**\n\n**postpartum. a** , Multivariate regression analyses reveal largely negative\n\nrelationships between gestation week and regional GMV, with only a minority\n\nof regions unaffected or increasing over the gestational window (baseline—36\n\nweeks). All associations presented here were corrected for multiple comparisons\n\n(FDR at *q* < 0.05; nonsignificant values set to zero for interpretability). **b** , Average\n\nnetwork change was calculated by estimating GMV percent change from baseline\n\n(initial) to 36 weeks gestation (final). Attention and control networks appear\n\nmost affected. **c** , Six representative regions, classified by major subnetworks,\n\nthat exhibit pronounced GMV change across gestation. For each panel, we\n\ndisplay a scatterplot between average GMV of the ROIs and gestation week\n\n(left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy\n\nstage across the whole study (right; gestation and postpartum sessions, 26 scans).\n\nShaded regions in scatterplots represent a 95% confidence interval. Each\n\nboxplot represents IQR for each stage, with a horizontal line representing the\n\nmedian value. The whiskers indicate variability outside (±1.5) of this range.\n\nOutside values are >1.5× and <3× IQR beyond either end of the box. All statistical\n\ntests were corrected for multiple comparisons (FDR at *q* < 0.05) and values\n\nwere *z* scored and transformed to have a mean of zero and s.d. of one for easier\n\ncomparison across regions. Please note that the data values shown here are raw\n\n(see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list).\n\nBrain visualizations created with R package ggseg <sup>48</sup> . IQR, interquartile range;\n\nLat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral\n\nnetwork; SomMot, somatomotor network; VisCent, visual central network; Cont,\n\ncontrol network; TempPar, temporal parietal network; DorsAttn, dorsal attention\n\nnetwork; SalVentAttn, salience/ventral attention network.",
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- "query": "Which cortical sub-networks were particularly sensitive to pregnancy?",
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- "target_passage": "Several sensory and attention subnetworks were particu- larly sensitive to gestation, including the control (subnetwork B), sali- ence ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks",
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- "text": "**2254**\n\nassociated brain networks appear to decrease in volume at a faster\n\nrate than the rest of the brain throughout pregnancy, as determined\n\nby a subsequent analysis controlling for total GMV (Supplementary\n\nTables 1 and 2). GMV reductions were also significantly correlated with\n\nthe participant’s estradiol and progesterone concentrations (Supple-\n\nmentary Table 1). A highly similar pattern of results was observed when\n\nexamining pregnancy-related CT changes (Supplementary Fig. 3 and\n\nSupplementary Tables 4 and 5). Significant reductions in cortical GMV\n\nover gestation remained after controlling for standard quality control\n\n(QC) metrics, albeit with some influence on the magnitude and location\n\nof the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork\n\nC), limbic (subnetworks A and B) and visual peripheral networks buck\n\nthe global trend by slightly increasing (for example, temporal poles),\n\nremaining constant (for example, orbitofrontal cortex) or reducing at\n\na much slower rate (for example, extrastriate cortex) than total GMV\n\n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these\n\nregions exhibit similar patterns (Supplementary Fig. 3 and Supple-\n\nmentary Tables 4 and 5).\n\n#### **Subcortical GMV changes tied to gestation**\n\nConsistent with the broader cortical reductions in GMV, several subcor-\n\ntical regions significantly reduced in volume across gestation (Fig. 3a ,\n\nleft). This included bilateral ventral diencephalon (right hemisphere\n\nvalues shown in Fig. 3a , right; encompasses hypothalamus, substantia\n\nnigra, mammillary body, lateral geniculate nucleus and red nucleus\n\namong others <sup>22</sup> ), caudate, hippocampus and thalamus, along with left\n\nputamen and brain stem (Supplementary Table 6, *q* < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to\n\ninterrogate subcortical structures at a finer resolution, revealing non-\n\nlinear volumetric decreases in CA1 ( *F* (2,15) = 5.84, *q* = 0.031, *R* <sup>2</sup> adj <sup>= 0.36;</sup>\n\nFig. 3b , left) and CA2/CA3 ( *F* (2,15) = 6.82, *q* = 0.027, *R* <sup>2</sup> adj <sup>= 0.41; Fig.</sup> <sup>3b</sup> <sup>,</sup>\n\nmiddle) across gestation. PHC exhibited linear volumetric decreases\n\nacross gestation ( *F* (1,16) = 24.87, *q* < 0.001, *R* <sup>2</sup> adj <sup>= 0.58; Fig.</sup> <sup>3b</sup> <sup>, right)</sup>\n\nwhich was also tied to estradiol ( *F* (1,12) = 20.21, *q* = 0.005, *R* <sup>2</sup> adj <sup>= 0.60).</sup>\n\nAll three relationships remained significant after proportional correc-\n\ntion for total GMV. There was no significant change in other subregions\n\nor total volume of the hippocampal body, or in the parahippocampal\n\ngyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n#### **White matter microstructure changes tied to gestation**\n\nIn contrast to decreasing global GMV, correlational tractography of\n\nwhite matter, which tests for linear trends in the data, revealed increas-\n\ning microstructural integrity across the whole brain during gestation\n\n(Fig. 4a ), concomitant with the rise in 17β-estradiol and progesterone\n\n(all *q* < 0.001; Supplementary Fig. 9). Tracts displaying robust corre-\n\nlations with gestational week included the corpus callosum, arcuate\n\nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal\n\nfasciculus (Fig. 4b ), as well as the cingulum bundle, middle and superior\n\nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon-\n\ntine tracts (see Supplementary Table 9 for complete list).\n\n#### **Comparing brain changes across pregnancy against controls**\n\nWe then compared the changes in GMV across gestation to that of typi-\n\ncal variability over time, derived from eight densely-sampled controls <sup>23</sup> .\n\nThe GMV changes we see across pregnancy far exceed normative brain\n\nvariability (Supplementary Fig. 11). On average, change in cortical GMV\n\nwas nearly three times higher than controls scanned over a similar\n\nduration (Supplementary Fig. 11a,b). This extends to MTL subfields,\n\nwherein change in volume was three to four times greater across gesta-\n\ntion than normative brain variability (Supplementary Fig. 11c,d). We\n\ncontextualized these findings further by comparing gestational GMV\n\nchange against our participant’s preconception brain volumes; average\n\nGMV change during pregnancy was six times (cortical) and three times\n\n(MTL) higher than the variability observed between baseline sessions.\n\nsubcortical structures, including the ventral diencephalon, caudate,\n\nthalamus, putamen and hippocampus. High-resolution imaging and\n\nsegmentation of the medial temporal lobe (MTL) extend these findings\n\nfurther, revealing specific volumetric reductions within hippocampal\n\nsubfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In con-\n\ntrast to widespread decreases in cortical and subcortical GMV, cor -\n\nrelational tractography analyses revealed nonlinear increases in white\n\nmatter quantitative anisotropy (QA) throughout the brain—indicating\n\ngreater tract integrity—as gestational week progressed. Together, these\n\nfindings reveal the highly dynamic changes that unfold in a human\n\nbrain across pregnancy, demonstrating a capacity for extensive neural\n\nremodeling well into adulthood.\n\n### **Results**\n\n#### **Serological evaluations**\n\nSerological evaluations captured canonical hormone fluctuations\n\ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b ).\n\nSerum hormone concentrations increased significantly over the course\n\nof pregnancy and dropped precipitously postpartum (preconcep-\n\ntion, estradiol (E) = 3.42 pg ml <sup>−1</sup> and progesterone (P) = 0.84 ng ml <sup>−1</sup> ;\n\n3 weeks preparturition, E = 12,400 pg ml <sup>−1</sup> and P = 103 ng ml <sup>−1</sup> ; 3 months\n\npostparturition, E = 11.50 pg ml <sup>−1</sup> and P = 0.04 ng ml <sup>−1</sup> ).\n\n#### **Whole-brain dynamics from baseline through postpartum**\n\nTo begin, we characterized broad neuroanatomical changes over the\n\ncourse of the entire experimental window (baseline—2 years postpar-\n\ntum, 26 scans; Fig. 1d ). Generalized additive models revealed strong\n\nnonlinear (effective degrees of freedom > 3) relationships between\n\nweeks since conception and summary brain metrics. Total GMV\n\n( *F* = 27.87, *P* < 0.001, deviance explained = 93.9%, *R* <sup>2</sup> adj <sup>= 0.91), summary</sup>\n\nCT ( *F* = 15.79, *P* < 0.001, deviance explained = 78.6%, *R* <sup>2</sup> adj <sup>= 0.75) and</sup>\n\ntotal brain volume ( *F* = 26.12, *P* < 0.001, deviance explained = 93.4%,\n\n*R* <sup>2</sup> adj <sup>= 0.90) linearly decreased during gestation and appeared to</sup>\n\npartially rebound postpartum. In contrast, global microstructural\n\nintegrity (QA) of white matter increased throughout the first and sec-\n\nond trimesters before returning to baseline levels in the postpartum\n\nperiod (whole-brain QA, *F* = 4.62, *P* = 0.007, deviance explained = 60.2%,\n\n*R* <sup>2</sup> adj <sup>= 0.51). We also observed nonlinear patterns of lateral ventricle</sup>\n\nexpansion *(F* = 10.44, *P* < 0.001, deviance explained = 83.8%, *R* <sup>2</sup> adj <sup>= 0.77)</sup>\n\nand increased cerebrospinal fluid (CSF; *F* = 13.32, *P* < 0.001, deviance\n\nexplained = 83.8%, *R* <sup>2</sup> adj <sup>= 0.79) rising in the second and third trimesters</sup>\n\nbefore dropping sharply postpartum.\n\n#### **Cortical volume and thickness changes tied to gestation**\n\nWe then narrowed the aperture to capture changes unfolding within\n\ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships\n\nbetween summary brain metrics were evident over the gestational\n\nperiod as follows: total brain volume, GMV and CT were positively asso -\n\nciated with one another, whereas lateral ventricles, CSF and global QA\n\ndemonstrated negative relationships with GMV (Supplementary Fig. 1).\n\nChanges in GMV were near-ubiquitous across the cortical mantle\n\n(Fig. 2a ). Most large-scale brain networks exhibited decreases in GMV\n\n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of\n\ninterest (ROI) demonstrated negative relationships between GMV and\n\ngestation week (Fig. 2a and Supplementary Table 2). Together, these\n\nresults provide evidence of a global decrease in cortical volume across\n\npregnancy. Several sensory and attention subnetworks were particu-\n\nlarly sensitive to gestation, including the control (subnetwork B), sali-\n\nence/ventral attention (subnetwork A), dorsal attention (subnetwork\n\nB), default (subnetwork A) and somatomotor (subnetworks A and B)\n\nnetworks (Supplementary Table 1). Regions driving these network-level\n\nchanges include the bilateral inferior parietal lobe, postcentral gyri,\n\ninsulae, prefrontal cortex, posterior cingulate and somatosensory\n\ncortex (Fig. 2c , Supplementary Table 2 and validation of findings using\n\nalternate pipeline in Supplementary Tables 1 and 3). These regions and",
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- "text": "**2256**\n\n*T* stat\n\nInferior parietal Control network B\n\n4\n\n- 14\n\n**a** Whole-brain GMV\n\nGMV ~ gestation week\n\nLat Med\n\nL\n\nR\n\nBaseline - 36 weeks\n\nGMV change by network **b**\n\nDMNC VisPeri LimbicA LimbicB DMNB DMNA SomMotB VisCent ContC TempPar DorsAttnA ContA SomMotA SalVentAttnA SalVentAttnB ContB Total DorsAttnB\n\n- 8\n\n- 5\n\n- 3\n\n0\n\n2\n\nPercent\n\n**c**\n\nPostcentral gyrus Dorsal attention network B Frontal eye fields Dorsal attention network B\n\nMedial frontal Salience ventral attention network A Insula Salience ventral attention network B\n\nPrecuneus/posterior cingulate Default mode network A\n\nAvg GMV (zero centered)\n\nRegional GMV\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nStage\n\n2nd\n\nWeek\n\n30 20 10 0 Pre 1st 3rd Post Stage Week 30 20 10 0\n\nStage Week 30 20 10 0 Avg GMV (zero centered) 2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nGestation + postpartum Gestation Gestation + postpartum Gestation Gestation + postpartum Gestation\n\nGestation + postpartum Gestation Gestation + postpartum Gestation Gestation + postpartum Gestation\n\nStage Week\n\n30 20 10 0\n\nStage Week\n\n30 20 10 0\n\nStage Week\n\n30 20 10 0\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nAvg GMV (zero centered)\n\nAvg GMV (zero centered) Avg GMV (zero centered) Avg GMV (zero centered)\n\n2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post\n\n### **Fig. 2 | Cortical GMV showed widespread change through gestation and**\n\n**postpartum. a** , Multivariate regression analyses reveal largely negative\n\nrelationships between gestation week and regional GMV, with only a minority\n\nof regions unaffected or increasing over the gestational window (baseline—36\n\nweeks). All associations presented here were corrected for multiple comparisons\n\n(FDR at *q* < 0.05; nonsignificant values set to zero for interpretability). **b** , Average\n\nnetwork change was calculated by estimating GMV percent change from baseline\n\n(initial) to 36 weeks gestation (final). Attention and control networks appear\n\nmost affected. **c** , Six representative regions, classified by major subnetworks,\n\nthat exhibit pronounced GMV change across gestation. For each panel, we\n\ndisplay a scatterplot between average GMV of the ROIs and gestation week\n\n(left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy\n\nstage across the whole study (right; gestation and postpartum sessions, 26 scans).\n\nShaded regions in scatterplots represent a 95% confidence interval. Each\n\nboxplot represents IQR for each stage, with a horizontal line representing the\n\nmedian value. The whiskers indicate variability outside (±1.5) of this range.\n\nOutside values are >1.5× and <3× IQR beyond either end of the box. All statistical\n\ntests were corrected for multiple comparisons (FDR at *q* < 0.05) and values\n\nwere *z* scored and transformed to have a mean of zero and s.d. of one for easier\n\ncomparison across regions. Please note that the data values shown here are raw\n\n(see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list).\n\nBrain visualizations created with R package ggseg <sup>48</sup> . IQR, interquartile range;\n\nLat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral\n\nnetwork; SomMot, somatomotor network; VisCent, visual central network; Cont,\n\ncontrol network; TempPar, temporal parietal network; DorsAttn, dorsal attention\n\nnetwork; SalVentAttn, salience/ventral attention network.",
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- "text": "**2257**\n\noutstanding questions. This study and corresponding open-access\n\ndataset offer neuroscientists a detailed map of the human brain across\n\ngestation, a resource for which a wide range of previously unattainable\n\nneurobiological questions can now be explored.\n\nOur findings from this precision imaging study show that preg-\n\nnancy is characterized by reductions in GMV, cortical thinning and\n\nenhanced white matter microstructural integrity that unfold week by\n\nweek. These changes were also tied to the significant rise in steroid hor-\n\nmone concentrations over pregnancy. Some of these changes persist\n\nat 2 years postpartum (for example, global reductions in GMV and CT),\n\nwhile others, including markers of white matter integrity, appear to be\n\ntransient. Ventricular expansion and contraction parallel these cortical\n\nchanges. These widespread patterns, and the notable increase in CSF\n\nvolume across gestation, could reflect increased water retention and\n\nsubsequent compression of cortical tissue. However, the persistence\n\nof these changes at 2 years postpartum and regional variation in GMV,\n\nCT and QA, hint at cellular underpinnings, such as alterations in glia\n\nor neuron number, synaptic density and myelination (for review on\n\nthe latter, see ref. 4 ). Future studies of the relationship between fluid\n\ndynamics and volumetric changes will help clarify the factors that drive\n\nglobal neural changes during pregnancy; such insights will have broad\n\nimplications for maternal health (for example, neurological effects tied\n\nto pre-eclampsia or edema).\n\nCritically, dynamic neural changes occurred within the pregnancy\n\nwindow itself, a nuance not captured by studies limited to comparisons\n\nbetween prepregnancy and postpregnancy. For example, we observed\n\nlarge increases in white matter microstructural integrity (QA) through-\n\nout the first and second trimesters of pregnancy, but these measures\n\nfully returned to baseline values by the first postpartum scan. This\n\npattern may explain why previous studies report no pregnancy-related\n\ndifferences in white matter tractography <sup>14</sup> . Other measures, such as\n\nGMV and CT, decreased throughout gestation and displayed only a\n\nmodest rebound postpartum. These nonlinear patterns suggest that\n\nonly quantifying prepregnancy and postpartum brain structure may\n\nWhole-brain subcortical volumes\n\nGestation + postpartum Gestation\n\nWeek Stage\n\nAvg GMV (mm 3\n\n)\n\n0 10 20 30 Pre 1st 2nd 3rd Post\n\n4,000\n\n3,900\n\n3,800\n\n3,700\n\n3,600\n\n3,500\n\n4,000\n\n3,800\n\n3,600\n\nRight ventral diencephalon\n\nBrain stem\n\n**a**\n\nCA1\n\nWeek\n\n0 10 20 30\n\nStage\n\n1,900\n\n1,800\n\n1,700\n\n1,900\n\n1,800\n\n1,700 Avg GMV (mm\n\n3\n\n)\n\nGestation + postpartum Gestation\n\nPHC CA2/CA3\n\nMedial temporal lobe subregion volumes **b**\n\nGestation + postpartum\n\nWeek Stage\n\n200\n\n180\n\n160\n\n200\n\n180\n\n160 Avg GMV (mm\n\n3 )\n\nGestation Gestation + postpartum\n\nWeek\n\n0 10 20 30\n\nStage\n\nPre Post\n\n540\n\n500\n\n460\n\n540\n\n500\n\n460\n\nAvg GMV (mm\n\n3\n\n)\n\n*R* *<sup>2</sup>* adj <sup>= 0.36,</sup> *<sup>q</sup>* <sup>= 0.031</sup> *R* *<sup>2</sup>* adj <sup>= 0.41,</sup> *<sup>q</sup>* <sup>= 0.027</sup> *R* *<sup>2</sup>* adj <sup>= 0.58,</sup> *<sup>q</sup>* <sup>= 0.001</sup>\n\nGestation\n\nVentral DC\n\n*T* stat\n\nHippocampus\n\nPutamen\n\nThalamus\n\nCaudate\n\nLateral ventricle\n\n- 6\n\n2\n\nPre 1st 2nd 3rd Post Pre Post 0 10 20 30 1st 2nd 3rd 1st 2nd 3rd\n\n### **Fig. 3 | Subcortical GMV changed throughout gestation. a** , Multivariate\n\nregression analyses revealed largely negative relationships between gestation\n\nweek and subcortical GMV regions over pregnancy, including bilateral thalamus,\n\ncaudate, hippocampus, ventral diencephalon (encompassing hypothalamus,\n\nsubstantia nigra, mammillary body and red nucleus) and left caudate. Lateral\n\nventricles displayed the only positive relationships with gestation week\n\n(also depicted in Fig. 1d ). The whole-brain subcortical GMV estimates shown\n\nhere were derived via FreeSurfer and ‘aseg’ subcortical segmentation. FDR-\n\ncorrected at *q* < 0.05. Inset, right ventral diencephalon displayed the strongest\n\nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did\n\nnot return to baseline postpartum (right; gestation and postpartum, 26 scans).\n\n**b** , The participant’s hippocampus and surrounding cortex were segmented\n\ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression\n\nanalyses (PHC) revealed subfields were negatively associated with gestation\n\nweek (baseline—36 weeks, 18 scans) and did not return to baseline postpartum\n\n(gestation and postpartum, 25 scans). Shaded regions in scatterplots represent\n\na 95% confidence interval. Each boxplot represents IQR for each stage, with a\n\nhorizontal line representing the median value. The whiskers indicate variability\n\noutside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either\n\nend of the box. FDR-corrected at *q* < 0.05. For **a** and **b** , nonsignificant regions\n\nwere set to zero for interpretability. See Supplementary Fig. 6 for complete\n\nlabeling of regions in both segmentations. Brain visualizations created with R\n\npackage ggseg <sup>48</sup> *.* DC, diencephalon.",
- "page_start": 4,
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- "text": "**2258**\n\noverlook the full range of changes that unfold within the gestational\n\nwindow, and underrepresent the brain’s metamorphosis during preg-\n\nnancy. Furthermore, although observed changes were largely global,\n\nsome regions displayed notable stability (for example, extrastriate cor-\n\ntex). The subcortical region that displayed the strongest relationship\n\nwith gestation week was the ventral diencephalon, which encompasses\n\nthe hypothalamus and subsequent medial preoptic area and paraven-\n\ntricular nucleus—structures critical for inducing maternal behavior <sup>12</sup> <sup>,</sup> <sup>16</sup> .\n\nThe hippocampus exhibited a reduction in volume across gestation,\n\nand with higher spatial resolution, this reduction was revealed to be\n\ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other\n\nhippocampal subfields remained stable. Adjacent PHC within the\n\nMTL also exhibited volume reduction across gestation. While our hip-\n\npocampal findings are consistent with pre/post studies of pregnancy <sup>13</sup> ,\n\nthe precision lens applied within gestation revealed the nonlinear\n\nnature of this reduction. Recapitulating and clarifying these region-\n\nally specific patterns of volume change throughout the MTL merits\n\nfurther investigation.\n\nSimilar precision imaging studies have captured dynamic brain\n\nreorganization across other neuroendocrine transitions, such as the\n\nmenstrual cycle (see review in ref. 28 ), underscoring the powerful\n\nrole steroid hormones have in shaping the mammalian brain <sup>29</sup> . Endo-\n\ncrine changes across pregnancy dwarf those that occur across the\n\nmenstrual cycle, which highlights the critical need to map the brain’s\n\nresponse to this unique hormonal state. Broad physiological changes\n\noccur in tandem with the rise in steroid hormones, including changes\n\nin body mass composition, water retention, immune function and\n\nsleep patterns <sup>11</sup> . These factors could have a role in the brain changes\n\nobserved here, with some driving neurobiological changes and others,\n\nlike water retention, potentially affecting MRI-based measurements.\n\nNote that, although cortical reductions in GMV over gestation were\n\nstable across analyses, accounting for QC measures influenced the\n\nmagnitude and location of these results. These metrics all fell within\n\nthe standard range, but there may be meaningful reductions in signal\n\nthat accompany volumetric reductions (for example, increased CSF\n\nand decreased GM)—a methodological nuance that goes beyond the\n\nscope of this resource study. Ultimately, identifying the shared and\n\nunique contributions of these factors to the neuroanatomical changes\n\nthat unfold across gestation warrants further investigation. Deeply\n\nphenotyping a large and diverse cohort of women across pregnancy will\n\nopen up new avenues of exploration, for example, allowing research-\n\ners to link blood-based proteomic signatures to pregnancy outcomes;\n\ndeploying wearable devices to monitor changes in sleep, cognition and\n\nmood; and probing the broader social and environmental determinants\n\nof maternal health <sup>27</sup> .\n\nThe neuroanatomical changes that unfold during matrescence\n\nmay have broad implications for understanding individual differences\n\nin parental behavior <sup>13</sup> <sup>,</sup> <sup>24</sup> <sup>,</sup> <sup>30</sup> <sup>,</sup> <sup>31</sup> , vulnerability to mental health disorders <sup>32</sup> <sup>,</sup> <sup>33</sup>\n\nand patterns of brain aging <sup>18</sup> <sup>,</sup> <sup>19</sup> <sup>,</sup> <sup>34</sup> <sup>-</sup> <sup>36</sup> . Decreases in GMV may reflect\n\n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara-\n\ntion for parenthood <sup>26</sup> . For example, in rodents, steroid hormones\n\npromote parental behavior by remodeling specific neural circuits in the\n\nmedial preoptic area of the hypothalamus. These behavioral adapta-\n\ntions are critical to the dam’s ability to meet the demands of caring for\n\n**a b**\n\nQuantitative anisotropy (zero centered)\n\nIndividual tracts\n\nCorpus Callosum\n\nR inf. fronto occipital fasc.\n\nGestation + postpartum\n\nSummary white matter tracts\n\nGestation\n\nStage Stage\n\nL inf. longitudinal fasc.\n\nL arcuate fasciculus\n\nPre 1st 2nd 3rd Post\n\nAF\n\nC\n\nCC\n\nCS\n\nIFOF\n\nILF\n\nCPT\n\nCST\n\nDT\n\nMLF\n\nPre 1st 2nd 3rd Post Pre 1st 2nd 3rd Post\n\nPre 1st 2nd 3rd Post\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n### **Fig. 4 | White matter microstructure changes throughout the experiment.**\n\n**a** , Numerous white matter tracts demonstrate increasing QA in relation to\n\nadvancing gestation week (baseline—36 weeks, 16 scans), as determined by\n\ncorrelational tractography analysis (FDR, *q* < 0.0001). See Supplementary\n\nTable 9 for complete list of tracts with a significant correlation between QA and\n\ngestation week. **b** , Summary of QA values by pregnancy stage (gestation and\n\npostpartum, 23 scans) for representative ROIs significantly tied to gestation.\n\nROI-based tractometry was used to extract QA values. Each boxplot represents\n\nIQR for each stage, with a horizontal line representing the median value. The\n\nwhiskers indicate variability outside (±1.5) of this range. Outside values are >1.5×\n\nand <3× IQR beyond either end of the box. Values were *z* scored and transformed\n\nto have a mean of zero and s.d. of one for easier comparison across individual\n\ntracts. AF, arcuate fasciculus; C, cingulum bundle; CC, corpus callosum; CPT,\n\ncorticopontine tracts; CS, corticostriatal tracts; CST, corticospinal tracts; DT,\n\ndentatorubrothalamic tract; IFOF, inferior frontal occipital fasciculus; ILF,\n\ninferior longitudinal fasciculus; MLF, middle longitudinal fasciculus.",
- "page_start": 5,
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- "text": "**2260**\n\n19. Orchard, E. R. et al. Neuroprotective effects of motherhood on\n\nbrain function in late life: a resting-state fMRI study. *Cereb. Cortex*\n\n**31** , 1270- 1283 (2021).\n\n20. Oatridge, A. et al. Change in brain size during and after\n\npregnancy: study in healthy women and women with\n\npreeclampsia. *Am. J. Neuroradiol.* **23** , 19- 26 (2002).\n\n21. Paternina-Di, M. et al. Women’s neuroplasticity during gestation,\n\nchildbirth and postpartum. *Nat. Neurosci.* **27** , 319- 327 (2024).\n\n22. Makris, N. et al. Decreased volume of the brain reward system in\n\nalcoholism. *Biol. Psychiatry* **64** , 192- 202 (2008).\n\n23. Filevich, E. et al. Day2day: investigating daily variability of\n\nmagnetic resonance imaging measures over half a year.\n\n*BMC Neurosci.* **18** , 65 (2017).\n\n24. Dulac, C., O’Connell, L. A. & Wu, Z. Neural control of maternal and\n\npaternal behaviors. *Science* **345** , 765- 770 (2014).\n\n25. Carmona, S. et al. Pregnancy and adolescence entail similar\n\nneuroanatomical adaptations: a comparative analysis of cerebral\n\nmorphometric changes. *Hum. Brain Mapp.* **40** , 2143- 2152 (2019).\n\n26. Pawluski, J. L., Hoekzema, E., Leuner, B. & Lonstein, J. S. Less can\n\nbe more: fine tuning the maternal brain. *Neurosci. Biobehav. Rev.*\n\n**133** , 104475 (2022).\n\n27. Martínez-García, M., Jacobs, E. G., de Lange, A. M. G. & Carmona,\n\nS. Advancing the neuroscience of human pregnancy. *Nat.*\n\n*Neurosci.* **27** , 805- 807 (2024).\n\n28. Pritschet, L., Taylor, C. M., Santander, T. & Jacobs, E. G. Applying\n\ndense-sampling methods to reveal dynamic endocrine\n\nmodulation of the nervous system. *Curr. Opin. Behav. Sci.* **40** ,\n\n72- 78 (2021).\n\n29. Taxier, L. R., Gross, K. S. & Frick, K. M. Oestradiol as a\n\nneuromodulator of learning and memory. *Nat. Rev. Neurosci.* **21** ,\n\n535- 550 (2020).\n\n30. Kohl, J. et al. Functional circuit architecture underlying parental\n\nbehaviour. *Nature* **556** , 326- 331 (2018). Article 7701.\n\n31. Rodrigo, M. J. et al. Inferior fronto-temporo-occipital connectivity:\n\na missing link between maltreated girls and neglectful mothers.\n\n*Soc. Cogn. Affect. Neurosci.* **11** , 1658- 1665 (2016).\n\n32. Pawluski, J. L., Lonstein, J. S. & Fleming, A. S. The neurobiology\n\nof postpartum anxiety and depression. *Trends Neurosci.* **40** ,\n\n106- 120 (2017).\n\n33. Barba-Müller, E., Craddock, S., Carmona, S. & Hoekzema, E.\n\nBrain plasticity in pregnancy and the postpartum period: links\n\nto maternal caregiving and mental health. *Arch. Womens Ment.*\n\n*Health* **22** , 289- 299 (2019).\n\n34. Barth, C. & de Lange, A.-M. G. Towards an understanding of\n\nwomen’s brain aging: the immunology of pregnancy and\n\nmenopause. *Front. Neuroendocrinol.* **58** , 100850 (2020).\n\n35. Orchard, E. R., Rutherford, H. J. V., Holmes, A. J. & Jamadar, S. 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Development of the adolescent\n\nbrain: implications for executive function and social cognition.\n\n*J. Child Psychol. Psychiatry* **47** , 296- 312 (2006).\n\n41. Blakemore, S. J., Burnett, S. & Dahl, R. E. The role of puberty\n\nin the developing adolescent brain. *Hum. Brain Mapp.* **31** ,\n\n926- 933 (2010).\n\n42. Lövdén, M. et al. Experience-dependent plasticity of white-matter\n\nmicrostructure extends into old age. *Neuropsychologia* **48** ,\n\n3878- 3883 (2010).\n\n43. Bethlehem, R. A. et al. Brain charts for the human lifespan. *Nature*\n\n**604** , 525- 533 (2022).\n\n44. Tooley, U. A., Bassett, D. S. & Mackey, A. P. Environmental\n\ninfluences on the pace of brain development. *Nat. Rev. Neurosci.*\n\n**22** , 372- 384 (2021).\n\n45. Wang, Z. et al. Mapping global prevalence of depression among\n\npostpartum women. *Transl. Psychiatry* **11** , 543 (2021).\n\n46. Deligiannidis, K. M. et al. Zuranolone for the treatment of\n\npostpartum depression. *Am. J. Psychiatry* **180** , 668- 675 (2023).\n\n47. Shehata, H. A. & Okosun, H. Neurological disorders in pregnancy.\n\n*Curr. Opin. Obstet. Gynecol.* **16** , 117- 122 (2004).\n\n48. Mowinckel, A. M. & Vidal-Piñeiro, D. Visualization of brain statistics\n\nwith R packages ggseg and ggseg3d. *Adv. Methods Pract.*\n\n*Psychol. Sci.* **3** , 466- 483 (2020).\n\n**Publisher’s note** Springer Nature remains neutral with regard to\n\njurisdictional claims in published maps and institutional affiliations.\n\n**Open Access** This article is licensed under a Creative Commons\n\nAttribution 4.0 International License, which permits use, sharing,\n\nadaptation, distribution and reproduction in any medium or format,\n\nas long as you give appropriate credit to the original author(s) and the\n\nsource, provide a link to the Creative Commons licence, and indicate\n\nif changes were made. The images or other third party material in this\n\narticle are included in the article’s Creative Commons licence, unless\n\nindicated otherwise in a credit line to the material. If material is not\n\nincluded in the article’s Creative Commons licence and your intended\n\nuse is not permitted by statutory regulation or exceeds the permitted\n\nuse, you will need to obtain permission directly from the copyright\n\nholder. To view a copy of this licence, visit [http://creativecommons.](http://creativecommons.org/licenses/by/4.0/)\n\n[org/licenses/by/4.0/](http://creativecommons.org/licenses/by/4.0/) .\n\n© The Author(s) 2024",
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- "text": "**2253**\n\n**nature neuroscience**\n\n[https://doi.org/10.1038/s41593-024-01741-0](https://doi.org/10.1038/s41593-024-01741-0) **Resource**\n\n## **Neuroanatomical changes observed over the course of a human pregnancy**\n\n**Laura Pritschet <sup>1</sup> , Caitlin M. Taylor <sup>1</sup> , Daniela Cossio <sup>2</sup> ,**\n\n**[Joshua Faskowitz ](http://orcid.org/0000-0003-1814-7206) <sup>3</sup> , Tyler Santander <sup>1</sup> [, Daniel A. Handwerker ](http://orcid.org/0000-0001-7261-4042) <sup>3</sup> ,**\n\n**Hannah Grotzinger <sup>1</sup> , Evan Layher <sup>1</sup> [, Elizabeth R. Chrastil ](http://orcid.org/0000-0003-2544-0152) <sup>2,5</sup> &**\n\n**[Emily G. Jacobs ](http://orcid.org/0000-0003-0001-5096) <sup>1,4,5</sup>**\n\nPregnancy is a period of profound hormonal and physiological changes\n\nexperienced by millions of women annually, yet the neural changes\n\nunfolding in the maternal brain throughout gestation are not well studied\n\nin humans. Leveraging precision imaging, we mapped neuroanatomical\n\nchanges in an individual from preconception through 2 years postpartum.\n\nPronounced decreases in gray matter volume and cortical thickness were\n\nevident across the brain, standing in contrast to increases in white matter\n\nmicrostructural integrity, ventricle volume and cerebrospinal fluid, with\n\nfew regions untouched by the transition to motherhood. This dataset serves\n\nas a comprehensive map of the human brain across gestation, providing an\n\nopen-access resource for the brain imaging community to further explore\n\nand understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies\n\nin their lifetime <sup>1</sup> , with 140 million women becoming pregnant each\n\nyear. Over an approximately 40-week gestational window, the maternal\n\nbody undergoes profound physiological adaptations to support the\n\ndevelopment of the fetus, including increases in plasma volume, meta-\n\nbolic rate, oxygen consumption and immune regulation <sup>2</sup> . These rapid\n\nadaptations are initiated by 100-fold to 1,000-fold increases in hormone\n\nproduction, including estrogen and progesterone. These neuromodu-\n\nlatory hormones also drive significant reorganization of the central\n\nnervous system. Evidence from animal models and human studies con-\n\nverge on pregnancy as a period of remarkable neuroplasticity <sup>3</sup> <sup>-</sup> <sup>10</sup> (see\n\nref. 10 for one of the earliest known observations). Gestational increases\n\nin steroid hormone synthesis drive neurogenesis, dendritic spine\n\ngrowth, microglial proliferation, myelination and astrocyte remodeling\n\n(for review, see ref. 11 ). These cellular changes are pronounced in brain\n\ncircuits that promote maternal behavior. For example, Ammari et al.\n\nrecently discovered that steroid hormones can fine-tune the response\n\nproperties of galanin neurons in the rodent medial preoptic area of\n\nthe hypothalamus (mPOA), leading to enhanced sensitivity in dams\n\nto sensory cues from newborn pups <sup>12</sup> .\n\nIn humans, reductions in gray matter volume (GMV) have\n\nbeen observed postpartum <sup>13</sup> <sup>-</sup> <sup>16</sup> , particularly in regions central to\n\ntheory-of-mind processing <sup>13</sup> . These GMV changes persist at 6 years\n\npostpartum <sup>17</sup> and are traceable decades later <sup>18</sup> <sup>,</sup> <sup>19</sup> , underscoring the\n\npermanence of this major remodeling event. And yet the changes that\n\noccur within the maternal brain during gestation itself are virtually\n\nunknown (see ref. 20 for early neuroimaging insight). A recent study by\n\nPaternina-Die et al. offers intriguing clues <sup>21</sup> . Women were scanned once\n\nin the third trimester and again in the postpartum period, revealing a\n\nreduction of cortical volume observable in the late pregnancy scan.\n\nThese findings suggest that pregnancy is a highly dynamic period for\n\nneural remodeling, yet neuroscientists lack a detailed map of how the\n\nhuman brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in\n\nwhich a healthy 38-year-old primiparous woman underwent 26 mag-\n\nnetic resonance imaging (MRI) scans and venipuncture beginning\n\n3 weeks preconception through 2 years postpartum. We observed\n\nwidespread reductions in cortical GMV and cortical thickness (CT)\n\noccurring in step with advancing gestational week and the dramatic\n\nrise in sex hormone production. Remodeling was also evident within\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\n[ Check for updates](http://crossmark.crossref.org/dialog/?doi=10.1038/s41593-024-01741-0&domain=pdf)\n\n1 Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2 Department of Neurobiology and Behavior, University\n\nof California, Irvine, CA, USA. <sup>3</sup> Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National\n\nInstitutes of Health, Bethesda, MD, USA. <sup>4</sup> Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. <sup>5</sup> These authors contributed\n\nequally: Elizabeth R. Chrastil, Emily G. Jacobs. e-mail: [laura.pritschet@pennmedicine.upenn.edu](mailto:laura.pritschet@pennmedicine.upenn.edu) ; [chrastil@uci.edu](mailto:chrastil@uci.edu) ; [emily.jacobs@psych.ucsb.edu](mailto:emily.jacobs@psych.ucsb.edu)",
- "page_start": 0,
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- "text": "**2259**\n\nthe offspring <sup>12</sup> . Human studies have revealed GMV reductions in areas\n\nof the brain important for social cognition and the magnitude of these\n\nchanges corresponds with increased parental attachment <sup>13</sup> . Deeper\n\nexamination of cellular and systems-level mechanisms will improve\n\nour understanding of how pregnancy remodels specific circuits to\n\npromote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal\n\nbehavior and white matter microstructure (particularly connectiv-\n\nity between temporal and occipital lobes) have been noted <sup>31</sup> . Here we\n\nreveal pronounced GMV changes in regions within sensory, attention\n\nand default mode networks over the gestational window. In paral-\n\nlel, we observed increased anisotropy in white matter tracts that\n\nfacilitate communication between emotional and visual processing\n\nhubs <sup>37</sup> <sup>-</sup> <sup>39</sup> , including the inferior longitudinal fasciculus and inferior\n\nfronto-occipital fasciculus. Pinpointing the synchrony of gray and\n\nwhite matter changes that unfold in the maternal brain could be\n\nkey to understanding the behavioral adaptions that emerge during\n\nand after pregnancy, such as honing the brain’s visual and auditory\n\nresponses to infant cues and eliciting maternal behavior. Research\n\ninto other major transition periods supports this idea. For instance,\n\nadolescence is a dynamic period characterized by region-specific,\n\nnonlinear decreases in GMV and increases in WMV, maturational\n\nbrain changes that are tied to gains in executive function and social\n\ncognition <sup>40</sup> . For both adolescence <sup>41</sup> and matrescence, the consider-\n\nable rise in steroid hormone production appears to remodel the brain\n\n(see ref. 25 for comparative analysis), promoting a suite of behaviors\n\nadaptive to that life stage. How specific neural changes give rise to\n\nspecific behavioral adaptations has yet to be fully explored with\n\nrespect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes\n\nacross pregnancy in a single individual, precluding our ability to gen-\n\neralize to the broader population. To benchmark our findings, we com-\n\npared the magnitude of GMV changes observed throughout pregnancy\n\nagainst data from nonpregnant individuals sampled over a similar time\n\ncourse. Doing so provided compelling evidence that pregnancy-related\n\nneuroanatomical shifts far exceed normative day-to-day brain variabil-\n\nity and measurement error. Evidence suggests that white matter micro-\n\nstructure remains fairly stable over a six-month period <sup>42</sup> , but more\n\nstudies are needed to compare the degree of white matter changes\n\nobserved during pregnancy to normative change over time. Further,\n\nsampling larger cohorts of women will generate much-needed norma-\n\ntive models of brain change (akin to ref. 43 ) throughout pregnancy to\n\nestablish what constitutes a typical degree of neuroanatomical change\n\nexpected during gestation and postpartum recovery.\n\nThese findings provide a critical rationale for conducting further\n\nprecision imaging studies of pregnancy in demographically enriched\n\ncohorts to determine the universality and idiosyncrasy of these adap-\n\ntations and their role in maternal health. Are the changes observed in\n\nour participant reflective of the broader population? Do deviations\n\nfrom the norm lead to maladaptive outcomes? A precision imaging\n\napproach can help determine whether the pace of pregnancy-induced\n\nneuroanatomical changes drives divergent brain health outcomes in\n\nwomen, as may be the case during other rapid periods of brain devel-\n\nopment <sup>44</sup> . One in five women experiences perinatal depression <sup>45</sup> and\n\nwhile the first FDA-approved treatment is now available <sup>46</sup> , early detec-\n\ntion remains elusive. Precision imaging studies could offer clues about\n\nan individual’s risk for or resilience to depression before symptom\n\nonset, helping clinicians better determine when and how to intervene.\n\nNeuroscientists and clinicians also lack tools to facilitate detection\n\nand treatment of neurological disorders that co-occur, worsen or\n\nremit with pregnancy, such as epilepsy, headaches, multiple sclerosis\n\nand intracranial hypertension <sup>47</sup> . Precision mapping of the maternal\n\nbrain lays the groundwork for a greater understanding of the subtle\n\nand sweeping structural, functional, behavioral and clinical changes\n\nthat unfold across pregnancy. Such pursuits will advance our basic\n\nunderstanding of the human brain and its remarkable ability to undergo\n\nprotracted plasticity in adulthood.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting sum-\n\nmaries, source data, extended data, supplementary information,\n\nacknowledgements, peer review information; details of author con-\n\ntributions and competing interests; and statements of data and code\n\navailability are available at [https://doi.org/10.1038/s41593-024-01741-0](https://doi.org/10.1038/s41593-024-01741-0) .\n\n**References** 1. World Health Organization. Maternal, newborn, child and\n\nadolescent health and ageing. [platform.who.int/data/](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing)\n\n[maternal-newborn-child-adolescent-ageing](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing) (2022).\n\n2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. *Knobil and Neill’s*\n\n*Physiology of Reproduction* pp. 1927- 1955 (Elsevier, 2015).\n\n3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for\n\nmotherhood. *Nat. Rev. Neurosci.* **9** , 11- 25 (2008).\n\n4. Gregg, C. Pregnancy, prolactin and white matter regeneration.\n\n*J. Neurol. Sci.* **285** , 22- 27 (2009).\n\n5. Haim, A. et al. A survey of neuroimmune changes in pregnant\n\nand postpartum female rats. *Brain Behav. Immun.* **59** ,\n\n67- 78 (2017).\n\n6. Barrière, D. A. et al. Brain orchestration of pregnancy and\n\nmaternal behavior in mice: a longitudinal morphometric study.\n\n*NeuroImage* **230** , 117776 (2021).\n\n7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The\n\ngenomic architecture of pregnancy-associated plasticity in\n\nthe maternal mouse hippocampus. *eNeuro* **9** , ENEURO.0117-22.\n\n2022 (2022).\n\n8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex differences:\n\nshort- and long-term effects of pregnancy on the brain. *Trends*\n\n*Neurosci.* **46** , 459- 471 (2023).\n\n9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural\n\nstem cells for transient neurogenesis in mothers. *Science* **382** ,\n\n958- 963 (2023).\n\n10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity\n\ninduced by environment and pregnancy. *Int. J. Neurosci.* **2** ,\n\n171- 178 (1971).\n\n11. Servin-Barthet, C. et al. The transition to motherhood:\n\nlinking hormones, brain and behaviour. *Nat. Rev. Neurosci.* **24** ,\n\n605- 619 (2023).\n\n12. Ammari, R. et al. Hormone-mediated neural remodeling\n\norchestrates parenting onset during pregnancy. *Science* **382** ,\n\n76- 81 (2023).\n\n13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in\n\nhuman brain structure. *Nat. Neurosci.* **20** , 287- 296 (2017).\n\n14. Hoekzema, E. et al. Mapping the effects of pregnancy on\n\nresting state brain activity, white matter microstructure, neural\n\nmetabolite concentrations and grey matter architecture. *Nat.*\n\n*Commun.* **13** , 6931 (2022).\n\n15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O.\n\n& Carmona, S. Characterizing the brain structural adaptations\n\nacross the motherhood transition. *Front. Glob. Womens Health* **2** ,\n\n742775 (2021).\n\n16. Spalek, K. et al. Pregnancy renders anatomical changes in\n\nhypothalamic substructures of the human brain that relate to\n\naspects of maternal behavior. *Psychoneuroendocrinology* **164** ,\n\n107021 (2024).\n\n17. Martínez-García, M. et al. Do pregnancy-induced brain changes\n\nreverse? The brain of a mother six years after parturition. *Brain Sci.*\n\n**11** , 168 (2021b).\n\n18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals\n\ntraces of childbirth in the maternal brain. *Proc. Natl Acad. Sci. USA*\n\n**116** , 22341- 22346 (2019).",
- "page_start": 6,
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- "text": "compared to surface-based FreeSurfer <sup>55</sup> . However, to reproduce our\n\nfindings across software packages, we also ran the T1w data through\n\nthe longitudinal FreeSurfer (v.7) CT pipeline <sup>60</sup> <sup>,</sup> <sup>61</sup> , which corroborated\n\nour findings using both the Schaefer-400 (Supplementary Fig. 2 and\n\nSupplementary Tables 1 and 4) and popular Desikan- Killiany <sup>62</sup> (Sup-\n\nplementary Table 3) cortical parcellations. Whole-brain T1w-based\n\nsubcortical volume estimates (including cerebellum and lateral ven-\n\ntricles) were also derived using this FreeSurfer pipeline, wherein we\n\nderived 28 region-of-interest estimates via the commonly used ‘aseg’\n\nparcellation scheme <sup>63</sup> (Supplementary Fig. 6a). A complete reporting\n\nof findings can be found in Supplementary Data 1.\n\nMean framewise displacement (FWD) estimates from gestation\n\nsessions with a 10-min resting-state scan ( *n* = 18) were used to indirectly\n\nassess whether motion increased throughout pregnancy. Average FWD\n\n(mm) was extremely minimal across the entire experiment ( *M* = 0.13,\n\ns.d. = 0.02, range = 0.09- 0.17) and varied only slightly by pregnancy\n\nstage (pre, *M* = 0.11 and s.d. = 0.004; first, *M* = 0.11 and s.d. = 0.01; sec-\n\nond, *M* = 0.13 and s.d. = 0.02; third, *M* = 0.16 and s.d. = 0.007; post,\n\n*M* = 0.13 and s.d. = 0.01). While mean FWD did correspond with gesta-\n\ntion week ( *r* = 0.88, *P* < 0.001), controlling for this did not alter our main\n\nfindings (for example, total GMV remained negatively associated with\n\ngestation after partial correlation with FWD ( *r* = −0.87 and *P* < 0.001)\n\nbecause motion differences between stages were minuscule (Sup-\n\nplementary Fig. 4a).\n\nAs a further test of the robustness of the dataset, we ran QC assess-\n\nments on all T1w images using the IQMs pipeline <sup>64</sup> from MRIQC (ver-\n\nsion 23.1). Assessments of interest included (1) coefficient of joint\n\nvariation (CJV), (2) signal-to-noise ratio for gray matter (SNR) and (3)\n\ncontrast-to-noise ratios (CNR). All QC metrics fell within expected\n\nstandard ranges <sup>65</sup> (Supplementary Fig. 4b- d). Although relationships\n\nexisted between gestation week and QC measures (CJV, *r* = 0.70 and\n\n*P* < 0.001; SNR and CNR, *r* = −0.83 and *P* < 0.001), including these vari-\n\nables in the regression models did not detract from our finding sug-\n\ngesting cortical GMV reductions occur over gestation, especially within\n\nregions belonging to attention and somatosensory networks (Supple-\n\nmentary Fig. 5). When looking across all MRIQC outputs, discrepancies\n\nwere noted in session seven (gestation week nine, first trimester).\n\nRemoving this day from the analyses only strengthened observed\n\nrelationships between cortical volume and gestation; however, for\n\ncompleteness, data from this day is included in the main findings.\n\nThese QC outputs for each session of the experiment can be found\n\nin Supplementary Data 1. Finally, we used FreeSurfer’s Eueler num-\n\nber to evaluate a field-standard quantitative assessment of each T1w\n\nstructural image <sup>66</sup> . We observed no significant relationships between\n\nthe Euler number and gestation week or summary brain metrics. A\n\ndiscrepancy (for example, two s.d. below average) was noted in session\n\neight; however, again, removing this session did not detract from our\n\nmain findings showing reductions in GMV over gestation.\n\n*Hippocampal segmentation* . T1- and T2-weighted images ( *n* = 25) were\n\nsubmitted to the automatic segmentation of hippocampal subfields\n\npackage (ASHS <sup>67</sup> , version July 2018) for parcellation of seven MTL\n\nsubregions: CA1, CA2/CA3, dentate gyrus, subiculum, perirhinal cor-\n\ntex, entorhinal cortex and PHC (Supplementary Fig. 6b). The ASHS\n\nsegmentation pipeline automatically segmented the hippocampus in\n\nthe T2w MRI scans using a segmented population atlas, the Princeton\n\nYoung Adult 3T ASHS Atlas template <sup>68</sup> ( *n* = 24, mean age = 22.5 years).\n\nA rigid-body transformation aligned each T2w image to the respective\n\nT1w scan for each day. Using ANTs deformable registration, the T1w\n\nwas registered to the population atlas. The resulting deformation\n\nfields were used to resample the data into the space of the left and\n\nright template MTL ROI. Within each template ROI, each of the T2w\n\nscans of the atlas package was registered to that day’s T2w scan. The\n\nmanual atlas segmentations were then mapped into the space of the\n\nT2w scan, with segmentation of the T2w scan computed using joint\n\nlabel fusion <sup>69</sup> . Finally, the corrective learning classifiers contained in\n\nASHS were applied to the consensus segmentation produced by joint\n\nlabel fusion. The output of this step is a corrected segmentation of\n\nthe T2w scan. Further description of the ASHS protocol can be found\n\nhere <sup>67</sup> . T2w scans and segmentations were first visually examined using\n\nITK-SNAP <sup>70</sup> for quality assurance and then subjected to manual editing\n\nin native space using ITK-SNAP (v.3.8.0-b; C.M.T.). One session (scan\n\n15, third trimester) was discarded due to erroneous scan orientation.\n\nThe anterior extent of the segmented labels was anchored 4 mm (two\n\nslices) anterior to the appearance of the limen insulae, and the posterior\n\nextent was anchored to the disappearance of hippocampal gray matter\n\nfrom the trigone of the lateral ventricle. Boundaries between perirhinal,\n\nentorhinal and parahippocampal cortices were established in keeping\n\nwith the Olsen- Amaral- Palombo (OAP) segmentation protocol <sup>71</sup> . In\n\ninstances where automatic segmentation did not clearly correspond\n\nto the underlying neuroanatomy, such as when a certain label was\n\nmissing several gray matter voxels, manual retouching allowed for\n\nindividual voxels to be added or removed. All results are reported\n\nusing the manually retouched subregion volumes to ensure the most\n\nfaithful representation of the underlying neuroanatomy. Scans were\n\nrandomized and segmentation was performed in a random order,\n\nblind to pregnancy stage. To assess intrarater reliability for the pre-\n\nsent analyses, two days underwent manual editing a second time. The\n\ngeneralized Dice similarity coefficient <sup>72</sup> across subregions was 0.87\n\nand the intraclass correlation coefficient was 0.97, suggesting robust\n\nreliability in segmentation.\n\n*White matter microstructure* . Diffusion scans were preprocessed using\n\nthe automation software QSIprep (version 0.16.1) compiled using a\n\nsingularity container <sup>73</sup> and run primarily with the default parameters,\n\nwith the exceptions ‘- output resolution 1.8’, ‘- dwi denoise window 5′,\n\n- force-spatial-normalization’, ‘- hmc model 3dSHORE’, ‘- hmc-\n\ntransform Rigid’ and ‘- shoreline iters 2’. Twenty-three sessions were\n\npreprocessed and analyzed, with the remaining three scans excluded\n\ndue to missing DSI scans (sessions 9 and 15) or corresponding field map\n\nfor distortion correction (session 7). Despite passing QC assessments\n\nduring preprocessing, visual inspection of the field maps in session 10\n\nrevealed a slight artifact. However, removal of this session had minimal\n\nimpact on the overall results and remained in the final analyses. T1w\n\nimages were corrected for intensity nonuniformity (N4BiasFieldCorrec-\n\ntion) and skull-stripped (antsBrainExtraction). The images underwent\n\nspatial normalization and registration to the ICBM 152 Nonlinear Asym-\n\nmetric template. Finally, brain tissue segmentation of CSF, GM and WM\n\nwas performed on each brain-extracted T1w using FMRIB’s Automated\n\nSegmentation Tool (FAST). Preprocessing of diffusion images began by\n\nimplementing MP-PCA denoising with a 5-voxel window using MRtrix3’s\n\ndwidenoise function. B1 field inhomogeneity was corrected using dwibi-\n\nascorrect from MRtrix3 with the N4 algorithm. Motion was corrected\n\nusing the SHORELine method. Susceptibility distortion correction was\n\nbased on GRE field maps. Preprocessed Nifti scans were prepared for\n\ntractography using DSI Studio via singularity container version Chen-\n\n2022-07-31 (ref. 74 ). Diffusion images were converted to source code\n\nfiles using the DSI Studio command line ‘--action=src’ and a custom\n\nscript to convert all images. The diffusion data were reconstructed in\n\nMNI space using q-space diffeomorphic reconstruction <sup>75</sup> with a diffu-\n\nsion sampling of 1.25 and output resolution of 1.8 mm isotropic. The\n\nfollowing output metrics were specified to be included in the output\n\nFIB file: QA and mean diffusivity (MD). The quality and integrity of\n\nreconstructed images were assessed using ‘QC1: SRC Files Quality Con-\n\ntrol’. First, the consistency of image dimension, resolution, DWI count\n\nand shell count was checked for each image. Second, each image was\n\nassessed for the ‘neighboring DWI correlation’ which calculates the\n\ncorrelation coefficient of low *b* DWI volumes that have similar gradi-\n\nent direction. Lower correlation values may indicate issues with the\n\ndiffusion signal due to artifacts or head motion. Finally, DSI Studio",
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- "text": "**Methods**\n\n**Participant**\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman\n\nwho underwent in-vitro fertilization (IVF) to achieve pregnancy. Pre-\n\nvious studies reported no observable differences in neural changes\n\nfrom prepregnancy to postpregnancy between women who conceived\n\nnaturally versus women who conceived via IVF <sup>13</sup> , and doing so provides\n\na controlled way of monitoring pregnancy status. The participant\n\nexperienced no pregnancy complications (for example, gestational\n\ndiabetes and hypertension), delivered at full term via vaginal birth,\n\nnursed through 16 months postpartum, and had no history of neu-\n\nropsychiatric diagnosis, endocrine disorders, prior head trauma or\n\nhistory of smoking. The participant gave written informed consent and\n\nthe study was approved by the University of California, Irvine Human\n\nSubjects Committee.\n\n**Study design**\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks\n\nbefore conception through 2 years postpartum (162 weeks), during\n\nwhich high-resolution anatomical and diffusion spectrum imaging\n\nscans of the brain were acquired. Scans were distributed throughout\n\nthis period, including prepregnancy (four scans), first trimester (four\n\nscans), second trimester (six scans), third trimester (five scans) and\n\npostpartum (seven scans; Fig. 1c ). The first 6 sessions took place at\n\nthe UCSB Brain Imaging Center (BIC), the final 20 sessions took place\n\nat the UCI Facility for Imaging and Brain Research (FIBRE). The major-\n\nity of scans took place between 9 AM and 2 PM, limiting significant\n\nAM- PM fluctuations <sup>49</sup> . The MRI protocol, scanner (Siemens 3T Prisma)\n\nand software (version MR E11) were identical across sites. Each scan-\n\nner was checked weekly for the duration of the study and passed all\n\nQC reports indicating no significant alterations in the geometry. To\n\nensure the robustness of the findings, after the final study session, the\n\nparticipant completed back-to-back validation scans at UCI and UCSB\n\nwithin a 12-h window to assess reliability between scanners. Intraclass\n\ncorrelation coefficients (two-way, random effects, absolute agreement,\n\nsingle rater) reveal ‘excellent’ test- retest reliability between scanners,\n\nincluding ROI-level GMV (ICC = 0.97, 95% CI: 0.80- 0.99), ROI-level\n\nCT (ICC = 0.96, 95% CI: 0.90- 0.98), MTL subfield volume (ICC = 0.99,\n\n95% CI: 0.97- 0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91- 0.97).\n\nFurthermore, when examining the relationship between gestation\n\nweek and GMV among UCI-only gestational sessions, findings were\n\nconsistent (Supplementary Fig. 12), indicating that site differences\n\nare highly unlikely to have contributed meaningfully to the observed\n\neffects. Although not applicable here, we note that having a control\n\nparticipant scanned over a similar duration within the same scanner is\n\ncritical for estimating how much variation in the brain can be attributed\n\nto within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the\n\nfollowing scales were administered on each experiment day: Perceived\n\nStress Scale <sup>50</sup> , Pittsburgh Sleep Quality Index <sup>51</sup> , State-Trait Anxiety\n\nInventory for Adults <sup>52</sup> and Profile of Mood States <sup>53</sup> . Correlation analy-\n\nses between state-dependent measures, summary brain metrics and\n\ngestation week revealed little to no relationships. The only exception\n\nto this was a moderate negative association between global QA and\n\nstate anxiety (Spearman’s correlation ( *ρ* ) = −0.65, *q* = 0.04; baseline—36\n\nweeks, *n* = 16). By making this data openly accessible, we encourage a\n\nmore nuanced approach toward exploring mood and lifestyle measures\n\nin relation to brain changes over pregnancy.\n\n**Endocrine procedures**\n\nThe participant underwent a blood draw ( *n* = 19; Fig. 1c ) before\n\nMRI scanning. Sex steroid concentrations were determined via\n\nultra-sensitive liquid chromatography- mass spectrometry at the\n\nBrigham and Women’s Hospital Research Assay Core (BRAC). Assay\n\nsensitivities, dynamic range and intra-assay coefficients of variation\n\nwere as follows: estradiol—1.0 pg ml <sup>−1</sup> , 1- 500 pg ml <sup>−1</sup> , <5% relative s.d.\n\n(RSD); progesterone—0.05 ng ml <sup>−1</sup> , 0.05- 10 ng ml <sup>−1</sup> , 9.33% RSD. Sero-\n\nlogical samples were not acquired in five sessions due to scheduling\n\nconflicts with UC Irvine’s Center for Clinical Research.\n\n**MRI acquisition .** MRI scanning sessions at the University of Califor-\n\nnia, Santa Barbara and Irvine were conducted on 3T Prisma scanners\n\nequipped with 64-channel phased-array head/neck coil (of which 50\n\ncoils are used for axial brain imaging). High-resolution anatomical scans\n\nwere acquired using a T1-weighted (T1w) magnetization prepared rapid\n\ngradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms,\n\ntime to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°,\n\n0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms,\n\nTE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w)\n\nturbo spin echo scan was also acquired with an oblique coronal orienta -\n\ntion positioned orthogonally to the main axis of the hippocampus (TR/\n\nTE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm <sup>2</sup> in-plane resolution,\n\n2-mm slice thickness, 38 interleaved slices with no gap, total acquisi-\n\ntion time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI)\n\nprotocol sampled the entire brain with the following parameters:\n\nsingle phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions,\n\n*b* -max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm\n\nvoxel resolution. These images were linearly registered to the\n\nwhole-brain T1w MPRAGE image. A custom foam headcase was used\n\nto provide extra padding around the head and neck, as well as to mini-\n\nmize head motion. Additionally, a custom-built sound-absorbing foam\n\ngirdle was placed around the participant’s waist to attenuate sound\n\nnear the fetus during second-trimester and third-trimester scanning.\n\n**Image processing .** *Cortical volume and thickness* . CT and GMV were\n\nmeasured with Advanced Normalization Tools <sup>54</sup> version 2.1.0 (ANTs).\n\nWe first built a subject-specific template (SST) (antsMultivariateTem-\n\nplateConstruction2) and tissue priors (antsCookTemplatePriors)\n\nbased on our participant’s two preconception whole-brain T1-weighted\n\nscans to examine neuroanatomical changes relative to the participant’s\n\nprepregnancy baseline. We used labels from the OASIS population\n\ntemplate, provided by ANTs, as priors for this step. For each session,\n\nthe structural image was processed and registered to the SST using the\n\nANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias\n\nfield correction for field inhomogeneity, then brain extraction using a\n\nhybrid registration/segmentation method <sup>55</sup> . Tissue segmentation was\n\nperformed using Atropos <sup>54</sup> to create tissue masks of CSF, gray matter,\n\nwhite matter and deep gray matter. Atropos allows prior knowledge\n\nto guide the segmentation algorithm, and we used labels from our SST\n\nas priors to minimize warping and remain in native participant space.\n\nCT measurements were then estimated using the DiReCT algorithm <sup>56</sup> ,\n\nwhich estimates the gray- white matter interface and the gray mat-\n\nter- CSF interface and computes a diffeomorphic mapping between\n\nthe two interactions, from which thickness is derived. Each gray matter\n\ntissue mask was normalized to the template and multiplied to a Jaco-\n\nbian image that was computed via affine and nonlinear transforms.\n\nUsing MATLAB (version 2022a), summary, regional-level estimates\n\nof CT, GMV and CSF for each scan were obtained by taking the first\n\neigenvariate (akin to a ‘weighted mean’ <sup>57</sup> ) across all voxels within each\n\nparcel of the Schaefer 400-region atlas <sup>58</sup> . We then averaged ROIs across\n\nnetworks, which were defined by the 17-network Schaefer scheme <sup>58</sup> <sup>,</sup> <sup>59</sup> .\n\nGlobal measures of CT, GMV and CSF were computed for each session\n\nby summing across all voxels within the respective output image;\n\ntotal brain volume was computed by summing across all voxels within\n\neach session’s brain extraction mask. Our findings held when using an\n\nSST derived from all 26 MRIs (prepregnancy through postpartum),\n\nas well as when estimating the mean (versus weighted mean) of all\n\nvoxels within each parcel. The ANTs CT pipeline is highly validated\n\nwith good test- retest reproducibility and improved ability to predict\n\nvariables such as age and gender from region-wise CT measurements",
- "page_start": 8,
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- "text": "performed an outlier check, labeling images as a ‘low-quality outlier’ if\n\nthe correlation coefficient was >3 s.d. from the absolute mean. None of\n\nour scans were flagged as outliers. The reconstructed participant files\n\nwere aggregated into one connectometry database per metric.\n\n*Day2Day control dataset* . To compare our findings against a control\n\ngroup of nonpregnant densely-sampled individuals, we used the Day-\n\n2Day dataset <sup>23</sup> which offered comparable whole-brain T1 and T2 MTL\n\nscans for eight participants (two male) scanned 12- 50 times over 2- 7\n\nmonths. Each participant was run through the ANTs CT and ASHS pro-\n\ncessing pipelines as outlined above (‘Cortical volume and thickness’\n\nand ‘Hippocampal segmentation’). To note, for each participant, we\n\ncreated an SST based on their first two sessions for consistency with\n\nthe primary dataset; subfield volumes for the T2 MTL scans did not\n\nundergo manual retouching. Due to missing header information on\n\nthe publicly available diffusion scans, we were unable to benchmark\n\nour white matter changes with the Day2Day dataset.\n\n**Statistical analysis .** Statistical analyses were conducted using R (sMRI;\n\nversion 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\n*Summary brain metrics* . To reflect the existing literature, we first\n\nexplored brain metrics across the entire study duration (prepregnancy\n\nthrough postpartum, *n* = 26 scans). When including all sessions, total\n\nbrain volume, GMV, CT, global QA, ventricle volume and CSF displayed\n\nnonlinear trends over time; therefore, we used generalized additive\n\nmodels (GAM; cubic spline basis, *k* = 10, smoothing = GCV), a method of\n\nnonparametric regression analysis (R package, mgcv <sup>76</sup> ), to explore the\n\nrelationship between summary brain metrics (outcome variables) and\n\ngestation week (smooth term). Each model underwent examination\n\n(gam.check function) to ensure it was correctly specified with regards\n\nto (1) the choice of basis dimension ( *k* ) and (2) the distribution of model\n\nresiduals (see mgcv documentation in ref. 76 ). The general pattern of\n\nresults held after toggling model parameters; however, we note the\n\nrisk of overinterpreting complex models with small sample sizes <sup>77</sup> . To\n\naddress overfitting and cross-validate our basis type selection, we also\n\nfit the data using nonpenalized general linear models (GLM) with both\n\nlinear and polynomial terms for gestation week. We compared the per-\n\nformance of each GLM (that is, models using only a linear term versus\n\nmodels with polynomial terms) via the Akaike information criterion\n\n(AIC), which revealed that cubic models consistently outperformed\n\nboth linear and quadratic models (AIC diff > 3), providing additional\n\nevidence for nonlinear changes in structural brain variables over time.\n\nDetermining whether these patterns replicate in larger cohorts and\n\nwhether complex models are better suited to capture data patterns\n\nacross individuals will be a necessary next step.\n\n*Cortical GMV and CT* . We then narrowed our analyses to the first 19\n\nsessions (baseline—36 weeks gestation) to assess novel brain changes\n\noccurring over the gestational window. We first computed Pearson’s\n\nproduct-moment correlation matrices between the following vari -\n\nables: gestation week, estradiol, progesterone and the 17 network-level\n\naverage GMV values. We then ran a multivariate regression analysis\n\npredicting ROI-level GMV changes by gestation week. To identify which\n\nregions were changing at a rate different from the global decrease,\n\nwe then ran the analyses again to include total GMV in the regression\n\nmodel (Supplementary Table 2). This was extended to the network\n\nlevel, where we ran partial correlations accounting for total GMV. These\n\nsame analyses were then run with CT measures. Globally-corrected\n\nresults provided in Supplementary Tables 1- 5. Percent change at the\n\nnetwork level was computed by subtracting the final pregnancy value\n\n(36 weeks pregnant) from the first prepregnancy baseline value, then\n\ndividing that difference by said first prepregnancy baseline value. All\n\nanalyses underwent multiple comparisons testing (false discovery rate\n\n(FDR)-corrected at *q* < 0.05).\n\n*Subcortical GMV* . A similar statistical approach was taken for subcorti-\n\ncal volume estimates. We ran a multivariate regression analysis predict-\n\ning GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by\n\ngestation week (FDR-corrected at *q* < 0.05).\n\nTo evaluate the relationship between gestation week and MTL\n\nsubregion volume over pregnancy ( *n* = 7 bilateral subregions and\n\n*n* = 18 MTL scans), we used a combination of linear and nonlinear\n\nmodels based on individual subregion data patterns. Models were\n\ncompared for best fit with each subregion via AIC from the GLM output\n\n(as described in ‘Summary brain metrics’). A linear regression model\n\nwas most appropriate for PHC (AIC diff < 3), whereas a quadratic model\n\nperformed best for CA1 and CA2/CA3. As a control, we repeated the\n\nanalyses with MTL subregion volumes after proportional volume cor-\n\nrection of total GMV calculated by ASHS. Finally, we evaluated the\n\nrelationship between endogenous sex hormones (estrogen and proges-\n\nterone) and subregion volumes using linear regression. Relationships\n\nwere considered significant only if they met FDR correction at *q* < 0.05.\n\n*White matter microstructure* . DSI Studio’s correlational tractography <sup>74</sup>\n\nwas used to analyze the relationship between white matter structure\n\nand gestational week ( *n* = 16). A truncated model was run to examine the\n\nrelationship between white matter and sex steroid hormones ( *n* = 14)\n\nfor the subset of diffusion scans with paired endocrine data during ges-\n\ntation. A nonparametric Spearman’s correlation was used to derive the\n\ncorrelation between gestational week and endocrine factors and our\n\nmetrics of interest (QA and MD; see Supplementary Table 9 and Sup-\n\nplementary Fig. 10 for MD results) because the data were not normally\n\ndistributed. Statistical inference was reached using connectometry,\n\na permutation-based approach that tests the strength of coherent\n\nassociations found between the local connectome and our variables\n\nof interest. It provides higher reliability and replicability by correcting\n\nfor multiple comparisons. This technique provides a high-resolution\n\ncharacterization of local axonal orientation. The correlational trac-\n\ntography was run with the following parameters: *t* score threshold of\n\n2.5, four pruning iterations and a length threshold of 25 voxel distance.\n\nTo estimate the FDR, a total of 4,000 randomized permutations were\n\napplied to obtain the null distribution of the track length. Reported\n\nregions were selected based on FDR cutoff (FDR < 0.2, suggested by\n\nDSI Studio), and contained at least ten tracts. For visualization of global\n\nand tract QA at each gestational stage, mean QA values were extracted\n\nusing DSI Studio’s whole-brain fiber tracking algorithm and ROI-based\n\ntracking using the default HCP842 atlas <sup>78</sup> .\n\n*Day2Day dataset: measurement variability* . To establish a marker of\n\nnormative variability over half a year, we computed metrics of meas-\n\nurement variability using the Day2Day dataset <sup>23</sup> , which provided both\n\nwhole-brain T1 and high-resolution T2 MTL scans. For each region, *j* , of\n\nthe Schaefer parcellation, we assessed across-session variability, *ε* , as\n\nε *j* = 100 × mean ( || *t* *s* −̂ *t* ||\n\n̂ *t* )\n\nWhere *t* *s* is the morphometric measurement of a parcel for session *s*\n\nand <sup>̂</sup> *t* is the mean of *t* across sessions <sup>55</sup> <sup>,</sup> <sup>79</sup> . Thus, we defined variability\n\nas the mean absolute percent difference between each individual and\n\nthe mean across sessions. Across-session variability estimates for all\n\n400 regions were then averaged across eight participants, and a global\n\nmeasure of cortical GMV variability was computed by averaging across\n\nthe 400 regions. This approach was repeated independently for the\n\nT2 hippocampal scans, wherein we computed across-session variability\n\nfor each parcel of the ASHS parcellation scheme ( *n* = 7 bilateral sub-\n\nfields). However, it is important to note that raw subfield values (that\n\nis, no manual retouching) were used for Day2Day variability assess-\n\nments and should be interpreted with caution. Finally, to better com-\n\npare against our own data, we repeated this approach using our",
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- "query": "What may reflect the decrease in GMV during pregnancy?",
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- "target_passage": " Decreases in GMV may reflect ‘fine-tuning’ of the brain by neuromodulatory hormones in prepara- tion for parenthood",
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- "text": "**2254**\n\nassociated brain networks appear to decrease in volume at a faster\n\nrate than the rest of the brain throughout pregnancy, as determined\n\nby a subsequent analysis controlling for total GMV (Supplementary\n\nTables 1 and 2). GMV reductions were also significantly correlated with\n\nthe participant’s estradiol and progesterone concentrations (Supple-\n\nmentary Table 1). A highly similar pattern of results was observed when\n\nexamining pregnancy-related CT changes (Supplementary Fig. 3 and\n\nSupplementary Tables 4 and 5). Significant reductions in cortical GMV\n\nover gestation remained after controlling for standard quality control\n\n(QC) metrics, albeit with some influence on the magnitude and location\n\nof the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork\n\nC), limbic (subnetworks A and B) and visual peripheral networks buck\n\nthe global trend by slightly increasing (for example, temporal poles),\n\nremaining constant (for example, orbitofrontal cortex) or reducing at\n\na much slower rate (for example, extrastriate cortex) than total GMV\n\n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these\n\nregions exhibit similar patterns (Supplementary Fig. 3 and Supple-\n\nmentary Tables 4 and 5).\n\n#### **Subcortical GMV changes tied to gestation**\n\nConsistent with the broader cortical reductions in GMV, several subcor-\n\ntical regions significantly reduced in volume across gestation (Fig. 3a ,\n\nleft). This included bilateral ventral diencephalon (right hemisphere\n\nvalues shown in Fig. 3a , right; encompasses hypothalamus, substantia\n\nnigra, mammillary body, lateral geniculate nucleus and red nucleus\n\namong others <sup>22</sup> ), caudate, hippocampus and thalamus, along with left\n\nputamen and brain stem (Supplementary Table 6, *q* < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to\n\ninterrogate subcortical structures at a finer resolution, revealing non-\n\nlinear volumetric decreases in CA1 ( *F* (2,15) = 5.84, *q* = 0.031, *R* <sup>2</sup> adj <sup>= 0.36;</sup>\n\nFig. 3b , left) and CA2/CA3 ( *F* (2,15) = 6.82, *q* = 0.027, *R* <sup>2</sup> adj <sup>= 0.41; Fig.</sup> <sup>3b</sup> <sup>,</sup>\n\nmiddle) across gestation. PHC exhibited linear volumetric decreases\n\nacross gestation ( *F* (1,16) = 24.87, *q* < 0.001, *R* <sup>2</sup> adj <sup>= 0.58; Fig.</sup> <sup>3b</sup> <sup>, right)</sup>\n\nwhich was also tied to estradiol ( *F* (1,12) = 20.21, *q* = 0.005, *R* <sup>2</sup> adj <sup>= 0.60).</sup>\n\nAll three relationships remained significant after proportional correc-\n\ntion for total GMV. There was no significant change in other subregions\n\nor total volume of the hippocampal body, or in the parahippocampal\n\ngyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n#### **White matter microstructure changes tied to gestation**\n\nIn contrast to decreasing global GMV, correlational tractography of\n\nwhite matter, which tests for linear trends in the data, revealed increas-\n\ning microstructural integrity across the whole brain during gestation\n\n(Fig. 4a ), concomitant with the rise in 17β-estradiol and progesterone\n\n(all *q* < 0.001; Supplementary Fig. 9). Tracts displaying robust corre-\n\nlations with gestational week included the corpus callosum, arcuate\n\nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal\n\nfasciculus (Fig. 4b ), as well as the cingulum bundle, middle and superior\n\nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon-\n\ntine tracts (see Supplementary Table 9 for complete list).\n\n#### **Comparing brain changes across pregnancy against controls**\n\nWe then compared the changes in GMV across gestation to that of typi-\n\ncal variability over time, derived from eight densely-sampled controls <sup>23</sup> .\n\nThe GMV changes we see across pregnancy far exceed normative brain\n\nvariability (Supplementary Fig. 11). On average, change in cortical GMV\n\nwas nearly three times higher than controls scanned over a similar\n\nduration (Supplementary Fig. 11a,b). This extends to MTL subfields,\n\nwherein change in volume was three to four times greater across gesta-\n\ntion than normative brain variability (Supplementary Fig. 11c,d). We\n\ncontextualized these findings further by comparing gestational GMV\n\nchange against our participant’s preconception brain volumes; average\n\nGMV change during pregnancy was six times (cortical) and three times\n\n(MTL) higher than the variability observed between baseline sessions.\n\nsubcortical structures, including the ventral diencephalon, caudate,\n\nthalamus, putamen and hippocampus. High-resolution imaging and\n\nsegmentation of the medial temporal lobe (MTL) extend these findings\n\nfurther, revealing specific volumetric reductions within hippocampal\n\nsubfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In con-\n\ntrast to widespread decreases in cortical and subcortical GMV, cor -\n\nrelational tractography analyses revealed nonlinear increases in white\n\nmatter quantitative anisotropy (QA) throughout the brain—indicating\n\ngreater tract integrity—as gestational week progressed. Together, these\n\nfindings reveal the highly dynamic changes that unfold in a human\n\nbrain across pregnancy, demonstrating a capacity for extensive neural\n\nremodeling well into adulthood.\n\n### **Results**\n\n#### **Serological evaluations**\n\nSerological evaluations captured canonical hormone fluctuations\n\ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b ).\n\nSerum hormone concentrations increased significantly over the course\n\nof pregnancy and dropped precipitously postpartum (preconcep-\n\ntion, estradiol (E) = 3.42 pg ml <sup>−1</sup> and progesterone (P) = 0.84 ng ml <sup>−1</sup> ;\n\n3 weeks preparturition, E = 12,400 pg ml <sup>−1</sup> and P = 103 ng ml <sup>−1</sup> ; 3 months\n\npostparturition, E = 11.50 pg ml <sup>−1</sup> and P = 0.04 ng ml <sup>−1</sup> ).\n\n#### **Whole-brain dynamics from baseline through postpartum**\n\nTo begin, we characterized broad neuroanatomical changes over the\n\ncourse of the entire experimental window (baseline—2 years postpar-\n\ntum, 26 scans; Fig. 1d ). Generalized additive models revealed strong\n\nnonlinear (effective degrees of freedom > 3) relationships between\n\nweeks since conception and summary brain metrics. Total GMV\n\n( *F* = 27.87, *P* < 0.001, deviance explained = 93.9%, *R* <sup>2</sup> adj <sup>= 0.91), summary</sup>\n\nCT ( *F* = 15.79, *P* < 0.001, deviance explained = 78.6%, *R* <sup>2</sup> adj <sup>= 0.75) and</sup>\n\ntotal brain volume ( *F* = 26.12, *P* < 0.001, deviance explained = 93.4%,\n\n*R* <sup>2</sup> adj <sup>= 0.90) linearly decreased during gestation and appeared to</sup>\n\npartially rebound postpartum. In contrast, global microstructural\n\nintegrity (QA) of white matter increased throughout the first and sec-\n\nond trimesters before returning to baseline levels in the postpartum\n\nperiod (whole-brain QA, *F* = 4.62, *P* = 0.007, deviance explained = 60.2%,\n\n*R* <sup>2</sup> adj <sup>= 0.51). We also observed nonlinear patterns of lateral ventricle</sup>\n\nexpansion *(F* = 10.44, *P* < 0.001, deviance explained = 83.8%, *R* <sup>2</sup> adj <sup>= 0.77)</sup>\n\nand increased cerebrospinal fluid (CSF; *F* = 13.32, *P* < 0.001, deviance\n\nexplained = 83.8%, *R* <sup>2</sup> adj <sup>= 0.79) rising in the second and third trimesters</sup>\n\nbefore dropping sharply postpartum.\n\n#### **Cortical volume and thickness changes tied to gestation**\n\nWe then narrowed the aperture to capture changes unfolding within\n\ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships\n\nbetween summary brain metrics were evident over the gestational\n\nperiod as follows: total brain volume, GMV and CT were positively asso -\n\nciated with one another, whereas lateral ventricles, CSF and global QA\n\ndemonstrated negative relationships with GMV (Supplementary Fig. 1).\n\nChanges in GMV were near-ubiquitous across the cortical mantle\n\n(Fig. 2a ). Most large-scale brain networks exhibited decreases in GMV\n\n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of\n\ninterest (ROI) demonstrated negative relationships between GMV and\n\ngestation week (Fig. 2a and Supplementary Table 2). Together, these\n\nresults provide evidence of a global decrease in cortical volume across\n\npregnancy. Several sensory and attention subnetworks were particu-\n\nlarly sensitive to gestation, including the control (subnetwork B), sali-\n\nence/ventral attention (subnetwork A), dorsal attention (subnetwork\n\nB), default (subnetwork A) and somatomotor (subnetworks A and B)\n\nnetworks (Supplementary Table 1). Regions driving these network-level\n\nchanges include the bilateral inferior parietal lobe, postcentral gyri,\n\ninsulae, prefrontal cortex, posterior cingulate and somatosensory\n\ncortex (Fig. 2c , Supplementary Table 2 and validation of findings using\n\nalternate pipeline in Supplementary Tables 1 and 3). These regions and",
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- "text": "**2256**\n\n*T* stat\n\nInferior parietal Control network B\n\n4\n\n- 14\n\n**a** Whole-brain GMV\n\nGMV ~ gestation week\n\nLat Med\n\nL\n\nR\n\nBaseline - 36 weeks\n\nGMV change by network **b**\n\nDMNC VisPeri LimbicA LimbicB DMNB DMNA SomMotB VisCent ContC TempPar DorsAttnA ContA SomMotA SalVentAttnA SalVentAttnB ContB Total DorsAttnB\n\n- 8\n\n- 5\n\n- 3\n\n0\n\n2\n\nPercent\n\n**c**\n\nPostcentral gyrus Dorsal attention network B Frontal eye fields Dorsal attention network B\n\nMedial frontal Salience ventral attention network A Insula Salience ventral attention network B\n\nPrecuneus/posterior cingulate Default mode network A\n\nAvg GMV (zero centered)\n\nRegional GMV\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nStage\n\n2nd\n\nWeek\n\n30 20 10 0 Pre 1st 3rd Post Stage Week 30 20 10 0\n\nStage Week 30 20 10 0 Avg GMV (zero centered) 2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nGestation + postpartum Gestation Gestation + postpartum Gestation Gestation + postpartum Gestation\n\nGestation + postpartum Gestation Gestation + postpartum Gestation Gestation + postpartum Gestation\n\nStage Week\n\n30 20 10 0\n\nStage Week\n\n30 20 10 0\n\nStage Week\n\n30 20 10 0\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\nAvg GMV (zero centered)\n\nAvg GMV (zero centered) Avg GMV (zero centered) Avg GMV (zero centered)\n\n2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2\n\n1\n\n0\n\n- 2\n\n- 1\n\n2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post 2nd Pre 1st 3rd Post\n\n### **Fig. 2 | Cortical GMV showed widespread change through gestation and**\n\n**postpartum. a** , Multivariate regression analyses reveal largely negative\n\nrelationships between gestation week and regional GMV, with only a minority\n\nof regions unaffected or increasing over the gestational window (baseline—36\n\nweeks). All associations presented here were corrected for multiple comparisons\n\n(FDR at *q* < 0.05; nonsignificant values set to zero for interpretability). **b** , Average\n\nnetwork change was calculated by estimating GMV percent change from baseline\n\n(initial) to 36 weeks gestation (final). Attention and control networks appear\n\nmost affected. **c** , Six representative regions, classified by major subnetworks,\n\nthat exhibit pronounced GMV change across gestation. For each panel, we\n\ndisplay a scatterplot between average GMV of the ROIs and gestation week\n\n(left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy\n\nstage across the whole study (right; gestation and postpartum sessions, 26 scans).\n\nShaded regions in scatterplots represent a 95% confidence interval. Each\n\nboxplot represents IQR for each stage, with a horizontal line representing the\n\nmedian value. The whiskers indicate variability outside (±1.5) of this range.\n\nOutside values are >1.5× and <3× IQR beyond either end of the box. All statistical\n\ntests were corrected for multiple comparisons (FDR at *q* < 0.05) and values\n\nwere *z* scored and transformed to have a mean of zero and s.d. of one for easier\n\ncomparison across regions. Please note that the data values shown here are raw\n\n(see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list).\n\nBrain visualizations created with R package ggseg <sup>48</sup> . IQR, interquartile range;\n\nLat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral\n\nnetwork; SomMot, somatomotor network; VisCent, visual central network; Cont,\n\ncontrol network; TempPar, temporal parietal network; DorsAttn, dorsal attention\n\nnetwork; SalVentAttn, salience/ventral attention network.",
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- "text": "**2257**\n\noutstanding questions. This study and corresponding open-access\n\ndataset offer neuroscientists a detailed map of the human brain across\n\ngestation, a resource for which a wide range of previously unattainable\n\nneurobiological questions can now be explored.\n\nOur findings from this precision imaging study show that preg-\n\nnancy is characterized by reductions in GMV, cortical thinning and\n\nenhanced white matter microstructural integrity that unfold week by\n\nweek. These changes were also tied to the significant rise in steroid hor-\n\nmone concentrations over pregnancy. Some of these changes persist\n\nat 2 years postpartum (for example, global reductions in GMV and CT),\n\nwhile others, including markers of white matter integrity, appear to be\n\ntransient. Ventricular expansion and contraction parallel these cortical\n\nchanges. These widespread patterns, and the notable increase in CSF\n\nvolume across gestation, could reflect increased water retention and\n\nsubsequent compression of cortical tissue. However, the persistence\n\nof these changes at 2 years postpartum and regional variation in GMV,\n\nCT and QA, hint at cellular underpinnings, such as alterations in glia\n\nor neuron number, synaptic density and myelination (for review on\n\nthe latter, see ref. 4 ). Future studies of the relationship between fluid\n\ndynamics and volumetric changes will help clarify the factors that drive\n\nglobal neural changes during pregnancy; such insights will have broad\n\nimplications for maternal health (for example, neurological effects tied\n\nto pre-eclampsia or edema).\n\nCritically, dynamic neural changes occurred within the pregnancy\n\nwindow itself, a nuance not captured by studies limited to comparisons\n\nbetween prepregnancy and postpregnancy. For example, we observed\n\nlarge increases in white matter microstructural integrity (QA) through-\n\nout the first and second trimesters of pregnancy, but these measures\n\nfully returned to baseline values by the first postpartum scan. This\n\npattern may explain why previous studies report no pregnancy-related\n\ndifferences in white matter tractography <sup>14</sup> . Other measures, such as\n\nGMV and CT, decreased throughout gestation and displayed only a\n\nmodest rebound postpartum. These nonlinear patterns suggest that\n\nonly quantifying prepregnancy and postpartum brain structure may\n\nWhole-brain subcortical volumes\n\nGestation + postpartum Gestation\n\nWeek Stage\n\nAvg GMV (mm 3\n\n)\n\n0 10 20 30 Pre 1st 2nd 3rd Post\n\n4,000\n\n3,900\n\n3,800\n\n3,700\n\n3,600\n\n3,500\n\n4,000\n\n3,800\n\n3,600\n\nRight ventral diencephalon\n\nBrain stem\n\n**a**\n\nCA1\n\nWeek\n\n0 10 20 30\n\nStage\n\n1,900\n\n1,800\n\n1,700\n\n1,900\n\n1,800\n\n1,700 Avg GMV (mm\n\n3\n\n)\n\nGestation + postpartum Gestation\n\nPHC CA2/CA3\n\nMedial temporal lobe subregion volumes **b**\n\nGestation + postpartum\n\nWeek Stage\n\n200\n\n180\n\n160\n\n200\n\n180\n\n160 Avg GMV (mm\n\n3 )\n\nGestation Gestation + postpartum\n\nWeek\n\n0 10 20 30\n\nStage\n\nPre Post\n\n540\n\n500\n\n460\n\n540\n\n500\n\n460\n\nAvg GMV (mm\n\n3\n\n)\n\n*R* *<sup>2</sup>* adj <sup>= 0.36,</sup> *<sup>q</sup>* <sup>= 0.031</sup> *R* *<sup>2</sup>* adj <sup>= 0.41,</sup> *<sup>q</sup>* <sup>= 0.027</sup> *R* *<sup>2</sup>* adj <sup>= 0.58,</sup> *<sup>q</sup>* <sup>= 0.001</sup>\n\nGestation\n\nVentral DC\n\n*T* stat\n\nHippocampus\n\nPutamen\n\nThalamus\n\nCaudate\n\nLateral ventricle\n\n- 6\n\n2\n\nPre 1st 2nd 3rd Post Pre Post 0 10 20 30 1st 2nd 3rd 1st 2nd 3rd\n\n### **Fig. 3 | Subcortical GMV changed throughout gestation. a** , Multivariate\n\nregression analyses revealed largely negative relationships between gestation\n\nweek and subcortical GMV regions over pregnancy, including bilateral thalamus,\n\ncaudate, hippocampus, ventral diencephalon (encompassing hypothalamus,\n\nsubstantia nigra, mammillary body and red nucleus) and left caudate. Lateral\n\nventricles displayed the only positive relationships with gestation week\n\n(also depicted in Fig. 1d ). The whole-brain subcortical GMV estimates shown\n\nhere were derived via FreeSurfer and ‘aseg’ subcortical segmentation. FDR-\n\ncorrected at *q* < 0.05. Inset, right ventral diencephalon displayed the strongest\n\nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did\n\nnot return to baseline postpartum (right; gestation and postpartum, 26 scans).\n\n**b** , The participant’s hippocampus and surrounding cortex were segmented\n\ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression\n\nanalyses (PHC) revealed subfields were negatively associated with gestation\n\nweek (baseline—36 weeks, 18 scans) and did not return to baseline postpartum\n\n(gestation and postpartum, 25 scans). Shaded regions in scatterplots represent\n\na 95% confidence interval. Each boxplot represents IQR for each stage, with a\n\nhorizontal line representing the median value. The whiskers indicate variability\n\noutside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either\n\nend of the box. FDR-corrected at *q* < 0.05. For **a** and **b** , nonsignificant regions\n\nwere set to zero for interpretability. See Supplementary Fig. 6 for complete\n\nlabeling of regions in both segmentations. Brain visualizations created with R\n\npackage ggseg <sup>48</sup> *.* DC, diencephalon.",
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- "text": "**2259**\n\nthe offspring <sup>12</sup> . Human studies have revealed GMV reductions in areas\n\nof the brain important for social cognition and the magnitude of these\n\nchanges corresponds with increased parental attachment <sup>13</sup> . Deeper\n\nexamination of cellular and systems-level mechanisms will improve\n\nour understanding of how pregnancy remodels specific circuits to\n\npromote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal\n\nbehavior and white matter microstructure (particularly connectiv-\n\nity between temporal and occipital lobes) have been noted <sup>31</sup> . Here we\n\nreveal pronounced GMV changes in regions within sensory, attention\n\nand default mode networks over the gestational window. In paral-\n\nlel, we observed increased anisotropy in white matter tracts that\n\nfacilitate communication between emotional and visual processing\n\nhubs <sup>37</sup> <sup>-</sup> <sup>39</sup> , including the inferior longitudinal fasciculus and inferior\n\nfronto-occipital fasciculus. Pinpointing the synchrony of gray and\n\nwhite matter changes that unfold in the maternal brain could be\n\nkey to understanding the behavioral adaptions that emerge during\n\nand after pregnancy, such as honing the brain’s visual and auditory\n\nresponses to infant cues and eliciting maternal behavior. Research\n\ninto other major transition periods supports this idea. For instance,\n\nadolescence is a dynamic period characterized by region-specific,\n\nnonlinear decreases in GMV and increases in WMV, maturational\n\nbrain changes that are tied to gains in executive function and social\n\ncognition <sup>40</sup> . For both adolescence <sup>41</sup> and matrescence, the consider-\n\nable rise in steroid hormone production appears to remodel the brain\n\n(see ref. 25 for comparative analysis), promoting a suite of behaviors\n\nadaptive to that life stage. How specific neural changes give rise to\n\nspecific behavioral adaptations has yet to be fully explored with\n\nrespect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes\n\nacross pregnancy in a single individual, precluding our ability to gen-\n\neralize to the broader population. To benchmark our findings, we com-\n\npared the magnitude of GMV changes observed throughout pregnancy\n\nagainst data from nonpregnant individuals sampled over a similar time\n\ncourse. Doing so provided compelling evidence that pregnancy-related\n\nneuroanatomical shifts far exceed normative day-to-day brain variabil-\n\nity and measurement error. Evidence suggests that white matter micro-\n\nstructure remains fairly stable over a six-month period <sup>42</sup> , but more\n\nstudies are needed to compare the degree of white matter changes\n\nobserved during pregnancy to normative change over time. Further,\n\nsampling larger cohorts of women will generate much-needed norma-\n\ntive models of brain change (akin to ref. 43 ) throughout pregnancy to\n\nestablish what constitutes a typical degree of neuroanatomical change\n\nexpected during gestation and postpartum recovery.\n\nThese findings provide a critical rationale for conducting further\n\nprecision imaging studies of pregnancy in demographically enriched\n\ncohorts to determine the universality and idiosyncrasy of these adap-\n\ntations and their role in maternal health. Are the changes observed in\n\nour participant reflective of the broader population? Do deviations\n\nfrom the norm lead to maladaptive outcomes? A precision imaging\n\napproach can help determine whether the pace of pregnancy-induced\n\nneuroanatomical changes drives divergent brain health outcomes in\n\nwomen, as may be the case during other rapid periods of brain devel-\n\nopment <sup>44</sup> . One in five women experiences perinatal depression <sup>45</sup> and\n\nwhile the first FDA-approved treatment is now available <sup>46</sup> , early detec-\n\ntion remains elusive. Precision imaging studies could offer clues about\n\nan individual’s risk for or resilience to depression before symptom\n\nonset, helping clinicians better determine when and how to intervene.\n\nNeuroscientists and clinicians also lack tools to facilitate detection\n\nand treatment of neurological disorders that co-occur, worsen or\n\nremit with pregnancy, such as epilepsy, headaches, multiple sclerosis\n\nand intracranial hypertension <sup>47</sup> . Precision mapping of the maternal\n\nbrain lays the groundwork for a greater understanding of the subtle\n\nand sweeping structural, functional, behavioral and clinical changes\n\nthat unfold across pregnancy. Such pursuits will advance our basic\n\nunderstanding of the human brain and its remarkable ability to undergo\n\nprotracted plasticity in adulthood.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting sum-\n\nmaries, source data, extended data, supplementary information,\n\nacknowledgements, peer review information; details of author con-\n\ntributions and competing interests; and statements of data and code\n\navailability are available at [https://doi.org/10.1038/s41593-024-01741-0](https://doi.org/10.1038/s41593-024-01741-0) .\n\n**References** 1. World Health Organization. Maternal, newborn, child and\n\nadolescent health and ageing. [platform.who.int/data/](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing)\n\n[maternal-newborn-child-adolescent-ageing](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing) (2022).\n\n2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. *Knobil and Neill’s*\n\n*Physiology of Reproduction* pp. 1927- 1955 (Elsevier, 2015).\n\n3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for\n\nmotherhood. *Nat. Rev. Neurosci.* **9** , 11- 25 (2008).\n\n4. Gregg, C. Pregnancy, prolactin and white matter regeneration.\n\n*J. Neurol. Sci.* **285** , 22- 27 (2009).\n\n5. Haim, A. et al. A survey of neuroimmune changes in pregnant\n\nand postpartum female rats. *Brain Behav. Immun.* **59** ,\n\n67- 78 (2017).\n\n6. Barrière, D. A. et al. Brain orchestration of pregnancy and\n\nmaternal behavior in mice: a longitudinal morphometric study.\n\n*NeuroImage* **230** , 117776 (2021).\n\n7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The\n\ngenomic architecture of pregnancy-associated plasticity in\n\nthe maternal mouse hippocampus. *eNeuro* **9** , ENEURO.0117-22.\n\n2022 (2022).\n\n8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex differences:\n\nshort- and long-term effects of pregnancy on the brain. *Trends*\n\n*Neurosci.* **46** , 459- 471 (2023).\n\n9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural\n\nstem cells for transient neurogenesis in mothers. *Science* **382** ,\n\n958- 963 (2023).\n\n10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity\n\ninduced by environment and pregnancy. *Int. J. Neurosci.* **2** ,\n\n171- 178 (1971).\n\n11. Servin-Barthet, C. et al. The transition to motherhood:\n\nlinking hormones, brain and behaviour. *Nat. Rev. Neurosci.* **24** ,\n\n605- 619 (2023).\n\n12. Ammari, R. et al. Hormone-mediated neural remodeling\n\norchestrates parenting onset during pregnancy. *Science* **382** ,\n\n76- 81 (2023).\n\n13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in\n\nhuman brain structure. *Nat. Neurosci.* **20** , 287- 296 (2017).\n\n14. Hoekzema, E. et al. Mapping the effects of pregnancy on\n\nresting state brain activity, white matter microstructure, neural\n\nmetabolite concentrations and grey matter architecture. *Nat.*\n\n*Commun.* **13** , 6931 (2022).\n\n15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O.\n\n& Carmona, S. Characterizing the brain structural adaptations\n\nacross the motherhood transition. *Front. Glob. Womens Health* **2** ,\n\n742775 (2021).\n\n16. Spalek, K. et al. Pregnancy renders anatomical changes in\n\nhypothalamic substructures of the human brain that relate to\n\naspects of maternal behavior. *Psychoneuroendocrinology* **164** ,\n\n107021 (2024).\n\n17. Martínez-García, M. et al. Do pregnancy-induced brain changes\n\nreverse? The brain of a mother six years after parturition. *Brain Sci.*\n\n**11** , 168 (2021b).\n\n18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals\n\ntraces of childbirth in the maternal brain. *Proc. Natl Acad. Sci. USA*\n\n**116** , 22341- 22346 (2019).",
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- "text": "**2258**\n\noverlook the full range of changes that unfold within the gestational\n\nwindow, and underrepresent the brain’s metamorphosis during preg-\n\nnancy. Furthermore, although observed changes were largely global,\n\nsome regions displayed notable stability (for example, extrastriate cor-\n\ntex). The subcortical region that displayed the strongest relationship\n\nwith gestation week was the ventral diencephalon, which encompasses\n\nthe hypothalamus and subsequent medial preoptic area and paraven-\n\ntricular nucleus—structures critical for inducing maternal behavior <sup>12</sup> <sup>,</sup> <sup>16</sup> .\n\nThe hippocampus exhibited a reduction in volume across gestation,\n\nand with higher spatial resolution, this reduction was revealed to be\n\ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other\n\nhippocampal subfields remained stable. Adjacent PHC within the\n\nMTL also exhibited volume reduction across gestation. While our hip-\n\npocampal findings are consistent with pre/post studies of pregnancy <sup>13</sup> ,\n\nthe precision lens applied within gestation revealed the nonlinear\n\nnature of this reduction. Recapitulating and clarifying these region-\n\nally specific patterns of volume change throughout the MTL merits\n\nfurther investigation.\n\nSimilar precision imaging studies have captured dynamic brain\n\nreorganization across other neuroendocrine transitions, such as the\n\nmenstrual cycle (see review in ref. 28 ), underscoring the powerful\n\nrole steroid hormones have in shaping the mammalian brain <sup>29</sup> . Endo-\n\ncrine changes across pregnancy dwarf those that occur across the\n\nmenstrual cycle, which highlights the critical need to map the brain’s\n\nresponse to this unique hormonal state. Broad physiological changes\n\noccur in tandem with the rise in steroid hormones, including changes\n\nin body mass composition, water retention, immune function and\n\nsleep patterns <sup>11</sup> . These factors could have a role in the brain changes\n\nobserved here, with some driving neurobiological changes and others,\n\nlike water retention, potentially affecting MRI-based measurements.\n\nNote that, although cortical reductions in GMV over gestation were\n\nstable across analyses, accounting for QC measures influenced the\n\nmagnitude and location of these results. These metrics all fell within\n\nthe standard range, but there may be meaningful reductions in signal\n\nthat accompany volumetric reductions (for example, increased CSF\n\nand decreased GM)—a methodological nuance that goes beyond the\n\nscope of this resource study. Ultimately, identifying the shared and\n\nunique contributions of these factors to the neuroanatomical changes\n\nthat unfold across gestation warrants further investigation. Deeply\n\nphenotyping a large and diverse cohort of women across pregnancy will\n\nopen up new avenues of exploration, for example, allowing research-\n\ners to link blood-based proteomic signatures to pregnancy outcomes;\n\ndeploying wearable devices to monitor changes in sleep, cognition and\n\nmood; and probing the broader social and environmental determinants\n\nof maternal health <sup>27</sup> .\n\nThe neuroanatomical changes that unfold during matrescence\n\nmay have broad implications for understanding individual differences\n\nin parental behavior <sup>13</sup> <sup>,</sup> <sup>24</sup> <sup>,</sup> <sup>30</sup> <sup>,</sup> <sup>31</sup> , vulnerability to mental health disorders <sup>32</sup> <sup>,</sup> <sup>33</sup>\n\nand patterns of brain aging <sup>18</sup> <sup>,</sup> <sup>19</sup> <sup>,</sup> <sup>34</sup> <sup>-</sup> <sup>36</sup> . Decreases in GMV may reflect\n\n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara-\n\ntion for parenthood <sup>26</sup> . For example, in rodents, steroid hormones\n\npromote parental behavior by remodeling specific neural circuits in the\n\nmedial preoptic area of the hypothalamus. These behavioral adapta-\n\ntions are critical to the dam’s ability to meet the demands of caring for\n\n**a b**\n\nQuantitative anisotropy (zero centered)\n\nIndividual tracts\n\nCorpus Callosum\n\nR inf. fronto occipital fasc.\n\nGestation + postpartum\n\nSummary white matter tracts\n\nGestation\n\nStage Stage\n\nL inf. longitudinal fasc.\n\nL arcuate fasciculus\n\nPre 1st 2nd 3rd Post\n\nAF\n\nC\n\nCC\n\nCS\n\nIFOF\n\nILF\n\nCPT\n\nCST\n\nDT\n\nMLF\n\nPre 1st 2nd 3rd Post Pre 1st 2nd 3rd Post\n\nPre 1st 2nd 3rd Post\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n2\n\n1\n\n0\n\n- 1\n\n- 2\n\n### **Fig. 4 | White matter microstructure changes throughout the experiment.**\n\n**a** , Numerous white matter tracts demonstrate increasing QA in relation to\n\nadvancing gestation week (baseline—36 weeks, 16 scans), as determined by\n\ncorrelational tractography analysis (FDR, *q* < 0.0001). See Supplementary\n\nTable 9 for complete list of tracts with a significant correlation between QA and\n\ngestation week. **b** , Summary of QA values by pregnancy stage (gestation and\n\npostpartum, 23 scans) for representative ROIs significantly tied to gestation.\n\nROI-based tractometry was used to extract QA values. Each boxplot represents\n\nIQR for each stage, with a horizontal line representing the median value. The\n\nwhiskers indicate variability outside (±1.5) of this range. Outside values are >1.5×\n\nand <3× IQR beyond either end of the box. Values were *z* scored and transformed\n\nto have a mean of zero and s.d. of one for easier comparison across individual\n\ntracts. AF, arcuate fasciculus; C, cingulum bundle; CC, corpus callosum; CPT,\n\ncorticopontine tracts; CS, corticostriatal tracts; CST, corticospinal tracts; DT,\n\ndentatorubrothalamic tract; IFOF, inferior frontal occipital fasciculus; ILF,\n\ninferior longitudinal fasciculus; MLF, middle longitudinal fasciculus.",
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- "text": "**2253**\n\n**nature neuroscience**\n\n[https://doi.org/10.1038/s41593-024-01741-0](https://doi.org/10.1038/s41593-024-01741-0) **Resource**\n\n## **Neuroanatomical changes observed over the course of a human pregnancy**\n\n**Laura Pritschet <sup>1</sup> , Caitlin M. Taylor <sup>1</sup> , Daniela Cossio <sup>2</sup> ,**\n\n**[Joshua Faskowitz ](http://orcid.org/0000-0003-1814-7206) <sup>3</sup> , Tyler Santander <sup>1</sup> [, Daniel A. Handwerker ](http://orcid.org/0000-0001-7261-4042) <sup>3</sup> ,**\n\n**Hannah Grotzinger <sup>1</sup> , Evan Layher <sup>1</sup> [, Elizabeth R. Chrastil ](http://orcid.org/0000-0003-2544-0152) <sup>2,5</sup> &**\n\n**[Emily G. Jacobs ](http://orcid.org/0000-0003-0001-5096) <sup>1,4,5</sup>**\n\nPregnancy is a period of profound hormonal and physiological changes\n\nexperienced by millions of women annually, yet the neural changes\n\nunfolding in the maternal brain throughout gestation are not well studied\n\nin humans. Leveraging precision imaging, we mapped neuroanatomical\n\nchanges in an individual from preconception through 2 years postpartum.\n\nPronounced decreases in gray matter volume and cortical thickness were\n\nevident across the brain, standing in contrast to increases in white matter\n\nmicrostructural integrity, ventricle volume and cerebrospinal fluid, with\n\nfew regions untouched by the transition to motherhood. This dataset serves\n\nas a comprehensive map of the human brain across gestation, providing an\n\nopen-access resource for the brain imaging community to further explore\n\nand understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies\n\nin their lifetime <sup>1</sup> , with 140 million women becoming pregnant each\n\nyear. Over an approximately 40-week gestational window, the maternal\n\nbody undergoes profound physiological adaptations to support the\n\ndevelopment of the fetus, including increases in plasma volume, meta-\n\nbolic rate, oxygen consumption and immune regulation <sup>2</sup> . These rapid\n\nadaptations are initiated by 100-fold to 1,000-fold increases in hormone\n\nproduction, including estrogen and progesterone. These neuromodu-\n\nlatory hormones also drive significant reorganization of the central\n\nnervous system. Evidence from animal models and human studies con-\n\nverge on pregnancy as a period of remarkable neuroplasticity <sup>3</sup> <sup>-</sup> <sup>10</sup> (see\n\nref. 10 for one of the earliest known observations). Gestational increases\n\nin steroid hormone synthesis drive neurogenesis, dendritic spine\n\ngrowth, microglial proliferation, myelination and astrocyte remodeling\n\n(for review, see ref. 11 ). These cellular changes are pronounced in brain\n\ncircuits that promote maternal behavior. For example, Ammari et al.\n\nrecently discovered that steroid hormones can fine-tune the response\n\nproperties of galanin neurons in the rodent medial preoptic area of\n\nthe hypothalamus (mPOA), leading to enhanced sensitivity in dams\n\nto sensory cues from newborn pups <sup>12</sup> .\n\nIn humans, reductions in gray matter volume (GMV) have\n\nbeen observed postpartum <sup>13</sup> <sup>-</sup> <sup>16</sup> , particularly in regions central to\n\ntheory-of-mind processing <sup>13</sup> . These GMV changes persist at 6 years\n\npostpartum <sup>17</sup> and are traceable decades later <sup>18</sup> <sup>,</sup> <sup>19</sup> , underscoring the\n\npermanence of this major remodeling event. And yet the changes that\n\noccur within the maternal brain during gestation itself are virtually\n\nunknown (see ref. 20 for early neuroimaging insight). A recent study by\n\nPaternina-Die et al. offers intriguing clues <sup>21</sup> . Women were scanned once\n\nin the third trimester and again in the postpartum period, revealing a\n\nreduction of cortical volume observable in the late pregnancy scan.\n\nThese findings suggest that pregnancy is a highly dynamic period for\n\nneural remodeling, yet neuroscientists lack a detailed map of how the\n\nhuman brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in\n\nwhich a healthy 38-year-old primiparous woman underwent 26 mag-\n\nnetic resonance imaging (MRI) scans and venipuncture beginning\n\n3 weeks preconception through 2 years postpartum. We observed\n\nwidespread reductions in cortical GMV and cortical thickness (CT)\n\noccurring in step with advancing gestational week and the dramatic\n\nrise in sex hormone production. Remodeling was also evident within\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\n[ Check for updates](http://crossmark.crossref.org/dialog/?doi=10.1038/s41593-024-01741-0&domain=pdf)\n\n1 Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2 Department of Neurobiology and Behavior, University\n\nof California, Irvine, CA, USA. <sup>3</sup> Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National\n\nInstitutes of Health, Bethesda, MD, USA. <sup>4</sup> Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. <sup>5</sup> These authors contributed\n\nequally: Elizabeth R. Chrastil, Emily G. Jacobs. e-mail: [laura.pritschet@pennmedicine.upenn.edu](mailto:laura.pritschet@pennmedicine.upenn.edu) ; [chrastil@uci.edu](mailto:chrastil@uci.edu) ; [emily.jacobs@psych.ucsb.edu](mailto:emily.jacobs@psych.ucsb.edu)",
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- "text": "performed an outlier check, labeling images as a ‘low-quality outlier’ if\n\nthe correlation coefficient was >3 s.d. from the absolute mean. None of\n\nour scans were flagged as outliers. The reconstructed participant files\n\nwere aggregated into one connectometry database per metric.\n\n*Day2Day control dataset* . To compare our findings against a control\n\ngroup of nonpregnant densely-sampled individuals, we used the Day-\n\n2Day dataset <sup>23</sup> which offered comparable whole-brain T1 and T2 MTL\n\nscans for eight participants (two male) scanned 12- 50 times over 2- 7\n\nmonths. Each participant was run through the ANTs CT and ASHS pro-\n\ncessing pipelines as outlined above (‘Cortical volume and thickness’\n\nand ‘Hippocampal segmentation’). To note, for each participant, we\n\ncreated an SST based on their first two sessions for consistency with\n\nthe primary dataset; subfield volumes for the T2 MTL scans did not\n\nundergo manual retouching. Due to missing header information on\n\nthe publicly available diffusion scans, we were unable to benchmark\n\nour white matter changes with the Day2Day dataset.\n\n**Statistical analysis .** Statistical analyses were conducted using R (sMRI;\n\nversion 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\n*Summary brain metrics* . To reflect the existing literature, we first\n\nexplored brain metrics across the entire study duration (prepregnancy\n\nthrough postpartum, *n* = 26 scans). When including all sessions, total\n\nbrain volume, GMV, CT, global QA, ventricle volume and CSF displayed\n\nnonlinear trends over time; therefore, we used generalized additive\n\nmodels (GAM; cubic spline basis, *k* = 10, smoothing = GCV), a method of\n\nnonparametric regression analysis (R package, mgcv <sup>76</sup> ), to explore the\n\nrelationship between summary brain metrics (outcome variables) and\n\ngestation week (smooth term). Each model underwent examination\n\n(gam.check function) to ensure it was correctly specified with regards\n\nto (1) the choice of basis dimension ( *k* ) and (2) the distribution of model\n\nresiduals (see mgcv documentation in ref. 76 ). The general pattern of\n\nresults held after toggling model parameters; however, we note the\n\nrisk of overinterpreting complex models with small sample sizes <sup>77</sup> . To\n\naddress overfitting and cross-validate our basis type selection, we also\n\nfit the data using nonpenalized general linear models (GLM) with both\n\nlinear and polynomial terms for gestation week. We compared the per-\n\nformance of each GLM (that is, models using only a linear term versus\n\nmodels with polynomial terms) via the Akaike information criterion\n\n(AIC), which revealed that cubic models consistently outperformed\n\nboth linear and quadratic models (AIC diff > 3), providing additional\n\nevidence for nonlinear changes in structural brain variables over time.\n\nDetermining whether these patterns replicate in larger cohorts and\n\nwhether complex models are better suited to capture data patterns\n\nacross individuals will be a necessary next step.\n\n*Cortical GMV and CT* . We then narrowed our analyses to the first 19\n\nsessions (baseline—36 weeks gestation) to assess novel brain changes\n\noccurring over the gestational window. We first computed Pearson’s\n\nproduct-moment correlation matrices between the following vari -\n\nables: gestation week, estradiol, progesterone and the 17 network-level\n\naverage GMV values. We then ran a multivariate regression analysis\n\npredicting ROI-level GMV changes by gestation week. To identify which\n\nregions were changing at a rate different from the global decrease,\n\nwe then ran the analyses again to include total GMV in the regression\n\nmodel (Supplementary Table 2). This was extended to the network\n\nlevel, where we ran partial correlations accounting for total GMV. These\n\nsame analyses were then run with CT measures. Globally-corrected\n\nresults provided in Supplementary Tables 1- 5. Percent change at the\n\nnetwork level was computed by subtracting the final pregnancy value\n\n(36 weeks pregnant) from the first prepregnancy baseline value, then\n\ndividing that difference by said first prepregnancy baseline value. All\n\nanalyses underwent multiple comparisons testing (false discovery rate\n\n(FDR)-corrected at *q* < 0.05).\n\n*Subcortical GMV* . A similar statistical approach was taken for subcorti-\n\ncal volume estimates. We ran a multivariate regression analysis predict-\n\ning GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by\n\ngestation week (FDR-corrected at *q* < 0.05).\n\nTo evaluate the relationship between gestation week and MTL\n\nsubregion volume over pregnancy ( *n* = 7 bilateral subregions and\n\n*n* = 18 MTL scans), we used a combination of linear and nonlinear\n\nmodels based on individual subregion data patterns. Models were\n\ncompared for best fit with each subregion via AIC from the GLM output\n\n(as described in ‘Summary brain metrics’). A linear regression model\n\nwas most appropriate for PHC (AIC diff < 3), whereas a quadratic model\n\nperformed best for CA1 and CA2/CA3. As a control, we repeated the\n\nanalyses with MTL subregion volumes after proportional volume cor-\n\nrection of total GMV calculated by ASHS. Finally, we evaluated the\n\nrelationship between endogenous sex hormones (estrogen and proges-\n\nterone) and subregion volumes using linear regression. Relationships\n\nwere considered significant only if they met FDR correction at *q* < 0.05.\n\n*White matter microstructure* . DSI Studio’s correlational tractography <sup>74</sup>\n\nwas used to analyze the relationship between white matter structure\n\nand gestational week ( *n* = 16). A truncated model was run to examine the\n\nrelationship between white matter and sex steroid hormones ( *n* = 14)\n\nfor the subset of diffusion scans with paired endocrine data during ges-\n\ntation. A nonparametric Spearman’s correlation was used to derive the\n\ncorrelation between gestational week and endocrine factors and our\n\nmetrics of interest (QA and MD; see Supplementary Table 9 and Sup-\n\nplementary Fig. 10 for MD results) because the data were not normally\n\ndistributed. Statistical inference was reached using connectometry,\n\na permutation-based approach that tests the strength of coherent\n\nassociations found between the local connectome and our variables\n\nof interest. It provides higher reliability and replicability by correcting\n\nfor multiple comparisons. This technique provides a high-resolution\n\ncharacterization of local axonal orientation. The correlational trac-\n\ntography was run with the following parameters: *t* score threshold of\n\n2.5, four pruning iterations and a length threshold of 25 voxel distance.\n\nTo estimate the FDR, a total of 4,000 randomized permutations were\n\napplied to obtain the null distribution of the track length. Reported\n\nregions were selected based on FDR cutoff (FDR < 0.2, suggested by\n\nDSI Studio), and contained at least ten tracts. For visualization of global\n\nand tract QA at each gestational stage, mean QA values were extracted\n\nusing DSI Studio’s whole-brain fiber tracking algorithm and ROI-based\n\ntracking using the default HCP842 atlas <sup>78</sup> .\n\n*Day2Day dataset: measurement variability* . To establish a marker of\n\nnormative variability over half a year, we computed metrics of meas-\n\nurement variability using the Day2Day dataset <sup>23</sup> , which provided both\n\nwhole-brain T1 and high-resolution T2 MTL scans. For each region, *j* , of\n\nthe Schaefer parcellation, we assessed across-session variability, *ε* , as\n\nε *j* = 100 × mean ( || *t* *s* −̂ *t* ||\n\n̂ *t* )\n\nWhere *t* *s* is the morphometric measurement of a parcel for session *s*\n\nand <sup>̂</sup> *t* is the mean of *t* across sessions <sup>55</sup> <sup>,</sup> <sup>79</sup> . Thus, we defined variability\n\nas the mean absolute percent difference between each individual and\n\nthe mean across sessions. Across-session variability estimates for all\n\n400 regions were then averaged across eight participants, and a global\n\nmeasure of cortical GMV variability was computed by averaging across\n\nthe 400 regions. This approach was repeated independently for the\n\nT2 hippocampal scans, wherein we computed across-session variability\n\nfor each parcel of the ASHS parcellation scheme ( *n* = 7 bilateral sub-\n\nfields). However, it is important to note that raw subfield values (that\n\nis, no manual retouching) were used for Day2Day variability assess-\n\nments and should be interpreted with caution. Finally, to better com-\n\npare against our own data, we repeated this approach using our",
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- "text": "**Methods**\n\n**Participant**\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman\n\nwho underwent in-vitro fertilization (IVF) to achieve pregnancy. Pre-\n\nvious studies reported no observable differences in neural changes\n\nfrom prepregnancy to postpregnancy between women who conceived\n\nnaturally versus women who conceived via IVF <sup>13</sup> , and doing so provides\n\na controlled way of monitoring pregnancy status. The participant\n\nexperienced no pregnancy complications (for example, gestational\n\ndiabetes and hypertension), delivered at full term via vaginal birth,\n\nnursed through 16 months postpartum, and had no history of neu-\n\nropsychiatric diagnosis, endocrine disorders, prior head trauma or\n\nhistory of smoking. The participant gave written informed consent and\n\nthe study was approved by the University of California, Irvine Human\n\nSubjects Committee.\n\n**Study design**\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks\n\nbefore conception through 2 years postpartum (162 weeks), during\n\nwhich high-resolution anatomical and diffusion spectrum imaging\n\nscans of the brain were acquired. Scans were distributed throughout\n\nthis period, including prepregnancy (four scans), first trimester (four\n\nscans), second trimester (six scans), third trimester (five scans) and\n\npostpartum (seven scans; Fig. 1c ). The first 6 sessions took place at\n\nthe UCSB Brain Imaging Center (BIC), the final 20 sessions took place\n\nat the UCI Facility for Imaging and Brain Research (FIBRE). The major-\n\nity of scans took place between 9 AM and 2 PM, limiting significant\n\nAM- PM fluctuations <sup>49</sup> . The MRI protocol, scanner (Siemens 3T Prisma)\n\nand software (version MR E11) were identical across sites. Each scan-\n\nner was checked weekly for the duration of the study and passed all\n\nQC reports indicating no significant alterations in the geometry. To\n\nensure the robustness of the findings, after the final study session, the\n\nparticipant completed back-to-back validation scans at UCI and UCSB\n\nwithin a 12-h window to assess reliability between scanners. Intraclass\n\ncorrelation coefficients (two-way, random effects, absolute agreement,\n\nsingle rater) reveal ‘excellent’ test- retest reliability between scanners,\n\nincluding ROI-level GMV (ICC = 0.97, 95% CI: 0.80- 0.99), ROI-level\n\nCT (ICC = 0.96, 95% CI: 0.90- 0.98), MTL subfield volume (ICC = 0.99,\n\n95% CI: 0.97- 0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91- 0.97).\n\nFurthermore, when examining the relationship between gestation\n\nweek and GMV among UCI-only gestational sessions, findings were\n\nconsistent (Supplementary Fig. 12), indicating that site differences\n\nare highly unlikely to have contributed meaningfully to the observed\n\neffects. Although not applicable here, we note that having a control\n\nparticipant scanned over a similar duration within the same scanner is\n\ncritical for estimating how much variation in the brain can be attributed\n\nto within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the\n\nfollowing scales were administered on each experiment day: Perceived\n\nStress Scale <sup>50</sup> , Pittsburgh Sleep Quality Index <sup>51</sup> , State-Trait Anxiety\n\nInventory for Adults <sup>52</sup> and Profile of Mood States <sup>53</sup> . Correlation analy-\n\nses between state-dependent measures, summary brain metrics and\n\ngestation week revealed little to no relationships. The only exception\n\nto this was a moderate negative association between global QA and\n\nstate anxiety (Spearman’s correlation ( *ρ* ) = −0.65, *q* = 0.04; baseline—36\n\nweeks, *n* = 16). By making this data openly accessible, we encourage a\n\nmore nuanced approach toward exploring mood and lifestyle measures\n\nin relation to brain changes over pregnancy.\n\n**Endocrine procedures**\n\nThe participant underwent a blood draw ( *n* = 19; Fig. 1c ) before\n\nMRI scanning. Sex steroid concentrations were determined via\n\nultra-sensitive liquid chromatography- mass spectrometry at the\n\nBrigham and Women’s Hospital Research Assay Core (BRAC). Assay\n\nsensitivities, dynamic range and intra-assay coefficients of variation\n\nwere as follows: estradiol—1.0 pg ml <sup>−1</sup> , 1- 500 pg ml <sup>−1</sup> , <5% relative s.d.\n\n(RSD); progesterone—0.05 ng ml <sup>−1</sup> , 0.05- 10 ng ml <sup>−1</sup> , 9.33% RSD. Sero-\n\nlogical samples were not acquired in five sessions due to scheduling\n\nconflicts with UC Irvine’s Center for Clinical Research.\n\n**MRI acquisition .** MRI scanning sessions at the University of Califor-\n\nnia, Santa Barbara and Irvine were conducted on 3T Prisma scanners\n\nequipped with 64-channel phased-array head/neck coil (of which 50\n\ncoils are used for axial brain imaging). High-resolution anatomical scans\n\nwere acquired using a T1-weighted (T1w) magnetization prepared rapid\n\ngradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms,\n\ntime to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°,\n\n0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms,\n\nTE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w)\n\nturbo spin echo scan was also acquired with an oblique coronal orienta -\n\ntion positioned orthogonally to the main axis of the hippocampus (TR/\n\nTE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm <sup>2</sup> in-plane resolution,\n\n2-mm slice thickness, 38 interleaved slices with no gap, total acquisi-\n\ntion time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI)\n\nprotocol sampled the entire brain with the following parameters:\n\nsingle phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions,\n\n*b* -max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm\n\nvoxel resolution. These images were linearly registered to the\n\nwhole-brain T1w MPRAGE image. A custom foam headcase was used\n\nto provide extra padding around the head and neck, as well as to mini-\n\nmize head motion. Additionally, a custom-built sound-absorbing foam\n\ngirdle was placed around the participant’s waist to attenuate sound\n\nnear the fetus during second-trimester and third-trimester scanning.\n\n**Image processing .** *Cortical volume and thickness* . CT and GMV were\n\nmeasured with Advanced Normalization Tools <sup>54</sup> version 2.1.0 (ANTs).\n\nWe first built a subject-specific template (SST) (antsMultivariateTem-\n\nplateConstruction2) and tissue priors (antsCookTemplatePriors)\n\nbased on our participant’s two preconception whole-brain T1-weighted\n\nscans to examine neuroanatomical changes relative to the participant’s\n\nprepregnancy baseline. We used labels from the OASIS population\n\ntemplate, provided by ANTs, as priors for this step. For each session,\n\nthe structural image was processed and registered to the SST using the\n\nANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias\n\nfield correction for field inhomogeneity, then brain extraction using a\n\nhybrid registration/segmentation method <sup>55</sup> . Tissue segmentation was\n\nperformed using Atropos <sup>54</sup> to create tissue masks of CSF, gray matter,\n\nwhite matter and deep gray matter. Atropos allows prior knowledge\n\nto guide the segmentation algorithm, and we used labels from our SST\n\nas priors to minimize warping and remain in native participant space.\n\nCT measurements were then estimated using the DiReCT algorithm <sup>56</sup> ,\n\nwhich estimates the gray- white matter interface and the gray mat-\n\nter- CSF interface and computes a diffeomorphic mapping between\n\nthe two interactions, from which thickness is derived. Each gray matter\n\ntissue mask was normalized to the template and multiplied to a Jaco-\n\nbian image that was computed via affine and nonlinear transforms.\n\nUsing MATLAB (version 2022a), summary, regional-level estimates\n\nof CT, GMV and CSF for each scan were obtained by taking the first\n\neigenvariate (akin to a ‘weighted mean’ <sup>57</sup> ) across all voxels within each\n\nparcel of the Schaefer 400-region atlas <sup>58</sup> . We then averaged ROIs across\n\nnetworks, which were defined by the 17-network Schaefer scheme <sup>58</sup> <sup>,</sup> <sup>59</sup> .\n\nGlobal measures of CT, GMV and CSF were computed for each session\n\nby summing across all voxels within the respective output image;\n\ntotal brain volume was computed by summing across all voxels within\n\neach session’s brain extraction mask. Our findings held when using an\n\nSST derived from all 26 MRIs (prepregnancy through postpartum),\n\nas well as when estimating the mean (versus weighted mean) of all\n\nvoxels within each parcel. The ANTs CT pipeline is highly validated\n\nwith good test- retest reproducibility and improved ability to predict\n\nvariables such as age and gender from region-wise CT measurements",
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- "text": "**2255**\n\n### **Discussion**\n\nConverging evidence across mammalian species points to pregnancy\n\nas a remarkable period of neuroplasticity, revealing the brain’s ability\n\nto undergo adaptive, hormonally-driven neuroanatomical changes\n\nbeyond adolescence <sup>13</sup> <sup>-</sup> <sup>15</sup> <sup>,</sup> <sup>20</sup> <sup>,</sup> <sup>21</sup> <sup>,</sup> <sup>24</sup> <sup>-</sup> <sup>26</sup> . Investigations that compare women\n\nprepregnancy and then again postpartum provide the strongest evi-\n\ndence to date that the human brain undergoes such neural changes <sup>11</sup> <sup>,</sup> <sup>27</sup> .\n\nBut what about pregnancy itself? Over what time course do anatomical\n\nchanges in the maternal brain manifest? Are they tied to the substantial\n\nincrease in sex hormone production? Here we begin to address these\n\nPregnancy stages Sex steroid hormones\n\nProgesterone ng ml\n\n- 1 17 β\n\n-estradiol pg ml\n\n- 1\n\n12,500 100 17 β -estradiol\n\nProgesterone\n\nPre 1st 2nd 3rd Post\n\n<0 0- 13 14- 26 27- 40 >40\n\nGestation weeks\n\n**a b**\n\nWeeks since conception\n\n0 0\n\nBirth\n\n- 1 10 20 30 40 50\n\nStudy overview\n\n//\n\nWhole-brain T1\n\nMTL scan\n\nDifusion MRI\n\nBlood serum\n\nPre/IVF Pregnancy Birth Postpartum\n\n**c**\n\n0 14 27 40 60 93 162\n\nWeeks since conception\n\nSummary brain measures\n\nGMV (×10\n\n5\n\nmm\n\n3 )\n\nCT\n\n(×10 6 mm)\n\nBrain vol (×10 6 mm\n\n3 )\n\nGlobal quant. anisotropy\n\nLat ventricles (mm 3 )\n\nCSF (mm\n\n3 )\n\n**d**\n\nWeeks since conception Weeks since conception\n\n4.60\n\n1.80\n\n1.60\n\n1.29\n\n1.27\n\n4.80\n\n| 0 |\n|---:|\n| 0 |\n\n50 100 150\n\n50 100 150\n\n0 50 100 150\n\n24,500\n\n26,000\n\n0.44\n\n0.38\n\n4,800\n\n3,900\n\n*R* <sup>2</sup> adj <sup>= 0.79,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.50,</sup> *<sup>P</sup>* <sup>= 0.007</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.77,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.91,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.75,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\n*R* <sup>2</sup> adj <sup>= 0.90,</sup> *<sup>P</sup>* <sup>< 0.001</sup>\n\nBirth Birth\n\n| 0 |\n|---:|\n| 0 |\n\n50 100 150\n\n0 50 100 150\n\n//\n\n//\n\n//\n\n50 100 150\n\n0\n\n### **Fig. 1 | Precision imaging reveals neuroanatomical changes throughout**\n\n**gestation. a** , Standard medical demarcations for pregnancy stages (that is,\n\ntrimesters) by gestation week (the image is created with BioRender.com).\n\n**b** , Steroid hormones increased significantly throughout pregnancy and dropped\n\nprecipitously postpartum, as is characteristic of the prenatal and postnatal\n\nperiods. **c** , A healthy 38-year-old primiparous woman underwent 26 scanning\n\nsessions from 3 weeks preconception through 2 years postpartum. Scans were\n\ndistributed throughout preconception (four scans), first trimester (four scans),\n\nsecond trimester (six scans), third trimester (five scans) and postpartum\n\n(seven scans); tick marks indicate when major measures were collected and\n\ncolors denote pregnancy stage. The participant underwent IVF to achieve\n\npregnancy, allowing for precise mapping of ovulation, conception and gestation\n\nweek. **d** , Summary (that is, total) of brain measures throughout the experiment.\n\nGeneralized additive models revealed GMV, CT and total brain volume decreased\n\nthroughout pregnancy (see Methods for validation with cubic regression), with\n\na slight recovery postpartum. Global QA, lateral ventricle and CSF volumes\n\ndisplayed nonlinear increases across gestation, with a notable rise in the second\n\nand third trimesters before dropping sharply postpartum. Shaded regions\n\nrepresent 95% confidence bands; solid lines indicate model fit; dashed line\n\nindicates parturition.",
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- "text": "4\n\nnature portfolio | reporting summary\n\nApril 2023\n\nNormalization template T2-weighted MTL scans:\n\nPrinceton Young Adult 3T ASHS Atlas Template (n=24, mean age = 22.5; Aly & Turk-Browne, 2016).\n\nDiffusion imaging:\n\nAll diffusion images were reconstructed using the ICBM152 template.\n\nNoise and artifact removal Gray Matter Volume & Cortical Thickness:\n\nAll T1-weighted images underwent denoising ('denoiseImage') and N4 bias field correction ('N4BiasFieldCorrection') for field\n\ninhomogeneity via ANTs.\n\nT2-weighted MTL scans:\n\nAll T2-weighted MTL images underwent denoising ('denoiseImage') via ANTs.\n\nDiffusion:\n\nAll diffusion images underwent denoising, motion and distortion correction using MRtrix3’s dwidenoise and dwibiascorrect\n\nwith the N4 algorithm. All diffusion images were quality checked using DSI studio’s `QC1: SRC Files Quality Control. All images\n\npassed QC checks.\n\nMotion:\n\nMean framewise displacement (FWD) estimates from gestation sessions with a 10-minute resting state scan (n = 18) were\n\nused to indirectly assess whether motion increased throughout pregnancy. Average FWD (millimeters) was extremely\n\nminimal across the entire experiment (M = 0.13, SD = 0.02, range = 0.09- 0.17) and varied only slightly by pregnancy stage\n\n(pre: M = 0.11, SD = 0.004; first: M = 0.11, SD = 0.01; second: M = 0.13, SD = 0.02; third: M = 0.16, SD = 0.007; post: M = 0.13,\n\nSD = 0.01). While mean FWD did correspond with gestation week (r = 0.88, p < .001), controlling for this did not alter our\n\nmain findings (e.g., total GMV negatively associated with gestation; partial correlation: r = -0.87, p < 0.001) owing to the fact\n\nthat motion differences between stages were minuscule.\n\nVolume censoring Gray Matter Volume & Cortical Thickness:\n\nAll images were visually assessed for QC. Further, we computed quality control (QC) assessments on all T1w images using the\n\nIQMs pipeline from MRIQC (Esteban et al., 2017). Metrics of interest included 1) coefficient of joint variation (CJV), 2) signal-\n\nto-noise ratio for gray matter (SNR), and 3) contrast-to-noise ratios (CNR). All QC metrics fell within expected standard\n\nranges. We also used FreeSurfer’s Eueler number to evaluate a field-standard quantitative assessment of each T1w structural\n\nimage. We observed no significant relationships between the Euler number and gestation week or summary brain metrics. A\n\ndiscrepancy (e.g., 2 SD below average) was noted in session eight; however, again, removing this session did not detract from\n\nour main findings showing reductions in gray matter volume over gestation.\n\nT2-weighted MTL scans:\n\nVolumes were visually assessed for QC. Volumes were removed from the analysis if unable to be reliably segmented.\n\nDiffusion imaging:\n\nAll images were assessed using the DSI studio quality control and a visual inspection. DSI studio performed an outlier check,\n\nlabeling images as a “low quality outlier” if the correlation coefficient was greater than 3 standard deviations from the\n\nabsolute mean. No images were labeled as a low quality outlier.\n\nStatistical modeling & inference\n\nModel type and settings Summary brain metrics:\n\nTo reflect the existing literature, we first explored brain metrics across the entire study duration (pre-conception through\n\npostpartum). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed non-\n\nlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, k = 10, smoothing = GCV), a\n\nmethod of non-parametric regression analysis (R package: mgcv), to explore the relationship between summary brain metrics\n\n(outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure\n\nit was correctly specified with regards 6o 1) the choice of basis dimension (k) and 2) the distribution of the model residuals\n\n(see mgcv documentation; Wood, 2017). The general pattern of results held after toggling model parameters; however, we\n\nnote the risk of overinterpreting complex models with small sample sizes (see Sullivan et al., 2015). To address overfitting and\n\ncross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear\n\nand polynomial terms for gestation week. We compared the performance of each GLM (i.e., models using only a linear term\n\nvs. models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently\n\noutperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for non-linear changes in\n\nstructural brain variables over time.\n\nGray Matter Volume & Cortical Thickness:\n\nWe first computed Pearson’s product-moment correlation matrices between the following variables (n = 19 pregnancy\n\nscans): gestation week, estradiol, progesterone, total GMV, and the 17 network-level average GMV values. We then ran a\n\nmultivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were\n\nchanging at a rate different from the global decrease, we then re-ran the analyses to include total GMV as a variable of non-\n\ninterest in the regression model. A similar statistical approach was taken for T1w-derived subcortical volume estimates. We\n\nran a multivariate regression analysis predicting GMV changes over gestation in 28 regions-of-interest by gestation week\n\n(FDR-corrected at q < 0.05).\n\nT2-weighted MTL scans:\n\nTo evaluate the relationship between gestation week and medial temporal lobe (MTL) subregion volume over pregnancy (n =\n\n7 bilateral subregions; n = 18 MTL scans), we used a combination of linear and non-linear models based on individual\n\nsubregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described",
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- "query": "How to light up my sports smart watch?",
- "target_page": 2,
- "target_passage": "Up button: Short press to light up or turn off the screen",
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- "text": "**Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to\n\nreactivate the watch.\n\n**Button down:**\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any\n\nbuttons.\n\n**Charging instructions:**\n\nWireless charging, as shown in the picture below.\n\n**1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the\n\nshortcut.\n\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth\n\nconnection status, time, power, brightness adjustment and other functions.",
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- "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous\n\nsong/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the\n\nsmartwatch.\n\n**2.2 Sleep**\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be\n\ngenerated by the watch. After connecting to the APP, the sleep data on the watch can be\n\nsynchronized to the APP for you to check.\n\n**2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n**2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the\n\nwatch to display the weather information for the day.\n\n**2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the\n\nmobile phone will vibrate or emit a ringtone.\n\n**2.6 Meteorology**\n\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of\n\nthe day.\n\n**2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button\n\nto end the massage state.\n\n**3.0 Menu style**\n\nThere are a variety of menu styles for users to choose.\n\n**3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be\n\nsynchronized with your mobile phone language after the watch successfully binds to the APP.\n\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and\n\nclick it to set the watch face.\n\n3) Set screen time; a variety of screen time lengths can be selected.\n\n4) Vibration intensity; set reminder vibration intensity.\n\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to\n\ndecrypt the previous password).\n\n6) Restore factory settings; click √to enable the factory reset, and click X to cancel the factory\n\nreset.",
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- "text": "**B** ． **Bind to the APP**\n\n**1. APP download method**\n\n1.1 Scan the QR code to download\n\n1.2 Search the application at App market and download\n\nFor Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download,\n\nremember to check the pop-up box on your phone when installing, and agree to the permission.\n\nFor iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your\n\nphone when installing, and agree to the permission.\n\nAfter WearPro is installed, the app icon appears as .\n\n2.Bind Bluetooth\n\n2.1 Unconnected to the APP state:\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the\n\nAPK/APP, go to Devices > Add Device > click to start searching, select and click the\n\ncorresponding watch device name, and the watch will be successfully bound to the app.\n\n2.2 Connected to the APP state:\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will\n\nsynchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and\n\nclick it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of\n\nthe audio/calling Bluetooth of the smartwatch to bind it.\n\n**3. Find Watch**\n\nAfter the smartwatch is bound to the APP, you click “Find Watch” in the APP, the smartwatch\n\nwill light up and vibrate for once.\n\n**4. Camera**",
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- "text": "Click “camera” in the app WearPro to wake up the camera mode of the watch, click the camera\n\nbutton on the watch to take photos, and the photos will be automatically saved to the phone\n\nalbum.\n\n**5. Data synchronization**\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be\n\nsynchronized to the application.\n\n**6. Tilt to wake the screen**\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you\n\ncan light up the screen when you raise up your wrist.\n\n**7. Do not disturb mode**\n\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as\n\n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this\n\nperiod.\n\n**8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once\n\nor repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n**9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the\n\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting.\n\nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the\n\nscreen.\n\n**10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the\n\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting\n\nand selecting the date (week) of the water reminder. When the time of drink water reminder is\n\nreached, the watch will vibrate and there will be a water icon on the screen.\n\n**11. Dial push**\n\n11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart\n\nand bind the APP automatically after the synchronization of the watch face.\n\n11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch\n\nfaces marked with “custom watch faces” are customizable. The watch will restart and bind the\n\nAPP automatically after the synchronization of the watch face.\n\n**12. Firmware version**",
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- "text": "## Sports smart watch\n\n## User Manual\n\n### DT3 Mate\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual**\n\n**without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a\n\ncharging cable.\n\n**A. Watch function description**\n\nButton description:",
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- "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the\n\nmobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ,\n\nOutlook, Facebook and other applications. When the mobile phone receives one/multiple\n\napplication message notifications, the watch will receive one/multiple corresponding message\n\nreminders at the same time.\n\n**1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile\n\nphone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n**1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the\n\nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will\n\nbe wiped out at 00:00 every day in the morning.\n\n**1.8 Sports modes** (walking, running, cycling, rope skipping, badminton,\n\nbasketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the\n\nexercise; click the “Start” button again to pause the recording of the exercise; click the “End”\n\nbutton to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the\n\nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be\n\nsaved.\n\n**1.9 Heart rate**\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the\n\nheart rate function. If you don’t wear the smartwatch properly, it will remind you to wear firmly\n\nfor the measurement.\n\n**1.10 ECG**\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the\n\nECG interface in the app, you can have single measurement at a time. The data of ECG will be\n\nsaved in the mobile phone. This function should be used with the app.\n\n**2.0 My QR code**\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other\n\n\"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to\n\noperate the function).\n\n**2.1 Remote control music**",
- "page_start": 3,
- "page_end": 3,
- "source_file": "6126797.pdf"
- },
- {
- "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest\n\nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on\n\nor off audio Bluetooth for calls.\n\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and\n\nscroll up and down to find the corresponding function.\n\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select\n\none of them and set it with one-click.\n\n**1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the\n\nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of\n\n10 messages can be saved. The messages received after 10 messages will be overwritten one by\n\none.\n\n2) Swipe to the bottom to click the delete icon to clear all message records.\n\n**1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu\n\ninterface.\n\n1) Bluetooth connection status; time; power left;\n\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n\n3) Setting, where you can enter it to set part of the functions;\n\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize\n\noffline payment.\n\n**1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off\n\nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling\n\nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the\n\nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when\n\nthey are successfully bound.\n\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50\n\ncall records, and it will be automatically overwritten when 128 records are full. Click any call\n\nrecord to call back)\n\n3. Dial the keyboard, you can enter the phone number to make a call.\n\n**1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding\n\napps in your mobile phone system, and switch on these apps or callings notifications functions on\n\nyour watch, the notifications on your mobile phone can synchronize to your watch.\n\n1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch\n\nwill light up or vibrate.\n\n1.5.2. SMS notification:",
- "page_start": 2,
- "page_end": 2,
- "source_file": "6126797.pdf"
- },
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- "text": "The version of the watch is displayed on “Firmware upgrade” in the column of “Device”, and\n\nusers can decide to whether upgrade the firmware version.\n\n**13. Unbind**\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The\n\niSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\n\nsmart watch, and click \"Forget this device\". The “About” of the watch has an “Unbind”\n\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a\n\nfactory reset after that.\n\n**- Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are**\n\n**too cold or too hot for a long time, which may cause permanent**\n\n**damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will**\n\n**produce a lot of water vapor, and the water vapor is in the gas phase,**\n\n**and its molecular radius is small, and it is easy to seep into the gap of**\n\n**the watch case. The internal circuit of the watch is short-circuited,**\n\n**which damages the circuit board of the watch and damages the**\n\n**watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be**\n\n**caused by a collision during the transportation of the watch and the**\n\n**battery Seiko board has been protected, so plug in the charging cable**\n\n**to activate it.**",
- "page_start": 7,
- "page_end": 7,
- "source_file": "6126797.pdf"
- },
- {
- "text": "**If the battery is too low or the watch does not turn on after a long**\n\n**period of time, please plug in the data cable and charge it for more**\n\n**than half an hour to activate.**\n\n**Warranty description:**\n\n**1. If there are any quality problems caused by manufacturing,**\n\n**materials, design, etc. in normal use, the motherboard of the watch is**\n\n**guaranteed for repair for free within one year, while the battery and**\n\n**charger within half a year from the date of purchase.**\n\n**2. No warranty is provided for failures caused by the user's personal**\n\n**reasons, as follows:**\n\n**1). Failure caused by unauthorized disassembly or modification of**\n\n**the watch.**\n\n**2). Failure caused by accidental fall during use.**\n\n**3). All man-made damages or the third party's fault, or misuses (such**\n\n**as: water in the device, cracking by external force, scratches on the**\n\n**case, damage, etc.) are not covered in the warranty.**\n\n**3. When requesting the warranty service, please provide a warranty**\n\n**card with the date of purchase and the stamp of the place of purchase**\n\n**on it.**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "6126797.pdf"
- },
- {
- "text": "MEDIA WIRELESS CABLE **ROGERS.COM**",
- "page_start": 131,
- "page_end": 131,
- "source_file": "NYSE_RCI_2013.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "6126797.pdf",
- "query": "Is my sports smartwatch's fitness data turned on or off by default?",
- "target_page": 4,
- "target_passage": "Fitness data is turned on by default.",
- "chunk_present": {
- "presence": true,
- "index": 0
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- "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the\n\nmobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ,\n\nOutlook, Facebook and other applications. When the mobile phone receives one/multiple\n\napplication message notifications, the watch will receive one/multiple corresponding message\n\nreminders at the same time.\n\n**1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile\n\nphone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n**1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the\n\nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will\n\nbe wiped out at 00:00 every day in the morning.\n\n**1.8 Sports modes** (walking, running, cycling, rope skipping, badminton,\n\nbasketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the\n\nexercise; click the “Start” button again to pause the recording of the exercise; click the “End”\n\nbutton to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the\n\nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be\n\nsaved.\n\n**1.9 Heart rate**\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the\n\nheart rate function. If you don’t wear the smartwatch properly, it will remind you to wear firmly\n\nfor the measurement.\n\n**1.10 ECG**\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the\n\nECG interface in the app, you can have single measurement at a time. The data of ECG will be\n\nsaved in the mobile phone. This function should be used with the app.\n\n**2.0 My QR code**\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other\n\n\"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to\n\noperate the function).\n\n**2.1 Remote control music**",
- "page_start": 3,
- "page_end": 3,
- "source_file": "6126797.pdf"
- },
- {
- "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous\n\nsong/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the\n\nsmartwatch.\n\n**2.2 Sleep**\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be\n\ngenerated by the watch. After connecting to the APP, the sleep data on the watch can be\n\nsynchronized to the APP for you to check.\n\n**2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n**2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the\n\nwatch to display the weather information for the day.\n\n**2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the\n\nmobile phone will vibrate or emit a ringtone.\n\n**2.6 Meteorology**\n\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of\n\nthe day.\n\n**2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button\n\nto end the massage state.\n\n**3.0 Menu style**\n\nThere are a variety of menu styles for users to choose.\n\n**3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be\n\nsynchronized with your mobile phone language after the watch successfully binds to the APP.\n\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and\n\nclick it to set the watch face.\n\n3) Set screen time; a variety of screen time lengths can be selected.\n\n4) Vibration intensity; set reminder vibration intensity.\n\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to\n\ndecrypt the previous password).\n\n6) Restore factory settings; click √to enable the factory reset, and click X to cancel the factory\n\nreset.",
- "page_start": 4,
- "page_end": 4,
- "source_file": "6126797.pdf"
- },
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- "text": "**Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to\n\nreactivate the watch.\n\n**Button down:**\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any\n\nbuttons.\n\n**Charging instructions:**\n\nWireless charging, as shown in the picture below.\n\n**1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the\n\nshortcut.\n\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth\n\nconnection status, time, power, brightness adjustment and other functions.",
- "page_start": 1,
- "page_end": 1,
- "source_file": "6126797.pdf"
- },
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- "text": "Click “camera” in the app WearPro to wake up the camera mode of the watch, click the camera\n\nbutton on the watch to take photos, and the photos will be automatically saved to the phone\n\nalbum.\n\n**5. Data synchronization**\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be\n\nsynchronized to the application.\n\n**6. Tilt to wake the screen**\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you\n\ncan light up the screen when you raise up your wrist.\n\n**7. Do not disturb mode**\n\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as\n\n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this\n\nperiod.\n\n**8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once\n\nor repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n**9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the\n\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting.\n\nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the\n\nscreen.\n\n**10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the\n\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting\n\nand selecting the date (week) of the water reminder. When the time of drink water reminder is\n\nreached, the watch will vibrate and there will be a water icon on the screen.\n\n**11. Dial push**\n\n11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart\n\nand bind the APP automatically after the synchronization of the watch face.\n\n11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch\n\nfaces marked with “custom watch faces” are customizable. The watch will restart and bind the\n\nAPP automatically after the synchronization of the watch face.\n\n**12. Firmware version**",
- "page_start": 6,
- "page_end": 6,
- "source_file": "6126797.pdf"
- },
- {
- "text": "## Sports smart watch\n\n## User Manual\n\n### DT3 Mate\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual**\n\n**without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a\n\ncharging cable.\n\n**A. Watch function description**\n\nButton description:",
- "page_start": 0,
- "page_end": 0,
- "source_file": "6126797.pdf"
- },
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- "text": "**B** ． **Bind to the APP**\n\n**1. APP download method**\n\n1.1 Scan the QR code to download\n\n1.2 Search the application at App market and download\n\nFor Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download,\n\nremember to check the pop-up box on your phone when installing, and agree to the permission.\n\nFor iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your\n\nphone when installing, and agree to the permission.\n\nAfter WearPro is installed, the app icon appears as .\n\n2.Bind Bluetooth\n\n2.1 Unconnected to the APP state:\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the\n\nAPK/APP, go to Devices > Add Device > click to start searching, select and click the\n\ncorresponding watch device name, and the watch will be successfully bound to the app.\n\n2.2 Connected to the APP state:\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will\n\nsynchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and\n\nclick it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of\n\nthe audio/calling Bluetooth of the smartwatch to bind it.\n\n**3. Find Watch**\n\nAfter the smartwatch is bound to the APP, you click “Find Watch” in the APP, the smartwatch\n\nwill light up and vibrate for once.\n\n**4. Camera**",
- "page_start": 5,
- "page_end": 5,
- "source_file": "6126797.pdf"
- },
- {
- "text": "The version of the watch is displayed on “Firmware upgrade” in the column of “Device”, and\n\nusers can decide to whether upgrade the firmware version.\n\n**13. Unbind**\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The\n\niSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\n\nsmart watch, and click \"Forget this device\". The “About” of the watch has an “Unbind”\n\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a\n\nfactory reset after that.\n\n**- Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are**\n\n**too cold or too hot for a long time, which may cause permanent**\n\n**damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will**\n\n**produce a lot of water vapor, and the water vapor is in the gas phase,**\n\n**and its molecular radius is small, and it is easy to seep into the gap of**\n\n**the watch case. The internal circuit of the watch is short-circuited,**\n\n**which damages the circuit board of the watch and damages the**\n\n**watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be**\n\n**caused by a collision during the transportation of the watch and the**\n\n**battery Seiko board has been protected, so plug in the charging cable**\n\n**to activate it.**",
- "page_start": 7,
- "page_end": 7,
- "source_file": "6126797.pdf"
- },
- {
- "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest\n\nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on\n\nor off audio Bluetooth for calls.\n\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and\n\nscroll up and down to find the corresponding function.\n\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select\n\none of them and set it with one-click.\n\n**1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the\n\nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of\n\n10 messages can be saved. The messages received after 10 messages will be overwritten one by\n\none.\n\n2) Swipe to the bottom to click the delete icon to clear all message records.\n\n**1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu\n\ninterface.\n\n1) Bluetooth connection status; time; power left;\n\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n\n3) Setting, where you can enter it to set part of the functions;\n\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize\n\noffline payment.\n\n**1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off\n\nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling\n\nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the\n\nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when\n\nthey are successfully bound.\n\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50\n\ncall records, and it will be automatically overwritten when 128 records are full. Click any call\n\nrecord to call back)\n\n3. Dial the keyboard, you can enter the phone number to make a call.\n\n**1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding\n\napps in your mobile phone system, and switch on these apps or callings notifications functions on\n\nyour watch, the notifications on your mobile phone can synchronize to your watch.\n\n1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch\n\nwill light up or vibrate.\n\n1.5.2. SMS notification:",
- "page_start": 2,
- "page_end": 2,
- "source_file": "6126797.pdf"
- },
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- "text": "**If the battery is too low or the watch does not turn on after a long**\n\n**period of time, please plug in the data cable and charge it for more**\n\n**than half an hour to activate.**\n\n**Warranty description:**\n\n**1. If there are any quality problems caused by manufacturing,**\n\n**materials, design, etc. in normal use, the motherboard of the watch is**\n\n**guaranteed for repair for free within one year, while the battery and**\n\n**charger within half a year from the date of purchase.**\n\n**2. No warranty is provided for failures caused by the user's personal**\n\n**reasons, as follows:**\n\n**1). Failure caused by unauthorized disassembly or modification of**\n\n**the watch.**\n\n**2). Failure caused by accidental fall during use.**\n\n**3). All man-made damages or the third party's fault, or misuses (such**\n\n**as: water in the device, cracking by external force, scratches on the**\n\n**case, damage, etc.) are not covered in the warranty.**\n\n**3. When requesting the warranty service, please provide a warranty**\n\n**card with the date of purchase and the stamp of the place of purchase**\n\n**on it.**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "6126797.pdf"
- },
- {
- "text": "#### **3.1.9 How to Search for Datasets by Keyword**\n\n(please refer to section 3.2.1)",
- "page_start": 24,
- "page_end": 24,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- }
- ]
- },
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- "references": {
- "source_file": "6126797.pdf",
- "query": "When does my Sport smartwatch start and stop monitoring sleep?",
- "target_page": 5,
- "target_passage": "Sleep monitoring time period: from 18:00 at night to 10:00 the next day",
- "chunk_present": {
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- "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous\n\nsong/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the\n\nsmartwatch.\n\n**2.2 Sleep**\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be\n\ngenerated by the watch. After connecting to the APP, the sleep data on the watch can be\n\nsynchronized to the APP for you to check.\n\n**2.3 stopwatch**\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n**2.4 Weather**\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the\n\nwatch to display the weather information for the day.\n\n**2.5 Find mobile phone**\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the\n\nmobile phone will vibrate or emit a ringtone.\n\n**2.6 Meteorology**\n\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of\n\nthe day.\n\n**2.7 Massager**\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button\n\nto end the massage state.\n\n**3.0 Menu style**\n\nThere are a variety of menu styles for users to choose.\n\n**3.1 Settings**\n\n1) You can select the watch language on the settings of the watch, or the watch language can be\n\nsynchronized with your mobile phone language after the watch successfully binds to the APP.\n\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and\n\nclick it to set the watch face.\n\n3) Set screen time; a variety of screen time lengths can be selected.\n\n4) Vibration intensity; set reminder vibration intensity.\n\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to\n\ndecrypt the previous password).\n\n6) Restore factory settings; click √to enable the factory reset, and click X to cancel the factory\n\nreset.",
- "page_start": 4,
- "page_end": 4,
- "source_file": "6126797.pdf"
- },
- {
- "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the\n\nmobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ,\n\nOutlook, Facebook and other applications. When the mobile phone receives one/multiple\n\napplication message notifications, the watch will receive one/multiple corresponding message\n\nreminders at the same time.\n\n**1.6 Frequently used contacts**\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile\n\nphone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n**1.7 Fitness data**\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the\n\nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will\n\nbe wiped out at 00:00 every day in the morning.\n\n**1.8 Sports modes** (walking, running, cycling, rope skipping, badminton,\n\nbasketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the\n\nexercise; click the “Start” button again to pause the recording of the exercise; click the “End”\n\nbutton to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the\n\nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be\n\nsaved.\n\n**1.9 Heart rate**\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the\n\nheart rate function. If you don’t wear the smartwatch properly, it will remind you to wear firmly\n\nfor the measurement.\n\n**1.10 ECG**\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the\n\nECG interface in the app, you can have single measurement at a time. The data of ECG will be\n\nsaved in the mobile phone. This function should be used with the app.\n\n**2.0 My QR code**\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other\n\n\"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to\n\noperate the function).\n\n**2.1 Remote control music**",
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- "text": "Click “camera” in the app WearPro to wake up the camera mode of the watch, click the camera\n\nbutton on the watch to take photos, and the photos will be automatically saved to the phone\n\nalbum.\n\n**5. Data synchronization**\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be\n\nsynchronized to the application.\n\n**6. Tilt to wake the screen**\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you\n\ncan light up the screen when you raise up your wrist.\n\n**7. Do not disturb mode**\n\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as\n\n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this\n\nperiod.\n\n**8. Daily alarm clock**\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once\n\nor repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n**9. Sedentary reminder**\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the\n\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting.\n\nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the\n\nscreen.\n\n**10. Drink water reminder**\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the\n\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting\n\nand selecting the date (week) of the water reminder. When the time of drink water reminder is\n\nreached, the watch will vibrate and there will be a water icon on the screen.\n\n**11. Dial push**\n\n11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart\n\nand bind the APP automatically after the synchronization of the watch face.\n\n11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch\n\nfaces marked with “custom watch faces” are customizable. The watch will restart and bind the\n\nAPP automatically after the synchronization of the watch face.\n\n**12. Firmware version**",
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- "text": "**Up button:**\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to\n\nreactivate the watch.\n\n**Button down:**\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any\n\nbuttons.\n\n**Charging instructions:**\n\nWireless charging, as shown in the picture below.\n\n**1.1 Shortcut function:**\n\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the\n\nshortcut.\n\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth\n\nconnection status, time, power, brightness adjustment and other functions.",
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- "text": "**B** ． **Bind to the APP**\n\n**1. APP download method**\n\n1.1 Scan the QR code to download\n\n1.2 Search the application at App market and download\n\nFor Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download,\n\nremember to check the pop-up box on your phone when installing, and agree to the permission.\n\nFor iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your\n\nphone when installing, and agree to the permission.\n\nAfter WearPro is installed, the app icon appears as .\n\n2.Bind Bluetooth\n\n2.1 Unconnected to the APP state:\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the\n\nAPK/APP, go to Devices > Add Device > click to start searching, select and click the\n\ncorresponding watch device name, and the watch will be successfully bound to the app.\n\n2.2 Connected to the APP state:\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will\n\nsynchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and\n\nclick it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of\n\nthe audio/calling Bluetooth of the smartwatch to bind it.\n\n**3. Find Watch**\n\nAfter the smartwatch is bound to the APP, you click “Find Watch” in the APP, the smartwatch\n\nwill light up and vibrate for once.\n\n**4. Camera**",
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- "text": "## Sports smart watch\n\n## User Manual\n\n### DT3 Mate\n\n**Thank you for choosing our smart watch. You can fully understand**\n\n**the use and operation of the equipment by reading this manual.**\n\n**The company reserves the right to modify the contents of this manual**\n\n**without any prior notice.**\n\nThe product contains: a packing box, a manual, a watch body, and a\n\ncharging cable.\n\n**A. Watch function description**\n\nButton description:",
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- "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest\n\nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on\n\nor off audio Bluetooth for calls.\n\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and\n\nscroll up and down to find the corresponding function.\n\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select\n\none of them and set it with one-click.\n\n**1.2 App notification**\n\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the\n\nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of\n\n10 messages can be saved. The messages received after 10 messages will be overwritten one by\n\none.\n\n2) Swipe to the bottom to click the delete icon to clear all message records.\n\n**1.3 Drop-down menu**\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu\n\ninterface.\n\n1) Bluetooth connection status; time; power left;\n\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n\n3) Setting, where you can enter it to set part of the functions;\n\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize\n\noffline payment.\n\n**1.4 Phone/Call History**\n\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off\n\nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling\n\nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the\n\nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when\n\nthey are successfully bound.\n\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50\n\ncall records, and it will be automatically overwritten when 128 records are full. Click any call\n\nrecord to call back)\n\n3. Dial the keyboard, you can enter the phone number to make a call.\n\n**1.5 message**\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding\n\napps in your mobile phone system, and switch on these apps or callings notifications functions on\n\nyour watch, the notifications on your mobile phone can synchronize to your watch.\n\n1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch\n\nwill light up or vibrate.\n\n1.5.2. SMS notification:",
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- "text": "The version of the watch is displayed on “Firmware upgrade” in the column of “Device”, and\n\nusers can decide to whether upgrade the firmware version.\n\n**13. Unbind**\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The\n\niSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\n\nsmart watch, and click \"Forget this device\". The “About” of the watch has an “Unbind”\n\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a\n\nfactory reset after that.\n\n**- Frequently asked questions and answers**\n\n***Please avoid exposing the device to extreme temperatures that are**\n\n**too cold or too hot for a long time, which may cause permanent**\n\n**damage.**\n\n***Why can't I take a hot bath with my watch?**\n\n**The temperature of the bath water is relatively changed, it will**\n\n**produce a lot of water vapor, and the water vapor is in the gas phase,**\n\n**and its molecular radius is small, and it is easy to seep into the gap of**\n\n**the watch case. The internal circuit of the watch is short-circuited,**\n\n**which damages the circuit board of the watch and damages the**\n\n**watch.**\n\n***No power on, no charging**\n\n**If you receive the goods and the watch does not turn on, it may be**\n\n**caused by a collision during the transportation of the watch and the**\n\n**battery Seiko board has been protected, so plug in the charging cable**\n\n**to activate it.**",
- "page_start": 7,
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- "text": "**If the battery is too low or the watch does not turn on after a long**\n\n**period of time, please plug in the data cable and charge it for more**\n\n**than half an hour to activate.**\n\n**Warranty description:**\n\n**1. If there are any quality problems caused by manufacturing,**\n\n**materials, design, etc. in normal use, the motherboard of the watch is**\n\n**guaranteed for repair for free within one year, while the battery and**\n\n**charger within half a year from the date of purchase.**\n\n**2. No warranty is provided for failures caused by the user's personal**\n\n**reasons, as follows:**\n\n**1). Failure caused by unauthorized disassembly or modification of**\n\n**the watch.**\n\n**2). Failure caused by accidental fall during use.**\n\n**3). All man-made damages or the third party's fault, or misuses (such**\n\n**as: water in the device, cracking by external force, scratches on the**\n\n**case, damage, etc.) are not covered in the warranty.**\n\n**3. When requesting the warranty service, please provide a warranty**\n\n**card with the date of purchase and the stamp of the place of purchase**\n\n**on it.**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "6126797.pdf"
- },
- {
- "text": "#### **3.1.9 How to Search for Datasets by Keyword**\n\n(please refer to section 3.2.1)",
- "page_start": 24,
- "page_end": 24,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "OTC_NSANY_2004.pdf",
- "query": "Have the operating profits in Japan for Nissan gone up or down in 2004?",
- "target_page": 5,
- "target_passage": "operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year",
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- "text": "### FISCAL YEAR 2004 FINANCIAL REVIEW\n\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME,\n\nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS\n\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT.\n\nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES.\n\nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO\n\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\n\nP E R F O R M A N C E **Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4\n\npercent from last year. A higher volume and mix had a\n\npositive impact of ¥707.0 billion. Movements in foreign\n\nexchange rates produced a negative impact of ¥173.0\n\nbillion. Changes in the scope of consolidation, including\n\nDongfeng Motor and Yulon Nissan Motor, raised revenues\n\nby ¥432.0 billion.\n\n**Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from\n\nlast year to a record ¥861.2 billion. This resulted in an\n\noperating profit margin of 10.0 percent. Operating profit\n\nwas affected by the following factors:\n\n- The effect of foreign exchange rates produced a ¥78\n\nbillion negative impact for the full year. The\n\ndepreciation of the U.S. dollar against the yen resulted\n\nin a negative impact of ¥74 billion, with an additional\n\n¥13 billion from other currencies. The appreciation of\n\nthe euro resulted in a positive impact of ¥9 billion.\n\n- The change in the scope of consolidation produced\n\na positive impact of ¥31 billion. This was primarily\n\nfrom the consolidation of Dongfeng Motor and Yulon\n\nNissan Motor.\n\n- The impact of the higher volume and mix contributed\n\n¥284 billion. This was mainly driven by an increase in\n\nU.S. sales volume.\n\n- Selling expenses increased by ¥114 billion, also\n\nmainly due to the increase of sales in the U.S.\n\n- The improvement in purchasing costs amounted to\n\n¥131 billion.\n\n- Product enrichment and the cost of regulations had\n\na negative impact of ¥92 billion.\n\n- An additional ¥44 billion was allocated to R&D to\n\nreinforce product and technology development.\n\n- Cost reductions from manufacturing efficiencies were\n\noffset by costs associated with expanding the Canton\n\nplant’s capacity, which resulted in a ¥15 billion\n\nincrease in manufacturing and logistics expenses.\n\n- Warranty costs increased by ¥41 billion, partly due to\n\ngreater volume.\n\n- General, administrative and other expenses increased\n\nby ¥25.7 billion.\n\nBy region, operating profits in Japan came to ¥341.1\n\nbillion, a decrease of 3.2 percent compared to last year.\n\nThis was mainly due to unfavorable exchange rate\n\nfluctuations and an increase in R&D expenses, which\n\nreached a record level.\n\nDue to higher volumes, profitability in the U.S. and\n\nCanada increased 7.9 percent from last year and totaled\n\n¥379.7 billion.\n\nOperating profit in Europe was ¥56 billion, an increase\n\nof 13.8 percent compared to last year, owing to a better\n\nmix and higher contributions from Russia.\n\nIn General Overseas Markets, including Mexico,\n\noperating profits came to ¥84.8 billion, an increase of 28.5\n\npercent compared to last year. This was primarily due to the\n\nconsolidation of Dongfeng Motor and Yulon Nissan Motor.\n\nInter-regional eliminations were negative ¥0.4 billion.",
- "page_start": 13,
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- "source_file": "OTC_NSANY_2004.pdf"
- },
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- "text": "*Thousands of* *Millions of yen* *U.S. dollars* *<sup>(Note 3)</sup>*\n\n2004 2003 2002 2004 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2005*\n\nNet sales ¥8,576,277 ¥7,429,219 ¥6,828,588 $80,152,121\n\nCost of sales <sup>(Notes 6 and 11)</sup> 6,351,269 5,310,172 4,872,324 59,357,654\n\nGross profit 2,225,008 2,119,047 1,956,264 20,794,467\n\nSelling, general and administrative\n\nexpenses <sup>(Notes 6 and 11)</sup> 1,363,848 1,294,192 1,219,034 12,746,243\n\nOperating income 861,160 824,855 737,230 8,048,224\n\nOther income (expenses):\n\nInterest income 14,934 10,321 7,566 139,570\n\nInterest expense (26,656) (27,290) (25,060) (249,121)\n\nEquity in earnings of unconsolidated\n\nsubsidiaries and affiliates 36,790 11,623 11,395 343,832\n\nOther, net <sup>(Note 12)</sup> (92,995) (83,012) (36,507) (869,112)\n\n(67,927) (88,358) (42,606) (634,831)\n\nIncome before income taxes and\n\nminority interests 793,233 736,497 694,624 7,413,393\n\nIncome taxes <sup>(Note 13)</sup> :\n\nCurrent 179,226 137,745 113,185 1,675,009\n\nDeferred 78,837 81,295 85,513 736,794\n\n258,063 219,040 198,698 2,411,803\n\nMinority interests (22,889) (13,790) (761) (213,917)\n\nNet income <sup>(Note 18)</sup> ¥ 512,281 ¥ 503,667 ¥ 495,165 $ 4,787,673\n\nSee notes to consolidated financial statements.\n\n### CONSOLIDATED STATEMENTS OF INCOME\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries\n\n*Fiscal years 2004, 2003 and 2002*\n\nFINANCIAL SECTION",
- "page_start": 75,
- "page_end": 75,
- "source_file": "OTC_NSANY_2004.pdf"
- },
- {
- "text": "**1**\n\nHIGHLIGHTS\n\n*Millions of* *U.S. dollars* *<sup>(Note 1)</sup>* *Millions of yen* *(except per* *(except per share amounts and number of employees)* *share amounts)*\n\n2004 2003 2002 2001 2000 2004 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2002* *Mar. 31, 2001* *Mar. 31, 2005*\n\nNet sales ¥8,576,277 ¥7,429,219 ¥6,828,588 ¥6,196,241 ¥6,089,620 $80,152\n\nOperating income 861,160 824,855 737,230 489,215 290,314 8,048\n\nNet income 512,281 503,667 495,165 372,262 331,075 4,788\n\nNet income per share <sup>(Note 2)</sup> 125.16 122.02 117.75 92.61 83.53 1.17\n\nCash dividends paid <sup>(Note 3)</sup> 94,236 74,594 50,800 27,841 0 881\n\nShareholder’s equity ¥2,465,750 ¥2,023,994 ¥1,808,304 ¥1,620,822 ¥ 957,939 $23,044\n\nTotal assets 9,848,523 7,859,856 7,349,183 7,215,005 6,451,243 92,042\n\nNet consolidated automotive debt <sup>(Note 4)</sup> (205,791) 13,603 107,952 431,714 952,657 (1,923)\n\nNumber of employees 183,607 123,748 127,625 125,099 133,833\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience\n\nonly, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year.\n\nFigures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends during the full year by subsidiary companies to non-Nissan minority shareholders are not included.\n\n4. Net consolidated automotive debt was ¥8,602 million cash positive in fiscal year 2002, ¥215,861 million cash positive in fiscal year 2003, and\n\n¥453,470 million cash positive in fiscal year 2004, using the same accounting principles as fiscal year 2001.\n\n## FINANCIAL HIGHLIGHTS\n\nNissan Motor Co., Ltd. And Consolidated Subsidiaries\n\n*Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\n**’00 ’01 ’02 ’03 ’04 ’00 ’01 ’02 ’03 ’04 ’00 ’01 ’02 ’03 ’04**\n\n6,090\n\n6,196\n\n6,829\n\n7,429\n\n**8,576**\n\n290\n\n489\n\n737\n\n825\n\n**861**\n\n331\n\n372\n\n495\n\n504\n\n**512**\n\n**Net Sales**\n\n*(Billion Yen)*\n\n**Operating Income**\n\n*(Billion Yen)*\n\n**Net Income**\n\n*(Billion Yen)*",
- "page_start": 2,
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- },
- {
- "text": "**6**\n\nP E R F O R M A N C E\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up\n\nto all the challenges. We had a record year in revenues, operating profit, net income, sales\n\nvolume and production.\n\n**Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This\n\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is\n\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine\n\nall-new models globally.\n\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing\n\nplants turned out 3,378,000 units, or 293,000 units more than the previous record.\n\n**Financial performance**\n\n- Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n\n- Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a\n\npercentage of net revenue, our operating profit margin came to 10.0 percent.\n\n- Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n**Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot\n\nbe closed completely until the end of September 2005, but we know that we have already\n\ndelivered two of the plan’s three critical commitments.\n\n- We committed to an 8 percent operating profit margin, and our margin has been at or above\n\n10 percent for every year of NISSAN 180.\n\n- We committed to zero debt, and today we have more than ¥200 billion in net cash under the\n\nnew and more demanding accounting standards.\n\n- Our only remaining commitment is to achieve one million additional sales. Even here we are in\n\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units,\n\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of\n\nSeptember 2005.\n\n## PERFORMANCE\n\n**The recovery story is complete**",
- "page_start": 7,
- "page_end": 7,
- "source_file": "OTC_NSANY_2004.pdf"
- },
- {
- "text": "### CONSOLIDATED FIVE-YEAR SUMMARY\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries\n\n*Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\nFINANCIAL SECTION\n\n*Millions of* *U.S. dollars* *<sup>(Note 1)</sup>* *Millions of yen* *(except per* *(except per share amounts and number of employees)* *share amounts)*\n\n2004 2003 2002 2001 2000 2004 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2002* *Mar. 31, 2001* *Mar. 31, 2005*\n\nNet sales ¥8,576,277 ¥7,429,219 ¥6,828,588 ¥6,196,241 ¥6,089,620 $80,152\n\nOperating income 861,160 824,855 737,230 489,215 290,314 8,048\n\nNet income 512,281 503,667 495,165 372,262 331,075 4,788\n\nNet income per share <sup>(Note 2)</sup> 125.16 122.02 117.75 92.61 83.53 1.17\n\nCash dividends paid <sup>(Note 3)</sup> 94,236 74,594 50,800 27,841 0 881\n\nShareholder’s equity ¥2,465,750 ¥2,023,994 ¥1,808,304 ¥1,620,822 ¥ 957,939 $23,044\n\nTotal assets 9,848,523 7,859,856 7,349,183 7,215,005 6,451,243 92,042\n\nLong-term debt 1,963,173 1,694,793 1,603,246 1,604,955 1,402,547 18,347\n\nDepreciation and amortization 525,926 461,037 371,125 374,827 360,191 4,915\n\nNumber of employees 183,607 123,748 127,625 125,099 133,833\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience\n\nonly, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year.\n\nFigures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends during the full year by subsidiary companies to non-Nissan minority shareholders are not included.\n\nSales and Production (units) 2004 2003 2002 2001 2000 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2002* *Mar. 31, 2001*\n\nGlobal vehicle production 3,293,339 2,883,409 2,586,602 2,428,279 2,475,730\n\nJapan 1,481,563 1,475,063 1,444,314 1,272,851 1,313,527\n\nUnited States 803,556 619,665 392,458 363,366 352,927\n\nMexico 325,086 308,322 340,658 328,946 312,691\n\nSpain 142,889 116,589 84,919 137,502 136,807\n\nUnited Kingdom 319,652 331,924 297,719 296,788 327,792\n\nOthers 51,572 31,846 26,534 28,826 31,986\n\nGlobal unit sales (wholesale) 3,470,422 2,946,782 2,635,686 2,460,484 2,564,160\n\nJapan 819,152 799,206 792,767 702,657 725,842\n\nNorth America <sup>(Notes 1 and 2)</sup> 1,394,099 1,204,882 1,040,684 968,030 985,168\n\nEurope <sup>(Note2)</sup> 554,901 548,693 458,222 453,697 513,048\n\nOthers <sup>(Note 1)</sup> 702,270 394,001 344,013 336,100 340,102\n\nNotes: 1. Unit sales in Mexico are included in “North America.”\n\n2. Sales and Production for Europe and Mexico for each year are on a January to December basis. (In the annual reports for the fiscal years before\n\n2003, production for Europe and Mexico was on April to March basis.)",
- "page_start": 71,
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- "source_file": "OTC_NSANY_2004.pdf"
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- "text": "Geographical areas\n\nThe geographical segment information for the Company and its consolidated subsidiaries for the years ended March 31, 2005, 2004 and 2003\n\nis as follows:\n\nFiscal year 2004 *(For the year ended Mar. 31, 2005)*\n\nOther foreign Japan North America Europe countries Total Eliminations Consolidated\n\n*Millions of yen*\n\nSales to third parties <sup>..........................................</sup> ¥2,556,683 ¥3,726,456 ¥1,254,007 ¥1,039,131 ¥ 8,576,277 ¥ — ¥8,576,277\n\nInter-area sales and transfers <sup>....................</sup> 1,981,104 81,794 51,109 7,622 2,121,629 ¥(2,121,629) —\n\nTotal sales <sup>...................................................................</sup> 4,537,787 3,808,250 1,305,116 1,046,753 10,697,906 (2,121,629) 8,576,277\n\nOperating expenses <sup>...........................................</sup> 4,196,667 3,392,676 1,249,110 996,529 9,834,982 (2,119,865) 7,715,117\n\nOperating income <sup>.................................................</sup> ¥ 341,120 ¥ 415,574 ¥ 56,006 ¥ 50,224 ¥ 862,924 ¥(1,764) ¥ 861,160\n\nTotal assets <sup>...............................................................</sup> ¥5,590,397 ¥4,714,272 ¥ 799,778 ¥ 637,065 ¥11,741,512 ¥(1,892,989) ¥9,848,523\n\n*Thousands of U.S. dollars*\n\nSales to third parties <sup>..........................................</sup> $23,894,234 $34,826,692 $11,719,692 $9,711,503 $ 80,152,121 $ — $80,152,121\n\nInter-area sales and transfers <sup>....................</sup> 18,514,991 764,430 477,654 71,234 19,828,309 (19,828,309) —\n\nTotal sales <sup>...................................................................</sup> 42,409,225 35,591,122 12,197,346 9,782,737 99,980,430 (19,828,309) 80,152,121\n\nOperating expenses <sup>...........................................</sup> 39,221,187 31,707,252 11,673,925 9,313,355 91,915,719 (19,811,822) 72,103,897\n\nOperating income <sup>.................................................</sup> $ 3,188,038 $ 3,883,870 $ 523,421 $ 469,382 $ 8,064,711 $ (16,487) $ 8,048,224\n\nTotal assets <sup>...............................................................</sup> $52,246,701 $44,058,617 $ 7,474,561 $5,953,878 $109,733,757 $(17,691,485) $92,042,272\n\nFiscal year 2003 *(For the year ended Mar. 31, 2004)*\n\nOther foreign Japan North America Europe countries Total Eliminations Consolidated\n\n*Millions of yen*\n\nSales to third parties <sup>..........................................</sup> ¥2,559,806 ¥3,278,966 ¥1,164,032 ¥426,415 ¥7,429,219 ¥ — ¥7,429,219\n\nInter-area sales and transfers <sup>..............................</sup> 1,725,491 35,384 31,690 4,663 1,797,228 (1,797,228) —\n\nTotal sales <sup>...................................................................</sup> 4,285,297 3,314,350 1,195,722 431,078 9,226,447 (1,797,228) 7,429,219\n\nOperating expenses <sup>...........................................</sup> 3,932,835 2,914,529 1,146,549 412,938 8,406,851 (1,802,487) 6,604,364\n\nOperating income <sup>.................................................</sup> ¥ 352,462 ¥ 399,821 ¥ 49,173 ¥ 18,140 ¥ 819,596 ¥ 5,259 ¥ 824,855\n\nTotal assets <sup>...............................................................</sup> ¥4,805,718 ¥3,664,382 ¥ 607,926 ¥219,109 ¥9,297,135 ¥(1,437,279) ¥7,859,856\n\na) As described in Note 2(b), effective April 1, 2003, Nissan Motor Manufacturing (UK) Ltd., a consolidated subsidiary, implemented early\n\nadoption of a new accounting standard for retirement benefits in the United Kingdom. The effect of this change was to decrease operating\n\nincome in the “Europe” segment by ¥1,686 million for the year ended March 31, 2004 as compared with the corresponding amount which\n\nwould have been recorded if the previous method had been followed.\n\nb) As described in Note 2(c), effective April 1, 2003, the Company and its domestic consolidated subsidiaries changed their method of\n\naccounting for noncancelable lease transactions which transfer substantially all risks and rewards associated with the ownership of assets,\n\nfrom accounting for them as operating leases, to finance leases. The effect of this change was to decrease sales and operating expenses in\n\nthe “Japan” segment by ¥17,943 million and ¥39,534 million, respectively, and to increase operating income and total assets in the “Japan”\n\nsegment by ¥21,591 million and ¥137,184 million, respectively, for the year ended March 31, 2004 as compared with the corresponding\n\namounts which would have been recorded if the previous method had been followed. FINANCIAL SECTION\n\n**101**",
- "page_start": 102,
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- "source_file": "OTC_NSANY_2004.pdf"
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- "text": "**8**\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume\n\nof 61 million units globally, Nissan’s sales are forecast to come to 3,618,000 units, a 6.8 percent\n\nincrease over the prior year.\n\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to\n\ntwenty regional product events.\n\n**Our sales objectives**\n\n- Japan: 933,000 units, a 10 percent increase over last year\n\n- U.S.: 1,047,000 units, an increase of 3.3 percent\n\n- Europe: 550,000 units, a 1.1 percent increase over last year\n\n- General Overseas Markets: 1,088,000 units, a 10.7 percent increase\n\n**Our financial outlook**\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of\n\nuncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices,\n\nhigher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The\n\nopportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign\n\nexchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n\n- Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n\n- Operating profit is expected to be ¥870 billion, up 1 percent.\n\n- Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n\n- Net income is predicted to be ¥517 billion, up 0.9 percent.\n\n- Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n\n- R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent.\n\n- ROIC is expected to remain at or above 20 percent.\n\nP E R F O R M A N C E\n\n**Looking to the New Fiscal Year**",
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- "source_file": "OTC_NSANY_2004.pdf"
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- "text": "**Share Performance in Fiscal 2004**\n\nNissan’s share price began at ¥1,143 at the beginning\n\nof fiscal 2004 and ended the fiscal year at ¥1,099,\n\ngenerating a negative return of 3.85 percent. Total\n\nshareholder return (TSR) was -1.67 percent, while the\n\ndividend yield came to 2.18 percent (¥24 per share dividend,\n\ndivided by the ¥1,099 closing price). Adverse movements\n\nin foreign exchange rates and commodity price hikes\n\nadversely affected Nissan’s profitability, which was reflected\n\nin the share price. In addition, specific events relating\n\ndirectly to the company also had a negative impact. Later in\n\nthis report, corporate officers will explain what actions\n\nNissan has undertaken to ensure better performance.\n\n**Payout Policy**\n\nNissan announced its NISSAN Value-Up three-year dividend\n\npolicy, covering the period from fiscal 2005 to fiscal 2007, at\n\nthe annual general meeting of shareholders on June 23,\n\n2004. Nissan proposes a long-term dividend policy to\n\nprovide more visibility and improve transparency into the\n\nways in which Nissan rewards its shareholders. Nissan\n\nbelieves that a long-term dividend policy reduces uncertainty\n\nfor investors who already own or are considering acquiring\n\nNissan stock.\n\n**IR Activities**\n\nUnder NISSAN Value-Up, the IR team’s performance will\n\nbe evaluated based on the price-earnings ratio (PER) and\n\nvolatility relative to our major competitors. PER is used to\n\nmeasure how successfully the IR team manages market\n\nexpectations about Nissan in order to maintain the Nissan\n\nshare price close to an intrinsic value. The other measure,\n\nvolatility, is used to measure the risk investors perceive\n\nwhen considering Nissan stock. If Nissan can successfully\n\nreduce volatility, the minimum return required by investors\n\nshould decline. The IR team believes that a strengthening\n\nof disclosure activities is required to improve both\n\nmeasures. The team plans to disclose not only financial\n\nresults but also more forward-looking information about\n\nNissan fundamentals such as technology and product.\n\nSuch forward-looking information helps investors to\n\nforecast future performance more precisely and reduces\n\nuncertainty about the future. As a consequence, Nissan will\n\nincrease the number of investor conferences, events, and\n\nteleconferences during fiscal 2005.\n\nP E R F O R M A N C E\n\n### FISCAL YEAR 2004 SHARE PERFORMANCE\n\nDESPITE NISSAN’S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS\n\nNEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED\n\nAT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR\n\nUNDERSTANDING OF NISSAN’S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH\n\nVIEW OF THE COMPANY’S OPERATIONS AND PERFORMANCE INDICATORS.\n\n120\n\n110\n\n100\n\n90\n\n80 <sup>Apr.</sup> **2004 2005**\n\nMay June July Aug. Sept Oct. Nov Dec. Jan. Feb Mar.\n\nTOPIX Transportation Equipment Index Nissan\n\nTOPIX\n\n**Fiscal Year 2004 Share Performance**\n\n(Index: April 1, 2004=100)\n\n400\n\n300\n\n200\n\n100\n\n0 **’01 ’02 ’03 ’04 ’05**\n\nTOPIX Transportation Equipment Index\n\nNissan\n\nTOPIX\n\n**Five-Year Share Performance**\n\n(Index: April 3, 2000=100)",
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- "text": "declining sales as a result. Still, we do see potential in new\n\nareas within the market. For example, we increased the\n\nnumber of women employed as “carlife” advisors and\n\ntechnical advisors. We did this to put both women and older\n\ncustomers at ease when they have sales and service\n\nissues. Both types of advisors are important to our sales\n\nand service at a dealership because they make the process\n\nmore transparent and understandable. Service is a very\n\nprofitable part of business in Japan, so taking ours to the\n\nnext level is crucial.\n\nWe have two plans to expand sales in a flat market.\n\nThe first is to develop a more efficient marketing strategy\n\nthat is aligned with our quality products. The second is to\n\nbuild a more efficient dealership network, which will boost\n\ncustomer satisfaction. If we succeed at these, we can raise\n\nboth our sales and our customer retention rate.\n\nOur dealers are reporting that the quality of our\n\nvehicles has improved greatly. We knew this from the\n\nupstream side, but it means a great deal to get\n\nconfirmation from the market. Quality is always a risk factor\n\nin Japan; consumers here are unforgiving about quality\n\nproblems. The Internet has accelerated the ability to share\n\ninformation, both good and bad, so the level and rate of\n\ninformation from dealers and consumers have gone up\n\naccordingly. Meanwhile, even prices for used Nissan\n\nvehicles are improving steadily, a major indication that the\n\nNissan brand is recognized and valued.\n\nOur home market is of prime importance to Nissan.\n\nJapan is a major contributor to our total profit, and we will\n\ncontinue to make the upgrades in quality, products and\n\nservice needed to drive sales and profit higher.”\n\n### JAPAN\n\n“Nissan’s performance in\n\nJapan in 2004 was solid.\n\nProfit rose 1.4 percent and\n\nour market share went up\n\n0.4 percent to 14.6 percent.\n\nLaunching six new models in\n\nthe second half boosted our\n\nresults dramatically: we\n\nregistered a 1.1 percent\n\nincrease in market share\n\nover the previous period.\n\nAnd for the first time in 19\n\nyears we had four cars—the Tiida, Note, March and\n\nCube—in the top ten.\n\nOur steady growth has continued into 2005,\n\npowered by positive customer response to both the\n\nMurano and Tiida. These are the kinds of attractive,\n\nunique products that have an immediate impact on\n\nconsumers. We’ve also strengthened our position\n\nin the important small car market, and plan to\n\naugment that with the launch of the Otti, an OEM\n\nproject with Mitsubishi, and the Moco, an OEM\n\nproduct with Suzuki. While we do need to raise our\n\ngame in the SUV market, our overall coverage has\n\nimproved recently.\n\nWe’ve set an ambitious sales target of 933,000 vehicles\n\nfor 2005, which represents an increase of 10 percent. I’m\n\nconfident that we can achieve this because of the strength\n\nof our product lineup. The recently released Serena\n\nunderwent a full model change, for example, which should\n\ngive us more muscle in the minivan market. We also\n\nrecently decided to offer our entire lineup through both our\n\nblue and red sales channels, so customers will be able to\n\nsee every model at any outlet they visit. This is in stark\n\ncontrast to the traditional dealership system in Japan,\n\nwhich has many different sales channels.\n\nThe aging of the population has made the automotive\n\nmarket in Japan much tougher, and we expect flat or even\n\n**Driving Ahead in a Flat Market**\n\nKAZUHIKO TOIDA\n\nSenior Vice President\n\nO U R W O R L D\n\nTIIDA SERENA",
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- "text": "*Millions of* *U.S. dollars* *<sup>(Note 1)</sup>* *Millions of yen* *(except per* *(except per share amounts and number of employees)* *share amounts)*\n\n2004 2003 2002 2001 2000 2004 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2002* *Mar. 31, 2001* *Mar. 31, 2005*\n\nNet sales ¥3,718,720 ¥3,480,290 ¥3,419,068 ¥3,019,860 ¥2,980,130 $ 34,754\n\nOperating income 231,764 245,836 316,059 242,279 127,762 2,166\n\nNet income 102,415 80,713 72,869 183,449 187,485 957\n\nNet income per share <sup>(Note 2)</sup> 23.24 18.15 16.09 45.61 47.14 0.22\n\nCash dividends paid <sup>(Note 3-4)</sup> 24.00 19.00 14.00 8.00 7.00 0.22\n\nShareholder’s equity ¥1,685,893 ¥1,709,705 ¥1,798,716 ¥1,829,052 ¥1,450,159 $ 15,756\n\nTotal assets 3,981,914 4,055,579 3,933,993 3,915,031 3,576,466 37,214\n\nLong-term debt 489,151 653,392 902,118 942,518 798,009 4,572\n\nDepreciation and amortization 102,145 115,180 56,760 56,265 49,074 954,626\n\nNumber of employees 32,177 31,389 31,128 30,365 30,747\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience\n\nonly, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year.\n\nFigures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends paid represent the amounts proposed by the Board of Directors as applicable to the respective years, together with the interim\n\ncash dividends paid.\n\n4. Cash dividends applicable to fiscal year 2004 is ¥24.00 per share.\n\n### NON-CONSOLIDATED FIVE-YEAR SUMMARY\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries\n\n*Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\nFINANCIAL SECTION\n\n**105**",
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- "source_file": "Microscope Manual.pdf",
- "query": "How can CEDAR Oil be used with the AY11236 microscope?",
- "target_page": 10,
- "target_passage": "1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil. 2. After finishing the observation, wipe off the cedar oil. 3. Do not use the 40x objective until you have wiped off all of the cedar oil.",
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- "text": "## **15**\n\n### **SPECIFICATIONS**\n\n1. Length of mechanical tube: 160mm\n\n2. Conjugate distance between object and image: 195mm\n\n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n\n4. Illumination: Input 110V or 200V; Output: 20W\n\n5. Fine adjustment range: .002mm\n\n6. Coarse Adjustment Range: 20mm\n\n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm\n\n8. Condenser Elevation Range: 15mm\n\n9. Iris diaphragm aperture: 2mm-30mm\n\n##### **Objective Specifications**\n\n**Classification Working**\n\n**Distance Magnification Optical**\n\n**System Numerical**\n\n**Aperture**\n\n| Dry | 4x Adjustable Focus | 0.1 |\n|:---|:---|---:|\n| Dry | 10x | 0.25 |\n| Dry | 40x Spring Adjustable Focus | 0.65 |\n\n37.42mm\n\n0.57mm\n\nOil\n\nImmer-\n\nsion\n\n1.25 0.18mm 100x Spring\n\nAdjustable\n\nFocus\n\n7.14mm\n\nAchromatic\n\nObjective\n\nNote: For oil immersion, please use the index of refraction 1.515 oil\n\nPlain Field\n\nEyepiece 10x 18mm\n\n##### **Eyepiece Specifications**\n\n**Classification Magnification Field of View (FOV)**\n\n**Diameter**\n\n10x\n\n40x\n\n100x\n\n400x\n\n4x\n\n10x\n\n40x (s)\n\n1000x 100x (oil,s)\n\n##### **Total Magnification**\n\n**Objective**\n\n**Magnification Eyepiece**\n\n## **16**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove all components from package. Identify all parts before\n\nassembling instrument.\n\n2. Attach 4x, 10x and 40x objectives by screwing into revolving\n\nturret. Tighten and secure to maximum finger pressure only.\n\n3. Place the specimen on the stage and secure with spring clips.\n\nNOTE: The cover glass must face upward (the thinner glass is\n\nthe cover glass), otherwise when the 40x objective is used the\n\nspecimen cannot be observed. Observation is best when the\n\nthickness of the cover glass is 0.1-1.1mm and the cover glass\n\nis 0.17mm.\n\n4. Plug power cord into an electrical outlet. Turn microscope\n\nlamp ON.\n\n5. Observe the specimen using the lowest magnification objective\n\nfirst. The 10x objective provides a larger field of view making it\n\neasier to search the specimen.\n\n**Name Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x (parfocal distance adjustable) |\n|:---|\n| 10x |\n| 40x (s) (parfocal distance adjustable) |\n| 100x (oil,s) (parfocal distance adjustable) |\n\n1\n\n1\n\n2\n\n1\n\n1\n\n1\n\n1\n\n1\n\n10x Wide Field Eyepiece w/Pointer\n\nAbbe Condenser NA1.25\n\nPlastic Dust Cover\n\nLens Cleaning Tissue\n\n1 Cedar Oil\n\n1 1A Fuse (spare)\n\nSpare 6V20W Halogen Bulb\n\nSpecification\n\nInspection Certificate\n\nPacking List\n\n1\n\n1\n\n1\n\n1\n\n1",
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- "source_file": "Microscope Manual.pdf"
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- "text": "### **IMPORTANT NOTES**\n\nCongratulations on your purchase of this high quality BARSKA\n\nmicroscope. With proper care, this microscope will provide many\n\nyears of use. Please read the following instructions before\n\noperating this instrument.\n\n1. Do not attempt to disassemble the instrument. This product has\n\nbeen carefully assembled at the factory and should only be\n\nexamined by a factory-trained technician.\n\n2. This instrument should only be used in an environment with an\n\nindoor temperature range of 32 <sup>o</sup> F to 104 <sup>o</sup> F.\n\n3. Do not use this instrument in an environment with a lot of dust.\n\n##### **Cover the instrument when not in use.**\n\n4. Do not subject the instrument to shock.\n\nMaintenance............................................\n\nModel AY11240/Model AY11238..................\n\nModel AY11228/Model AY11232..................\n\nModel AY11230/Model AY11234..................\n\nModel AY11236........................................\n\nWarranty Information................................\n\n1\n\n2-5\n\n6-9\n\n10-13\n\n14-18\n\nBack Cover\n\n## **1**\n\n### **MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read\n\nthe following guidelines:\n\n1. Keep the instrument in a dry and moisture-free location.\n\n2. Do not expose to acid, alkali fumes or moisture.\n\n3. Keep optical parts clean and free of dust. To clean optical parts\n\ngently wipe with lens cleaning tissue and a mixture of alcohol\n\nand diethyl ether. Depending on weather conditions, the\n\nfollowing are the recommended mixture ratios:\n\nWet weather: 1:2\n\nDry Weather: 1:1\n\n4. After use, cover the instrument with the plastic dust cover.\n\n5. If instrument is to be stored for an extended period of time,\n\nremove the eyepiece and oculars and store in a moisture-proof\n\ncontainer.\n\n### **MODEL AY11240/AY11238**\n\n## **2**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for\n\nbiological studies such as specimen examination. They can also\n\nbe used for examining bacteria and for general clinical and medical\n\nstudies. Simple design and use is especially useful for school\n\nclassroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90 <sup>o</sup> vertical to 45 <sup>o</sup> level. It is also equipped with a coarse adjustment\n\nand fine adjustment as well as a space limiter to protect the\n\nobjective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45 <sup>o</sup>\n\nangle. The head rotates 360 <sup>o</sup> . The Eyepiece Set Screw prevents\n\nthe eyepiece from falling out of the tube.\n\nCoarse Adjustment Knob\n\nFine Adjustment Knob\n\nStand\n\n5-Hole Diaphragm and Condenser Concave Mirror\n\nStage\n\nSpring Clips\n\nObjectives\n\nBarrel\n\nRevolving Turret\n\nEyepiece\n\nCoarse\n\nAdjustment\n\nKnob\n\nFine\n\nAdjustment\n\nKnob\n\nStand\n\n5-Hole\n\nDiaphragm\n\nand Condenser\n\nLamp\n\nOn/Off\n\nSwitch\n\nLamp\n\nPower\n\nCord\n\nStage\n\nSpring\n\nClips\n\nObjectives\n\nRotating Head\n\nRevolving\n\nTurret\n\nEyepiece\n\nStage Height\n\nLimit Adjustment\n\nMonocular Tube Eyepiece\n\nSet Screw\n\n**Model AY11240 Model AY11238**",
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- "source_file": "Microscope Manual.pdf"
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- "text": "## **17**\n\n##### **Fig. 1 - Objective Parts**\n\nAdjustable\n\nRing\n\nTightening\n\nRing\n\nMark\n\nSleeve\n\nFront\n\nSleeve\n\n### **OPERATION (cont.)**\n\n6. Adjust the interpupillary distance by using the eyepiece\n\ninterpupillary slide adjustment.\n\n7. Observe using the right eyepiece adjusting the coarse and fine\n\nfocus and adjust the diopter ring until image is clear and sharp.\n\n8. Observe with the left eyepiece and adjust the diopter ring until\n\nimage is clear and sharp.\n\n9. Rotate the fine focus adjustment when using other objectives.\n\nNOTE: This instrument is equipped with patent objectives so\n\nthe precision or parfocalization is very high.\n\n10. If the image is in focus with the 10x objective, you can select\n\nother objectives and observe the specimen even if the fine\n\nadjustment knob has not been used by using the following\n\nmethod (See Fig. 1):\n\n1. Unscrew the 40x or 100x objective and remove from\n\nturret.\n\n2. Remove the mark sleeve.\n\n3. Turn the ring on the objective to adjust its parfocal\n\ndistance.\n\n4. Re-insert the objective and compare with the 10x.\n\n5. Adjust until the 40x and 100x objectives image is clear.\n\n##### **USING THE CEDAR OIL**\n\n1. Drop some cedar oil on to the top of the 100x objective when the\n\n100x objective is being used. NOTE: To maintain a good quality\n\nimage, rotate the turret right and left several times to eliminate\n\nbubbles in the cedar oil.\n\n2. After finishing the observation, wipe off the cedar oil.\n\n3. Do not use the 40x objective until you have wiped off all of the\n\ncedar oil.\n\n### **OPERATION (cont.)**\n\n##### **ADJUSTING THE CONDENSER APERTURE**\n\n1. The numerical aperture of the condenser should match the\n\nnumerical aperture of the objective being used.\n\n2. To make sure that the objectives are imaging properly\n\n(especially the 40x and 100x), follow this procedure:\n\n1. Take off the eyepiece.\n\n2. Look through the eyepiece.\n\n3. The smallest circle or light that you can see is the\n\neyepiece's exit pupil.\n\n4. Adjust the aperture of the iris diaphragm in the\n\ncondenser to 70% or 80% for the best contrast for\n\nobservation (See Fig. 2.).\n\n##### **Fig. 2 - Condenser Diaphram Aperture**\n\nExit Pupil\n\nof Objective\n\nAperture of\n\nDiaphragm\n\n### **TROUBLESHOOTING**\n\n**Problem Possible Cause Solution**\n\n1. Image not clear. 1. Re-position specimen.\n\n| 1.Specimen is in incorrect position. 2. Lens is dirty. 3. Cedar oil not placed on immersion objective. 4. Bubbles in Cedar oil. 5. Cedar oil on 40x objective. 6. Iris diaphragm open too wide. |\n|:---|\n| 1. Condenser position is incorrect. 2. Lens is dirty. 3. Specimen is not placed level. |\n| 1. Iris diaphragm opening too small. 2. Position of condenser too low. 3. Lens is dirty. |\n| 1. Specimen is in incorrect position. |\n\n2. Clean lens.\n\n3. Put a drop of Cedar oil on\n\nimmersion objective.\n\n4. Rotate turret several times to\n\neliminate bubbles.\n\n5. Clean 40x objective.\n\n6. Reduce size of iris diaphragm.\n\n1. Re-position condenser.\n\n2. Clean lens.\n\n3. Re-position specimen so it is level.\n\n1. Open iris diaphragm wider.\n\n2. Raise condenser.\n\n3. Clean lens.\n\n1. Re-position specimen.\n\n2. Poor illumination.\n\n3. Illumination not bright.\n\n4. Cannot focus at high\n\nmagnification.\n\n1. Stage is too high. 1. Re-position stage. 5. Objective lenses touch\n\nspecimen.\n\n## **18**",
- "page_start": 9,
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- "source_file": "Microscope Manual.pdf"
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- "text": "## **11**\n\n### **SPECIFICATIONS**\n\n**Model AY11230**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: 60mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique illumination: 12V 10W Halogen Lamp\n\n##### **Optical Specifications - Model AY11230**\n\n20x, 40x\n\nObjective Zoom Scale\n\n- 0.5x\n\n95\n\n7x- 45x 28.6- 4.4\n\n3.5x- 22.5x 5.3x- 33.8x 10.5x- 67.5x 14x- 90x 57.2- 8.8 38.1- 5.9 19.0- 2.9 14.3- 2.2\n\n156 102 44 30\n\n0.75x 1.5x 2x Accessory Large Objective\n\nWorking Distance (mm)\n\nWF10x/20mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n8.8x- 56x 25.7- 4.0\n\n4.4x- 28x 6.6x- 42x 13.2x- 84x 17.6x- 112x 51.4- 8 34.3- 5.3 17.1- 2.7 12.9- 2.0\n\nWF12.5x/18mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n10.5x- 67.5x 22.9- 3.6\n\n5.3x- 33.8x 7.9x- 58.6x 15.7x- 101x 21x- 135x 45.8- 7.2 30.5- 4.8 15.3- 24 11.5- 1.8\n\nWF15x/16mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n14x- 90x\n\n17.0- 2.7\n\n7x- 45x 10.5x- 67.5x 21x- 135x 28x- 180x\n\n34.0- 5.4 22.7- 3.6 11.3- 1.8 8.5- 1.4\n\nWF20x/12mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n17.5x- 112.5x\n\n12.9- 2.0\n\n8.8x- 56.3x 13x- 84.4x 26.3x- 169x 35x- 225x\n\n25.8- 4.0 17.2- 2.7 8.6- 1.3 6.5- 1.0\n\nWF25x/9mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n2x, 4x 90mm Wide Field 10x, 20mm\n\n**Total**\n\n**Magnification Working Distance Eyepiece Magnification**\n\n**& Field Diameter (mm) Objective**\n\n**Magnification**\n\n##### **Optical Specifications - Model AY11234**\n\n**Model AY11234**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: >50mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Diopter Adjustment Range: +/- 5 diopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique Illumination: 12V 10W Halogen Lamp\n\nTransmitted Illumination: 12V 10W Halogen Lamp\n\n## **12**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Tighten the knob on the stand to\n\nprevent the elevator from sliding\n\ndown.\n\n3. Fix the binocular body on the stand\n\nwith the tightening screw.\n\n4. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment knobs\n\nchange the oblique or transmitted\n\nlight independently. The transmitted\n\nilluminator fluorescent lamp cannot\n\nbe adjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting\n\nof the sample.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment Knobs\n\nchange the oblique or transmitted light\n\nindependently. The transmitted\n\nilluminator fluorescent lamp cannot be\n\nadjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting of\n\nthe sample.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**Name**\n\n**Model AY11230**\n\n**Model AY11230 Model AY11234**\n\n**Model AY11234**\n\n**Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nBlack/White Working Stage 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)\n\n**Name Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)",
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- "text": "## **7**\n\n### **SPECIFICATIONS**\n\n**Model AY11228**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: 60mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique illumination: 12V 10W Halogen Lamp\n\n##### **Optical Specifications - Model AY11228**\n\n20x, 40x\n\nObjective Zoom Scale\n\n- 0.5x\n\n95\n\n7x- 45x 28.6- 4.4\n\n3.5x- 22.5x 5.3x- 33.8x 10.5x- 67.5x 14x- 90x 57.2- 8.8 38.1- 5.9 19.0- 2.9 14.3- 2.2\n\n156 102 44 30\n\n0.75x 1.5x 2x Accessory Large Objective\n\nWorking Distance (mm)\n\nWF10x/20mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n8.8x- 56x 25.7- 4.0\n\n4.4x- 28x 6.6x- 42x 13.2x- 84x 17.6x- 112x 51.4- 8 34.3- 5.3 17.1- 2.7 12.9- 2.0\n\nWF12.5x/18mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n10.5x- 67.5x 22.9- 3.6\n\n5.3x- 33.8x 7.9x- 58.6x 15.7x- 101x 21x- 135x 45.8- 7.2 30.5- 4.8 15.3- 24 11.5- 1.8\n\nWF15x/16mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n14x- 90x\n\n17.0- 2.7\n\n7x- 45x 10.5x- 67.5x 21x- 135x 28x- 180x\n\n34.0- 5.4 22.7- 3.6 11.3- 1.8 8.5- 1.4\n\nWF20x/12mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n17.5x- 112.5x\n\n12.9- 2.0\n\n8.8x- 56.3x 13x- 84.4x 26.3x- 169x 35x- 225x\n\n25.8- 4.0 17.2- 2.7 8.6- 1.3 6.5- 1.0\n\nWF25x/9mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n2x, 4x 90mm Wide Field 10x, 20mm\n\n**Total**\n\n**Magnification Working Distance Eyepiece Magnification**\n\n**& Field Diameter (mm) Objective**\n\n**Magnification**\n\n##### **Optical Specifications - Model AY11232**\n\n**Model AY11232**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: >50mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Diopter Adjustment Range: +/- 5 diopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique Illumination: 12V 10W Halogen Lamp\n\nTransmitted Illumination: 12V 10W Halogen Lamp\n\n## **8**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Tighten the knob on the stand to\n\nprevent the elevator from sliding\n\ndown.\n\n3. Fix the binocular body on the stand\n\nwith the tightening screw.\n\n4. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment knobs\n\nchange the oblique or transmitted\n\nlight independently. The transmitted\n\nilluminator fluorescent lamp cannot\n\nbe adjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting\n\nof the sample.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment Knobs\n\nchange the oblique or transmitted light\n\nindependently. The transmitted\n\nilluminator fluorescent lamp cannot be\n\nadjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting of\n\nthe sample.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**Name**\n\n**Model AY11228**\n\n**Model AY11228 Model AY11232**\n\n**Model AY11232**\n\n**Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nBlack/White Working Stage 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)\n\n**Name Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)",
- "page_start": 4,
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- "text": "## **5**\n\n### **OPERATION (cont.)**\n\n##### **USING THE 5-HOLE DIAPHRAGM**\n\n1. To obtain the best contrast for observing, match the hole size to\n\nthe objective that is being used to view the specimen.\n\n2. Each hole has a corresponding number from 1 to 5. 1 is the\n\nsmallest hole; 5 is the largest hole.\n\nUse the following guidelines to match the hole number to the\n\nobjective that you have selected:\n\n40x objective: Use #5 hole\n\n10x objective: Use #4 or #3 hole\n\n4x objective: Use #2 or #1 hole\n\n##### **COARSE KNOB ADJUSTMENT - Model AY11240**\n\n1. The coarse adjustment knob has an adjustable heavy-light nut\n\n(See Fig.1).\n\n2. To adjust the knob loosen or tighten the nut.\n\nNOTE: Adjusting the nut too tight will make focusing difficult.\n\nAdjusting the nut too loose will cause the tube to slide.\n\nHeavy-Light Adjustment Nut\n\n##### **Fig. 1- Coarse Adjustment Knob**\n\n7. To clearly see the outline of the\n\nspecimen, rotate the coarse\n\nadjustment knob and lower\n\nthe barrel to the space limiter.\n\n8. Rotate the fine adjustment knob\n\nuntil the image is in sharp focus.\n\nWhen using other objectives, rotate\n\nthe fine focus adjustment until the\n\nimage is in focus.\n\n6. To clearly see the outline of the\n\nspecimen, rotate the coarse\n\nadjustment knob and lower\n\nthe barrel to the space limiter.\n\n7. Rotate the fine adjustment knob\n\nuntil the image is in sharp focus.\n\nWhen using other objectives, rotate\n\nthe fine focus adjustment until the\n\nimage is in focus.\n\n**Model AY11240 Model AY11238**\n\n## **6**\n\n### **MODEL AY11228/AY11232**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11228 and Model AY11232 are designed for\n\nbiological studies such as specimen examination. They can also\n\nbe used for examining bacteria and for general clinical and medical\n\nstudies. Simple design and use is especially useful for school\n\nclassroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is\n\nconstructed with two optical paths at the same angle. It is\n\nequipped with transmitted illumination and oblique illumination.\n\nBy using this instrument, the user can observe and enlarge the\n\nright side stereo image. BARSKA Model AY11232 is a zoom stereo\n\nmicroscope. The object being viewed is enlarged through two\n\nidentical sized sets of right and left eye lenses. The zoom provides\n\ndifferent magnification and features an inversion system which\n\nallows the image to be viewed normally and right side up.\n\n**Model AY11228 Model AY11232**\n\nDiopter\n\nAdjustment\n\nDiopter\n\nAdjustment\n\nPrism\n\nCap\n\nPrism\n\nCap\n\nEyepiece\n\nStage\n\nLens\n\nStage\n\nVertical Pole\n\nIllumination Controls Rotary Case\n\nIllumination Controls\n\nSpring Clips\n\nSpring Clips\n\nFocus Knob\n\nFocus Knob\n\nMagnification Adjustment Knob\n\nFocus Knob\n\nTightening Knob\n\nOblique Illuminator\n\nOblique Illuminator\n\nLens Housing\n\nEyepiece",
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- "text": "## **4**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Attach 4x, 10x and 40x objectives\n\nto revolving turret.\n\n3. Place the specimen on the stage and\n\nsecure with spring clips. NOTE: The\n\ncover glass must face upward (the\n\nthinner glass is the cover glass),\n\notherwise when the 40x objective is\n\nused the specimen cannot be\n\nobserved. Observation is best when\n\nthe thickness of the cover glass is\n\n0.1-1.1mm and the cover glass is\n\n0.17mm.\n\n4. Adjust the stand to an angle that\n\nprovides comfortable observation.\n\n5. Rotate and adjust concave mirror to\n\nlight the field of view. **NOTE: Do not**\n\n**reflect the Sun with the mirror.**\n\n**This can cause serious eye injury**\n\n**or permanent eye damage.**\n\n6. Observe the specimen using the\n\nlowest magnification objective first.\n\nThe 4x objective provides a larger\n\nfield of view to search specimen.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Attach 4x, 10x and 40x objectives\n\nto revolving turret. 3. Place the\n\nspecimen on the stage and\n\nsecure with spring clips. NOTE: The\n\ncover glass must face upward (the\n\nthinner glass is the cover glass),\n\notherwise when the 40x objective is\n\nused the specimen cannot be\n\nobserved. Observation is best when\n\nthe thickness of the cover glass is\n\n0.1-1.1mm and the cover glass is\n\n0.17mm.\n\n4. Plug power cord into an electrical\n\noutlet. Turn microscope\n\nlamp ON.\n\n5. Observe the specimen using the\n\nlowest magnification objective\n\nfirst. The 4x objective provides a\n\nlarger field of view to search\n\nspecimen.\n\n**Name**\n\n**Model AY11240**\n\n**Model AY11240 Model AY11238**\n\n**Model AY11238**\n\n**Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x |\n|:---|\n| 10x |\n| 40x (s) |\n\n1\n\nPlain Concave Mirror 1\n\nPlastic Dust Cover 1\n\n10x Wide Field Eyepiece 1\n\nLens Cleaning Tissue 1\n\nSpecification 1\n\nInspection Certificate 1\n\nPacking List 1\n\n1\n\n1\n\n1\n\n**Name Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x |\n|:---|\n| 10x |\n| 40x (s) |\n\n1\n\n10x Wide Field Eyepiece 1\n\nPlastic Dust Cover 1\n\nSpare Bulb 1\n\nLens Cleaning Tissue 1\n\nSpecification 1\n\nInspection Certificate 1\n\nPacking List 1\n\n1\n\n1\n\n1",
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- "text": "### **OPERATION (cont.)**\n\n**SELECTING OBJECTIVE**\n\n**MAGNIFICATION**\n\n1. There are two objectives. The lower\n\nmagnification objective has a greater\n\ndepth of field and view.\n\n2. In order to observe the specimen\n\neasily use the lower magnification\n\nobjective first. Then, by rotating the\n\ncase, the magnification can be\n\nchanged.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**FOCUSING**\n\n1. Remove the lens protective cover.\n\n2. Place the specimen on the working\n\nstage.\n\n3. Focus the specimen with the left eye\n\nfirst while turning the focus knob until\n\nthe image appears clear and sharp.\n\n4. Rotate the right eyepiece ring until the\n\nimages in each eyepiece coincide and\n\nare sharp and clear.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet before changing the\n\nbulb.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate and\n\nreplace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**FOCUSING**\n\n1. Turn the focusing knob away or toward\n\nyou until a clear image is viewed.\n\n2. If the image is unclear, adjust the\n\nheight of the elevator up or down,\n\nthen turn the focusing knob again.\n\n**ZOOM MAGNIFICATION**\n\n1. Turn the zoom magnification knob to\n\nthe desired magnification and field of\n\nview.\n\n2. In most situations, it is recommended\n\nthat you focus at the lowest\n\nmagnification, then move to a higher\n\nmagnification and re-focus as\n\nnecessary.\n\n3. If the image is not clear to both eyes\n\nat the same time, the diopter ring may\n\nneed adjustment.\n\n**DIOPTER RING ADJUSTMENT**\n\n1. To adjust the eyepiece for viewing with\n\nor without eyeglasses and for\n\ndifferences in acuity between the right\n\nand left eyes, follow the following\n\nsteps:\n\na. Observe an image through the left\n\neyepiece and bring a specific point\n\ninto focus using the focus knob.\n\nb. By turning the diopter ring\n\nadjustment for the left eyepiece,\n\nbring the same point into sharp\n\nfocus.\n\nc.Then bring the same point into\n\nfocus through the right eyepiece\n\nby turning the right diopter ring.\n\nd.With more than one viewer, each\n\nviewer should note their own\n\ndiopter ring position for the left\n\nand right eyepieces, then before\n\nviewing set the diopter ring\n\nadjustments to that setting.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate\n\nand replace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**Model AY11228 Model AY11232**\n\n### **MODEL AY11230/AY11234**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular\n\nmicroscopes designed for biological studies such as specimen\n\nexamination. They can also be used for examining bacteria and for\n\ngeneral clinical and medical studies. Simple design and use and the\n\nvertical tube make them is useful for school classroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11230 is a fixed power trinocular stereo\n\nmicroscope. It is constructed with two optical paths at the same\n\nangle. It is equipped with transmitted illumination and oblique\n\nillumination. By using this instrument, the user can observe and\n\nenlarge the right side stereo image. BARSKA Model AY11234 is a\n\nzoom trinocular stereo microscope. The object being viewed is\n\nenlarged through two identical sized sets of right and left eye\n\nlenses. The zoom provides different magnification and features an\n\ninversion system which allows the image to be viewed normally\n\nand right side up.\n\n## **10 9**\n\n**Model AY11230 Model AY11234**\n\nDiopter\n\nAdjustment Diopter\n\nAdjustment\n\nPrism\n\nCap\n\nPrism\n\nCap\n\nEyepiece\n\nStage\n\nLens\n\nStage\n\nVertical Tube Vertical Tube\n\nIllumination Controls\n\nRotary Case\n\nSpring Clips Spring Clips\n\nFocus Knob\n\nMagnification Adjustment Knob\n\nFocus Knob\n\nTightening Knob\n\nOblique Illuminator Oblique Illuminator\n\nLens Housing\n\nEyepiece\n\nIllumination Controls",
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- "text": "Paper\n\nFSC <sup>®</sup> C007299\n\nu",
- "page_start": 119,
- "page_end": 119,
- "source_file": "ASX_KCN_2013.pdf"
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- "text": "## **13**\n\n**USING THE VERTICAL TUBE -**\n\n**MODELS AY11230/11234**\n\n1. The vertical tube can be used for\n\ninstructional viewing or to\n\nphotograph the image witrh a\n\ndigital camera or micro TV\n\nunit.\n\n2. Loosen the retention screw, then rotate\n\nthe adjustment ring to change the\n\nlength of the vertical tube.\n\n3. Make sure that both the images in\n\n### **OPERATION (cont.)**\n\n**SELECTING OBJECTIVE**\n\n**MAGNIFICATION**\n\n1. There are two objectives. The lower\n\nmagnification objective has a greater\n\ndepth of field and view.\n\n2. In order to observe the specimen\n\neasily use the lower magnification\n\nobjective first. Then, by rotating the\n\ncase, the magnification can be\n\nchanged.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**FOCUSING**\n\n1. Remove the lens protective cover.\n\n2. Place the specimen on the working\n\nstage.\n\n3. Focus the specimen with the left eye\n\nfirst while turning the focus knob until\n\nthe image appears clear and sharp.\n\n4. Rotate the right eyepiece ring until the\n\nimages in each eyepiece coincide and\n\nare sharp and clear.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate and\n\nreplace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**FOCUSING**\n\n1. Turn the focusing knob away or toward\n\nyou until a clear image is viewed.\n\n2. If the image is unclear, adjust the\n\nheight of the elevator up or down,\n\nthen turn the focusing knob again.\n\n**ZOOM MAGNIFICATION**\n\n1. Turn the zoom magnification knob to\n\nthe desired magnification and field of\n\nview.\n\n2. In most situations, it is recommended\n\nthat you focus at the lowest\n\nmagnification, then move to a higher\n\nmagnification and re-focus as\n\nnecessary.\n\n3. If the image is not clear to both eyes\n\nat the same time, the diopter ring may\n\nneed adjustment.\n\n**DIOPTER RING ADJUSTMENT**\n\n1. To adjust the eyepiece for viewing with\n\nor without eyeglasses and for\n\ndifferences in acuity between the right\n\nand left eyes, follow the following\n\nsteps:\n\na. Observe an image through the left\n\neyepiece and bring a specific point\n\ninto focus using the focus knob.\n\nb. By turning the diopter ring\n\nadjustment for the left eyepiece,\n\nbring the same point into sharp\n\nfocus.\n\nc.Then bring the same point into\n\nfocus through the right eyepiece\n\nby turning the right diopter ring.\n\nd.With more than one viewer, each\n\nviewer should note their own\n\ndiopter ring position for the left\n\nand right eyepieces, then before\n\nviewing set the diopter ring\n\nadjustments to that setting.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate\n\nand replace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**Model AY11230 Model AY11234**\n\n## **14**\n\nObjectives\n\nRevolving Turret\n\nCoarse Adjustment Knob\n\n### **MODEL AY11236**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound\n\nmicroscope designed for biological studies such as specimen\n\nexamination. It can also be used for examining bacteria and\n\nfor general clinical and medical studies and other scientific uses.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope.\n\nIt is constructed with two optical paths at the same angle. It is\n\nequipped with transmitted illumination. By using this instrument,\n\nthe user can observe specimens at magnification from 40x to\n\n1000x by selecting the desired objective lens. Coarse and fine\n\nfocus adjustments provide accuracy and image detail. The rotating\n\nhead allows the user to position the eyepieces for maximum\n\nviewing comfort and easy access to all adjustment knobs.\n\n**Model AY11236**\n\nFine Adjustment Knob\n\nStage\n\nCondenser Focusing Knob\n\nEyepiece\n\nStand\n\nLamp\n\nOn/Off\n\nSwitch\n\nLamp\n\nPower\n\nCord\n\nRotating Head\n\nStage Clip\n\nAdjustment\n\nInterpupillary Slide Adjustment",
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- "query": "For the AY11230 microscope, what is the interpupillary adjustment?",
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- "target_passage": "Model AY11230 1. Interpupillary Adjustment: 55mm - 75mm",
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- "text": "## **11**\n\n### **SPECIFICATIONS**\n\n**Model AY11230**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: 60mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique illumination: 12V 10W Halogen Lamp\n\n##### **Optical Specifications - Model AY11230**\n\n20x, 40x\n\nObjective Zoom Scale\n\n- 0.5x\n\n95\n\n7x- 45x 28.6- 4.4\n\n3.5x- 22.5x 5.3x- 33.8x 10.5x- 67.5x 14x- 90x 57.2- 8.8 38.1- 5.9 19.0- 2.9 14.3- 2.2\n\n156 102 44 30\n\n0.75x 1.5x 2x Accessory Large Objective\n\nWorking Distance (mm)\n\nWF10x/20mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n8.8x- 56x 25.7- 4.0\n\n4.4x- 28x 6.6x- 42x 13.2x- 84x 17.6x- 112x 51.4- 8 34.3- 5.3 17.1- 2.7 12.9- 2.0\n\nWF12.5x/18mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n10.5x- 67.5x 22.9- 3.6\n\n5.3x- 33.8x 7.9x- 58.6x 15.7x- 101x 21x- 135x 45.8- 7.2 30.5- 4.8 15.3- 24 11.5- 1.8\n\nWF15x/16mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n14x- 90x\n\n17.0- 2.7\n\n7x- 45x 10.5x- 67.5x 21x- 135x 28x- 180x\n\n34.0- 5.4 22.7- 3.6 11.3- 1.8 8.5- 1.4\n\nWF20x/12mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n17.5x- 112.5x\n\n12.9- 2.0\n\n8.8x- 56.3x 13x- 84.4x 26.3x- 169x 35x- 225x\n\n25.8- 4.0 17.2- 2.7 8.6- 1.3 6.5- 1.0\n\nWF25x/9mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n2x, 4x 90mm Wide Field 10x, 20mm\n\n**Total**\n\n**Magnification Working Distance Eyepiece Magnification**\n\n**& Field Diameter (mm) Objective**\n\n**Magnification**\n\n##### **Optical Specifications - Model AY11234**\n\n**Model AY11234**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: >50mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Diopter Adjustment Range: +/- 5 diopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique Illumination: 12V 10W Halogen Lamp\n\nTransmitted Illumination: 12V 10W Halogen Lamp\n\n## **12**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Tighten the knob on the stand to\n\nprevent the elevator from sliding\n\ndown.\n\n3. Fix the binocular body on the stand\n\nwith the tightening screw.\n\n4. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment knobs\n\nchange the oblique or transmitted\n\nlight independently. The transmitted\n\nilluminator fluorescent lamp cannot\n\nbe adjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting\n\nof the sample.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment Knobs\n\nchange the oblique or transmitted light\n\nindependently. The transmitted\n\nilluminator fluorescent lamp cannot be\n\nadjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting of\n\nthe sample.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**Name**\n\n**Model AY11230**\n\n**Model AY11230 Model AY11234**\n\n**Model AY11234**\n\n**Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nBlack/White Working Stage 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)\n\n**Name Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)",
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- "text": "## **7**\n\n### **SPECIFICATIONS**\n\n**Model AY11228**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: 60mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique illumination: 12V 10W Halogen Lamp\n\n##### **Optical Specifications - Model AY11228**\n\n20x, 40x\n\nObjective Zoom Scale\n\n- 0.5x\n\n95\n\n7x- 45x 28.6- 4.4\n\n3.5x- 22.5x 5.3x- 33.8x 10.5x- 67.5x 14x- 90x 57.2- 8.8 38.1- 5.9 19.0- 2.9 14.3- 2.2\n\n156 102 44 30\n\n0.75x 1.5x 2x Accessory Large Objective\n\nWorking Distance (mm)\n\nWF10x/20mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n8.8x- 56x 25.7- 4.0\n\n4.4x- 28x 6.6x- 42x 13.2x- 84x 17.6x- 112x 51.4- 8 34.3- 5.3 17.1- 2.7 12.9- 2.0\n\nWF12.5x/18mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n10.5x- 67.5x 22.9- 3.6\n\n5.3x- 33.8x 7.9x- 58.6x 15.7x- 101x 21x- 135x 45.8- 7.2 30.5- 4.8 15.3- 24 11.5- 1.8\n\nWF15x/16mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n14x- 90x\n\n17.0- 2.7\n\n7x- 45x 10.5x- 67.5x 21x- 135x 28x- 180x\n\n34.0- 5.4 22.7- 3.6 11.3- 1.8 8.5- 1.4\n\nWF20x/12mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n17.5x- 112.5x\n\n12.9- 2.0\n\n8.8x- 56.3x 13x- 84.4x 26.3x- 169x 35x- 225x\n\n25.8- 4.0 17.2- 2.7 8.6- 1.3 6.5- 1.0\n\nWF25x/9mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n2x, 4x 90mm Wide Field 10x, 20mm\n\n**Total**\n\n**Magnification Working Distance Eyepiece Magnification**\n\n**& Field Diameter (mm) Objective**\n\n**Magnification**\n\n##### **Optical Specifications - Model AY11232**\n\n**Model AY11232**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: >50mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Diopter Adjustment Range: +/- 5 diopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique Illumination: 12V 10W Halogen Lamp\n\nTransmitted Illumination: 12V 10W Halogen Lamp\n\n## **8**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Tighten the knob on the stand to\n\nprevent the elevator from sliding\n\ndown.\n\n3. Fix the binocular body on the stand\n\nwith the tightening screw.\n\n4. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment knobs\n\nchange the oblique or transmitted\n\nlight independently. The transmitted\n\nilluminator fluorescent lamp cannot\n\nbe adjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting\n\nof the sample.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment Knobs\n\nchange the oblique or transmitted light\n\nindependently. The transmitted\n\nilluminator fluorescent lamp cannot be\n\nadjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting of\n\nthe sample.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**Name**\n\n**Model AY11228**\n\n**Model AY11228 Model AY11232**\n\n**Model AY11232**\n\n**Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nBlack/White Working Stage 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)\n\n**Name Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)",
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- "text": "### **OPERATION (cont.)**\n\n**SELECTING OBJECTIVE**\n\n**MAGNIFICATION**\n\n1. There are two objectives. The lower\n\nmagnification objective has a greater\n\ndepth of field and view.\n\n2. In order to observe the specimen\n\neasily use the lower magnification\n\nobjective first. Then, by rotating the\n\ncase, the magnification can be\n\nchanged.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**FOCUSING**\n\n1. Remove the lens protective cover.\n\n2. Place the specimen on the working\n\nstage.\n\n3. Focus the specimen with the left eye\n\nfirst while turning the focus knob until\n\nthe image appears clear and sharp.\n\n4. Rotate the right eyepiece ring until the\n\nimages in each eyepiece coincide and\n\nare sharp and clear.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet before changing the\n\nbulb.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate and\n\nreplace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**FOCUSING**\n\n1. Turn the focusing knob away or toward\n\nyou until a clear image is viewed.\n\n2. If the image is unclear, adjust the\n\nheight of the elevator up or down,\n\nthen turn the focusing knob again.\n\n**ZOOM MAGNIFICATION**\n\n1. Turn the zoom magnification knob to\n\nthe desired magnification and field of\n\nview.\n\n2. In most situations, it is recommended\n\nthat you focus at the lowest\n\nmagnification, then move to a higher\n\nmagnification and re-focus as\n\nnecessary.\n\n3. If the image is not clear to both eyes\n\nat the same time, the diopter ring may\n\nneed adjustment.\n\n**DIOPTER RING ADJUSTMENT**\n\n1. To adjust the eyepiece for viewing with\n\nor without eyeglasses and for\n\ndifferences in acuity between the right\n\nand left eyes, follow the following\n\nsteps:\n\na. Observe an image through the left\n\neyepiece and bring a specific point\n\ninto focus using the focus knob.\n\nb. By turning the diopter ring\n\nadjustment for the left eyepiece,\n\nbring the same point into sharp\n\nfocus.\n\nc.Then bring the same point into\n\nfocus through the right eyepiece\n\nby turning the right diopter ring.\n\nd.With more than one viewer, each\n\nviewer should note their own\n\ndiopter ring position for the left\n\nand right eyepieces, then before\n\nviewing set the diopter ring\n\nadjustments to that setting.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate\n\nand replace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**Model AY11228 Model AY11232**\n\n### **MODEL AY11230/AY11234**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular\n\nmicroscopes designed for biological studies such as specimen\n\nexamination. They can also be used for examining bacteria and for\n\ngeneral clinical and medical studies. Simple design and use and the\n\nvertical tube make them is useful for school classroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11230 is a fixed power trinocular stereo\n\nmicroscope. It is constructed with two optical paths at the same\n\nangle. It is equipped with transmitted illumination and oblique\n\nillumination. By using this instrument, the user can observe and\n\nenlarge the right side stereo image. BARSKA Model AY11234 is a\n\nzoom trinocular stereo microscope. The object being viewed is\n\nenlarged through two identical sized sets of right and left eye\n\nlenses. The zoom provides different magnification and features an\n\ninversion system which allows the image to be viewed normally\n\nand right side up.\n\n## **10 9**\n\n**Model AY11230 Model AY11234**\n\nDiopter\n\nAdjustment Diopter\n\nAdjustment\n\nPrism\n\nCap\n\nPrism\n\nCap\n\nEyepiece\n\nStage\n\nLens\n\nStage\n\nVertical Tube Vertical Tube\n\nIllumination Controls\n\nRotary Case\n\nSpring Clips Spring Clips\n\nFocus Knob\n\nMagnification Adjustment Knob\n\nFocus Knob\n\nTightening Knob\n\nOblique Illuminator Oblique Illuminator\n\nLens Housing\n\nEyepiece\n\nIllumination Controls",
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- "text": "## **13**\n\n**USING THE VERTICAL TUBE -**\n\n**MODELS AY11230/11234**\n\n1. The vertical tube can be used for\n\ninstructional viewing or to\n\nphotograph the image witrh a\n\ndigital camera or micro TV\n\nunit.\n\n2. Loosen the retention screw, then rotate\n\nthe adjustment ring to change the\n\nlength of the vertical tube.\n\n3. Make sure that both the images in\n\n### **OPERATION (cont.)**\n\n**SELECTING OBJECTIVE**\n\n**MAGNIFICATION**\n\n1. There are two objectives. The lower\n\nmagnification objective has a greater\n\ndepth of field and view.\n\n2. In order to observe the specimen\n\neasily use the lower magnification\n\nobjective first. Then, by rotating the\n\ncase, the magnification can be\n\nchanged.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**FOCUSING**\n\n1. Remove the lens protective cover.\n\n2. Place the specimen on the working\n\nstage.\n\n3. Focus the specimen with the left eye\n\nfirst while turning the focus knob until\n\nthe image appears clear and sharp.\n\n4. Rotate the right eyepiece ring until the\n\nimages in each eyepiece coincide and\n\nare sharp and clear.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate and\n\nreplace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**FOCUSING**\n\n1. Turn the focusing knob away or toward\n\nyou until a clear image is viewed.\n\n2. If the image is unclear, adjust the\n\nheight of the elevator up or down,\n\nthen turn the focusing knob again.\n\n**ZOOM MAGNIFICATION**\n\n1. Turn the zoom magnification knob to\n\nthe desired magnification and field of\n\nview.\n\n2. In most situations, it is recommended\n\nthat you focus at the lowest\n\nmagnification, then move to a higher\n\nmagnification and re-focus as\n\nnecessary.\n\n3. If the image is not clear to both eyes\n\nat the same time, the diopter ring may\n\nneed adjustment.\n\n**DIOPTER RING ADJUSTMENT**\n\n1. To adjust the eyepiece for viewing with\n\nor without eyeglasses and for\n\ndifferences in acuity between the right\n\nand left eyes, follow the following\n\nsteps:\n\na. Observe an image through the left\n\neyepiece and bring a specific point\n\ninto focus using the focus knob.\n\nb. By turning the diopter ring\n\nadjustment for the left eyepiece,\n\nbring the same point into sharp\n\nfocus.\n\nc.Then bring the same point into\n\nfocus through the right eyepiece\n\nby turning the right diopter ring.\n\nd.With more than one viewer, each\n\nviewer should note their own\n\ndiopter ring position for the left\n\nand right eyepieces, then before\n\nviewing set the diopter ring\n\nadjustments to that setting.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate\n\nand replace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**Model AY11230 Model AY11234**\n\n## **14**\n\nObjectives\n\nRevolving Turret\n\nCoarse Adjustment Knob\n\n### **MODEL AY11236**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound\n\nmicroscope designed for biological studies such as specimen\n\nexamination. It can also be used for examining bacteria and\n\nfor general clinical and medical studies and other scientific uses.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope.\n\nIt is constructed with two optical paths at the same angle. It is\n\nequipped with transmitted illumination. By using this instrument,\n\nthe user can observe specimens at magnification from 40x to\n\n1000x by selecting the desired objective lens. Coarse and fine\n\nfocus adjustments provide accuracy and image detail. The rotating\n\nhead allows the user to position the eyepieces for maximum\n\nviewing comfort and easy access to all adjustment knobs.\n\n**Model AY11236**\n\nFine Adjustment Knob\n\nStage\n\nCondenser Focusing Knob\n\nEyepiece\n\nStand\n\nLamp\n\nOn/Off\n\nSwitch\n\nLamp\n\nPower\n\nCord\n\nRotating Head\n\nStage Clip\n\nAdjustment\n\nInterpupillary Slide Adjustment",
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- "text": "### **IMPORTANT NOTES**\n\nCongratulations on your purchase of this high quality BARSKA\n\nmicroscope. With proper care, this microscope will provide many\n\nyears of use. Please read the following instructions before\n\noperating this instrument.\n\n1. Do not attempt to disassemble the instrument. This product has\n\nbeen carefully assembled at the factory and should only be\n\nexamined by a factory-trained technician.\n\n2. This instrument should only be used in an environment with an\n\nindoor temperature range of 32 <sup>o</sup> F to 104 <sup>o</sup> F.\n\n3. Do not use this instrument in an environment with a lot of dust.\n\n##### **Cover the instrument when not in use.**\n\n4. Do not subject the instrument to shock.\n\nMaintenance............................................\n\nModel AY11240/Model AY11238..................\n\nModel AY11228/Model AY11232..................\n\nModel AY11230/Model AY11234..................\n\nModel AY11236........................................\n\nWarranty Information................................\n\n1\n\n2-5\n\n6-9\n\n10-13\n\n14-18\n\nBack Cover\n\n## **1**\n\n### **MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read\n\nthe following guidelines:\n\n1. Keep the instrument in a dry and moisture-free location.\n\n2. Do not expose to acid, alkali fumes or moisture.\n\n3. Keep optical parts clean and free of dust. To clean optical parts\n\ngently wipe with lens cleaning tissue and a mixture of alcohol\n\nand diethyl ether. Depending on weather conditions, the\n\nfollowing are the recommended mixture ratios:\n\nWet weather: 1:2\n\nDry Weather: 1:1\n\n4. After use, cover the instrument with the plastic dust cover.\n\n5. If instrument is to be stored for an extended period of time,\n\nremove the eyepiece and oculars and store in a moisture-proof\n\ncontainer.\n\n### **MODEL AY11240/AY11238**\n\n## **2**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for\n\nbiological studies such as specimen examination. They can also\n\nbe used for examining bacteria and for general clinical and medical\n\nstudies. Simple design and use is especially useful for school\n\nclassroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90 <sup>o</sup> vertical to 45 <sup>o</sup> level. It is also equipped with a coarse adjustment\n\nand fine adjustment as well as a space limiter to protect the\n\nobjective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45 <sup>o</sup>\n\nangle. The head rotates 360 <sup>o</sup> . The Eyepiece Set Screw prevents\n\nthe eyepiece from falling out of the tube.\n\nCoarse Adjustment Knob\n\nFine Adjustment Knob\n\nStand\n\n5-Hole Diaphragm and Condenser Concave Mirror\n\nStage\n\nSpring Clips\n\nObjectives\n\nBarrel\n\nRevolving Turret\n\nEyepiece\n\nCoarse\n\nAdjustment\n\nKnob\n\nFine\n\nAdjustment\n\nKnob\n\nStand\n\n5-Hole\n\nDiaphragm\n\nand Condenser\n\nLamp\n\nOn/Off\n\nSwitch\n\nLamp\n\nPower\n\nCord\n\nStage\n\nSpring\n\nClips\n\nObjectives\n\nRotating Head\n\nRevolving\n\nTurret\n\nEyepiece\n\nStage Height\n\nLimit Adjustment\n\nMonocular Tube Eyepiece\n\nSet Screw\n\n**Model AY11240 Model AY11238**",
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- "source_file": "Microscope Manual.pdf"
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- "text": "## **5**\n\n### **OPERATION (cont.)**\n\n##### **USING THE 5-HOLE DIAPHRAGM**\n\n1. To obtain the best contrast for observing, match the hole size to\n\nthe objective that is being used to view the specimen.\n\n2. Each hole has a corresponding number from 1 to 5. 1 is the\n\nsmallest hole; 5 is the largest hole.\n\nUse the following guidelines to match the hole number to the\n\nobjective that you have selected:\n\n40x objective: Use #5 hole\n\n10x objective: Use #4 or #3 hole\n\n4x objective: Use #2 or #1 hole\n\n##### **COARSE KNOB ADJUSTMENT - Model AY11240**\n\n1. The coarse adjustment knob has an adjustable heavy-light nut\n\n(See Fig.1).\n\n2. To adjust the knob loosen or tighten the nut.\n\nNOTE: Adjusting the nut too tight will make focusing difficult.\n\nAdjusting the nut too loose will cause the tube to slide.\n\nHeavy-Light Adjustment Nut\n\n##### **Fig. 1- Coarse Adjustment Knob**\n\n7. To clearly see the outline of the\n\nspecimen, rotate the coarse\n\nadjustment knob and lower\n\nthe barrel to the space limiter.\n\n8. Rotate the fine adjustment knob\n\nuntil the image is in sharp focus.\n\nWhen using other objectives, rotate\n\nthe fine focus adjustment until the\n\nimage is in focus.\n\n6. To clearly see the outline of the\n\nspecimen, rotate the coarse\n\nadjustment knob and lower\n\nthe barrel to the space limiter.\n\n7. Rotate the fine adjustment knob\n\nuntil the image is in sharp focus.\n\nWhen using other objectives, rotate\n\nthe fine focus adjustment until the\n\nimage is in focus.\n\n**Model AY11240 Model AY11238**\n\n## **6**\n\n### **MODEL AY11228/AY11232**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11228 and Model AY11232 are designed for\n\nbiological studies such as specimen examination. They can also\n\nbe used for examining bacteria and for general clinical and medical\n\nstudies. Simple design and use is especially useful for school\n\nclassroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is\n\nconstructed with two optical paths at the same angle. It is\n\nequipped with transmitted illumination and oblique illumination.\n\nBy using this instrument, the user can observe and enlarge the\n\nright side stereo image. BARSKA Model AY11232 is a zoom stereo\n\nmicroscope. The object being viewed is enlarged through two\n\nidentical sized sets of right and left eye lenses. The zoom provides\n\ndifferent magnification and features an inversion system which\n\nallows the image to be viewed normally and right side up.\n\n**Model AY11228 Model AY11232**\n\nDiopter\n\nAdjustment\n\nDiopter\n\nAdjustment\n\nPrism\n\nCap\n\nPrism\n\nCap\n\nEyepiece\n\nStage\n\nLens\n\nStage\n\nVertical Pole\n\nIllumination Controls Rotary Case\n\nIllumination Controls\n\nSpring Clips\n\nSpring Clips\n\nFocus Knob\n\nFocus Knob\n\nMagnification Adjustment Knob\n\nFocus Knob\n\nTightening Knob\n\nOblique Illuminator\n\nOblique Illuminator\n\nLens Housing\n\nEyepiece",
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- "text": "## **15**\n\n### **SPECIFICATIONS**\n\n1. Length of mechanical tube: 160mm\n\n2. Conjugate distance between object and image: 195mm\n\n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n\n4. Illumination: Input 110V or 200V; Output: 20W\n\n5. Fine adjustment range: .002mm\n\n6. Coarse Adjustment Range: 20mm\n\n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm\n\n8. Condenser Elevation Range: 15mm\n\n9. Iris diaphragm aperture: 2mm-30mm\n\n##### **Objective Specifications**\n\n**Classification Working**\n\n**Distance Magnification Optical**\n\n**System Numerical**\n\n**Aperture**\n\n| Dry | 4x Adjustable Focus | 0.1 |\n|:---|:---|---:|\n| Dry | 10x | 0.25 |\n| Dry | 40x Spring Adjustable Focus | 0.65 |\n\n37.42mm\n\n0.57mm\n\nOil\n\nImmer-\n\nsion\n\n1.25 0.18mm 100x Spring\n\nAdjustable\n\nFocus\n\n7.14mm\n\nAchromatic\n\nObjective\n\nNote: For oil immersion, please use the index of refraction 1.515 oil\n\nPlain Field\n\nEyepiece 10x 18mm\n\n##### **Eyepiece Specifications**\n\n**Classification Magnification Field of View (FOV)**\n\n**Diameter**\n\n10x\n\n40x\n\n100x\n\n400x\n\n4x\n\n10x\n\n40x (s)\n\n1000x 100x (oil,s)\n\n##### **Total Magnification**\n\n**Objective**\n\n**Magnification Eyepiece**\n\n## **16**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove all components from package. Identify all parts before\n\nassembling instrument.\n\n2. Attach 4x, 10x and 40x objectives by screwing into revolving\n\nturret. Tighten and secure to maximum finger pressure only.\n\n3. Place the specimen on the stage and secure with spring clips.\n\nNOTE: The cover glass must face upward (the thinner glass is\n\nthe cover glass), otherwise when the 40x objective is used the\n\nspecimen cannot be observed. Observation is best when the\n\nthickness of the cover glass is 0.1-1.1mm and the cover glass\n\nis 0.17mm.\n\n4. Plug power cord into an electrical outlet. Turn microscope\n\nlamp ON.\n\n5. Observe the specimen using the lowest magnification objective\n\nfirst. The 10x objective provides a larger field of view making it\n\neasier to search the specimen.\n\n**Name Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x (parfocal distance adjustable) |\n|:---|\n| 10x |\n| 40x (s) (parfocal distance adjustable) |\n| 100x (oil,s) (parfocal distance adjustable) |\n\n1\n\n1\n\n2\n\n1\n\n1\n\n1\n\n1\n\n1\n\n10x Wide Field Eyepiece w/Pointer\n\nAbbe Condenser NA1.25\n\nPlastic Dust Cover\n\nLens Cleaning Tissue\n\n1 Cedar Oil\n\n1 1A Fuse (spare)\n\nSpare 6V20W Halogen Bulb\n\nSpecification\n\nInspection Certificate\n\nPacking List\n\n1\n\n1\n\n1\n\n1\n\n1",
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- "text": "## **17**\n\n##### **Fig. 1 - Objective Parts**\n\nAdjustable\n\nRing\n\nTightening\n\nRing\n\nMark\n\nSleeve\n\nFront\n\nSleeve\n\n### **OPERATION (cont.)**\n\n6. Adjust the interpupillary distance by using the eyepiece\n\ninterpupillary slide adjustment.\n\n7. Observe using the right eyepiece adjusting the coarse and fine\n\nfocus and adjust the diopter ring until image is clear and sharp.\n\n8. Observe with the left eyepiece and adjust the diopter ring until\n\nimage is clear and sharp.\n\n9. Rotate the fine focus adjustment when using other objectives.\n\nNOTE: This instrument is equipped with patent objectives so\n\nthe precision or parfocalization is very high.\n\n10. If the image is in focus with the 10x objective, you can select\n\nother objectives and observe the specimen even if the fine\n\nadjustment knob has not been used by using the following\n\nmethod (See Fig. 1):\n\n1. Unscrew the 40x or 100x objective and remove from\n\nturret.\n\n2. Remove the mark sleeve.\n\n3. Turn the ring on the objective to adjust its parfocal\n\ndistance.\n\n4. Re-insert the objective and compare with the 10x.\n\n5. Adjust until the 40x and 100x objectives image is clear.\n\n##### **USING THE CEDAR OIL**\n\n1. Drop some cedar oil on to the top of the 100x objective when the\n\n100x objective is being used. NOTE: To maintain a good quality\n\nimage, rotate the turret right and left several times to eliminate\n\nbubbles in the cedar oil.\n\n2. After finishing the observation, wipe off the cedar oil.\n\n3. Do not use the 40x objective until you have wiped off all of the\n\ncedar oil.\n\n### **OPERATION (cont.)**\n\n##### **ADJUSTING THE CONDENSER APERTURE**\n\n1. The numerical aperture of the condenser should match the\n\nnumerical aperture of the objective being used.\n\n2. To make sure that the objectives are imaging properly\n\n(especially the 40x and 100x), follow this procedure:\n\n1. Take off the eyepiece.\n\n2. Look through the eyepiece.\n\n3. The smallest circle or light that you can see is the\n\neyepiece's exit pupil.\n\n4. Adjust the aperture of the iris diaphragm in the\n\ncondenser to 70% or 80% for the best contrast for\n\nobservation (See Fig. 2.).\n\n##### **Fig. 2 - Condenser Diaphram Aperture**\n\nExit Pupil\n\nof Objective\n\nAperture of\n\nDiaphragm\n\n### **TROUBLESHOOTING**\n\n**Problem Possible Cause Solution**\n\n1. Image not clear. 1. Re-position specimen.\n\n| 1.Specimen is in incorrect position. 2. Lens is dirty. 3. Cedar oil not placed on immersion objective. 4. Bubbles in Cedar oil. 5. Cedar oil on 40x objective. 6. Iris diaphragm open too wide. |\n|:---|\n| 1. Condenser position is incorrect. 2. Lens is dirty. 3. Specimen is not placed level. |\n| 1. Iris diaphragm opening too small. 2. Position of condenser too low. 3. Lens is dirty. |\n| 1. Specimen is in incorrect position. |\n\n2. Clean lens.\n\n3. Put a drop of Cedar oil on\n\nimmersion objective.\n\n4. Rotate turret several times to\n\neliminate bubbles.\n\n5. Clean 40x objective.\n\n6. Reduce size of iris diaphragm.\n\n1. Re-position condenser.\n\n2. Clean lens.\n\n3. Re-position specimen so it is level.\n\n1. Open iris diaphragm wider.\n\n2. Raise condenser.\n\n3. Clean lens.\n\n1. Re-position specimen.\n\n2. Poor illumination.\n\n3. Illumination not bright.\n\n4. Cannot focus at high\n\nmagnification.\n\n1. Stage is too high. 1. Re-position stage. 5. Objective lenses touch\n\nspecimen.\n\n## **18**",
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- "text": "## **4**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Attach 4x, 10x and 40x objectives\n\nto revolving turret.\n\n3. Place the specimen on the stage and\n\nsecure with spring clips. NOTE: The\n\ncover glass must face upward (the\n\nthinner glass is the cover glass),\n\notherwise when the 40x objective is\n\nused the specimen cannot be\n\nobserved. Observation is best when\n\nthe thickness of the cover glass is\n\n0.1-1.1mm and the cover glass is\n\n0.17mm.\n\n4. Adjust the stand to an angle that\n\nprovides comfortable observation.\n\n5. Rotate and adjust concave mirror to\n\nlight the field of view. **NOTE: Do not**\n\n**reflect the Sun with the mirror.**\n\n**This can cause serious eye injury**\n\n**or permanent eye damage.**\n\n6. Observe the specimen using the\n\nlowest magnification objective first.\n\nThe 4x objective provides a larger\n\nfield of view to search specimen.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Attach 4x, 10x and 40x objectives\n\nto revolving turret. 3. Place the\n\nspecimen on the stage and\n\nsecure with spring clips. NOTE: The\n\ncover glass must face upward (the\n\nthinner glass is the cover glass),\n\notherwise when the 40x objective is\n\nused the specimen cannot be\n\nobserved. Observation is best when\n\nthe thickness of the cover glass is\n\n0.1-1.1mm and the cover glass is\n\n0.17mm.\n\n4. Plug power cord into an electrical\n\noutlet. Turn microscope\n\nlamp ON.\n\n5. Observe the specimen using the\n\nlowest magnification objective\n\nfirst. The 4x objective provides a\n\nlarger field of view to search\n\nspecimen.\n\n**Name**\n\n**Model AY11240**\n\n**Model AY11240 Model AY11238**\n\n**Model AY11238**\n\n**Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x |\n|:---|\n| 10x |\n| 40x (s) |\n\n1\n\nPlain Concave Mirror 1\n\nPlastic Dust Cover 1\n\n10x Wide Field Eyepiece 1\n\nLens Cleaning Tissue 1\n\nSpecification 1\n\nInspection Certificate 1\n\nPacking List 1\n\n1\n\n1\n\n1\n\n**Name Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x |\n|:---|\n| 10x |\n| 40x (s) |\n\n1\n\n10x Wide Field Eyepiece 1\n\nPlastic Dust Cover 1\n\nSpare Bulb 1\n\nLens Cleaning Tissue 1\n\nSpecification 1\n\nInspection Certificate 1\n\nPacking List 1\n\n1\n\n1\n\n1",
- "page_start": 2,
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- "source_file": "Microscope Manual.pdf"
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- "text": "-0.004\n\n0.000\n\n0.004\n\n| (a) Fe TEY |\n|:---|\n| (b) Mn TEY |\n| (c) Mn FY |\n\n-0.2\n\n-0.1\n\n0.0\n\n0.1\n\n0.2\n\nXMCD asymmetry\n\n-250 0 250 500 750 1000\n\n-0.004\n\n0.000\n\n0.004\n\nField (Oe)\n\nFIG. 2. (color online) XMCD asymmetry versus applied field\n\nalong the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As\n\n(10 nm) film. (a) Fe L 3 , total electron yield; (b) Mn L 3 ,\n\ntotal electron yield; (c) Mn L 3 , fluorescent yield. Black and\n\nred points are data for increasing and decreasing fields respec-\n\ntively; lines are to guide the eye.",
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- "references": {
- "source_file": "Microscope Manual.pdf",
- "query": "The illumination of my AY11236 microscope is not very strong, what can I do to solve this?",
- "target_page": 10,
- "target_passage": "1. Open iris diaphragm wider. 2. Raise condenser. 3. Clean lens.",
- "chunk_present": {
- "presence": true,
- "index": 7
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- "top_chunk": [
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- "text": "## **11**\n\n### **SPECIFICATIONS**\n\n**Model AY11230**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: 60mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique illumination: 12V 10W Halogen Lamp\n\n##### **Optical Specifications - Model AY11230**\n\n20x, 40x\n\nObjective Zoom Scale\n\n- 0.5x\n\n95\n\n7x- 45x 28.6- 4.4\n\n3.5x- 22.5x 5.3x- 33.8x 10.5x- 67.5x 14x- 90x 57.2- 8.8 38.1- 5.9 19.0- 2.9 14.3- 2.2\n\n156 102 44 30\n\n0.75x 1.5x 2x Accessory Large Objective\n\nWorking Distance (mm)\n\nWF10x/20mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n8.8x- 56x 25.7- 4.0\n\n4.4x- 28x 6.6x- 42x 13.2x- 84x 17.6x- 112x 51.4- 8 34.3- 5.3 17.1- 2.7 12.9- 2.0\n\nWF12.5x/18mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n10.5x- 67.5x 22.9- 3.6\n\n5.3x- 33.8x 7.9x- 58.6x 15.7x- 101x 21x- 135x 45.8- 7.2 30.5- 4.8 15.3- 24 11.5- 1.8\n\nWF15x/16mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n14x- 90x\n\n17.0- 2.7\n\n7x- 45x 10.5x- 67.5x 21x- 135x 28x- 180x\n\n34.0- 5.4 22.7- 3.6 11.3- 1.8 8.5- 1.4\n\nWF20x/12mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n17.5x- 112.5x\n\n12.9- 2.0\n\n8.8x- 56.3x 13x- 84.4x 26.3x- 169x 35x- 225x\n\n25.8- 4.0 17.2- 2.7 8.6- 1.3 6.5- 1.0\n\nWF25x/9mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n2x, 4x 90mm Wide Field 10x, 20mm\n\n**Total**\n\n**Magnification Working Distance Eyepiece Magnification**\n\n**& Field Diameter (mm) Objective**\n\n**Magnification**\n\n##### **Optical Specifications - Model AY11234**\n\n**Model AY11234**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: >50mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Diopter Adjustment Range: +/- 5 diopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique Illumination: 12V 10W Halogen Lamp\n\nTransmitted Illumination: 12V 10W Halogen Lamp\n\n## **12**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Tighten the knob on the stand to\n\nprevent the elevator from sliding\n\ndown.\n\n3. Fix the binocular body on the stand\n\nwith the tightening screw.\n\n4. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment knobs\n\nchange the oblique or transmitted\n\nlight independently. The transmitted\n\nilluminator fluorescent lamp cannot\n\nbe adjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting\n\nof the sample.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment Knobs\n\nchange the oblique or transmitted light\n\nindependently. The transmitted\n\nilluminator fluorescent lamp cannot be\n\nadjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting of\n\nthe sample.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**Name**\n\n**Model AY11230**\n\n**Model AY11230 Model AY11234**\n\n**Model AY11234**\n\n**Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nBlack/White Working Stage 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)\n\n**Name Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)",
- "page_start": 6,
- "page_end": 6,
- "source_file": "Microscope Manual.pdf"
- },
- {
- "text": "## **7**\n\n### **SPECIFICATIONS**\n\n**Model AY11228**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: 60mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique illumination: 12V 10W Halogen Lamp\n\n##### **Optical Specifications - Model AY11228**\n\n20x, 40x\n\nObjective Zoom Scale\n\n- 0.5x\n\n95\n\n7x- 45x 28.6- 4.4\n\n3.5x- 22.5x 5.3x- 33.8x 10.5x- 67.5x 14x- 90x 57.2- 8.8 38.1- 5.9 19.0- 2.9 14.3- 2.2\n\n156 102 44 30\n\n0.75x 1.5x 2x Accessory Large Objective\n\nWorking Distance (mm)\n\nWF10x/20mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n8.8x- 56x 25.7- 4.0\n\n4.4x- 28x 6.6x- 42x 13.2x- 84x 17.6x- 112x 51.4- 8 34.3- 5.3 17.1- 2.7 12.9- 2.0\n\nWF12.5x/18mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n10.5x- 67.5x 22.9- 3.6\n\n5.3x- 33.8x 7.9x- 58.6x 15.7x- 101x 21x- 135x 45.8- 7.2 30.5- 4.8 15.3- 24 11.5- 1.8\n\nWF15x/16mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n14x- 90x\n\n17.0- 2.7\n\n7x- 45x 10.5x- 67.5x 21x- 135x 28x- 180x\n\n34.0- 5.4 22.7- 3.6 11.3- 1.8 8.5- 1.4\n\nWF20x/12mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n17.5x- 112.5x\n\n12.9- 2.0\n\n8.8x- 56.3x 13x- 84.4x 26.3x- 169x 35x- 225x\n\n25.8- 4.0 17.2- 2.7 8.6- 1.3 6.5- 1.0\n\nWF25x/9mm Total Magnification\n\nField of View Objective Dia. (mm)\n\n2x, 4x 90mm Wide Field 10x, 20mm\n\n**Total**\n\n**Magnification Working Distance Eyepiece Magnification**\n\n**& Field Diameter (mm) Objective**\n\n**Magnification**\n\n##### **Optical Specifications - Model AY11232**\n\n**Model AY11232**\n\n1. Interpupillary Adjustment: 55mm - 75mm\n\n2. Working Stage Diameter: 95mm\n\n3. Focus Knob Adjustment Range: >50mm\n\n4. Elevator Adjustment Range: 110mm\n\n5. Diopter Adjustment Range: +/- 5 diopters\n\n6. Illumination:\n\nInput Voltage: 110V AC or 220V\n\nOutput: Oblique Illumination: 12V 10W Halogen Lamp\n\nTransmitted Illumination: 12V 10W Halogen Lamp\n\n## **8**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Tighten the knob on the stand to\n\nprevent the elevator from sliding\n\ndown.\n\n3. Fix the binocular body on the stand\n\nwith the tightening screw.\n\n4. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment knobs\n\nchange the oblique or transmitted\n\nlight independently. The transmitted\n\nilluminator fluorescent lamp cannot\n\nbe adjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting\n\nof the sample.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Check the input voltage to ensure that\n\nit conforms to the microscopes\n\nrequirement.\n\n**SELECTING THE ILLUMINATION**\n\n1. Depending on microscope use, select\n\noblique or transmitted illumination.\n\n2. The Brightness Adjustment Knobs\n\nchange the oblique or transmitted light\n\nindependently. The transmitted\n\nilluminator fluorescent lamp cannot be\n\nadjusted.\n\n3. The angle of the oblique lamp can be\n\nadjusted to ensure optimum lighting of\n\nthe sample.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**Name**\n\n**Model AY11228**\n\n**Model AY11228 Model AY11232**\n\n**Model AY11232**\n\n**Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nBlack/White Working Stage 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)\n\n**Name Qty**\n\nBinocular Body (incl. 2x, 4x obj.) 1\n\n10x Wide Field Eyepiece 2\n\nEyeshade\n\n12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup\n\n2\n\nFuse 2A (spare) 1\n\nLens Cleaning Tissue 1\n\nDust Cover 1\n\nSpecifications 1\n\nPacking Slip 1\n\nQuality Inspection Certificate 1\n\n1 ea.\n\n(spare)",
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- "page_end": 4,
- "source_file": "Microscope Manual.pdf"
- },
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- "text": "## **4**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Attach 4x, 10x and 40x objectives\n\nto revolving turret.\n\n3. Place the specimen on the stage and\n\nsecure with spring clips. NOTE: The\n\ncover glass must face upward (the\n\nthinner glass is the cover glass),\n\notherwise when the 40x objective is\n\nused the specimen cannot be\n\nobserved. Observation is best when\n\nthe thickness of the cover glass is\n\n0.1-1.1mm and the cover glass is\n\n0.17mm.\n\n4. Adjust the stand to an angle that\n\nprovides comfortable observation.\n\n5. Rotate and adjust concave mirror to\n\nlight the field of view. **NOTE: Do not**\n\n**reflect the Sun with the mirror.**\n\n**This can cause serious eye injury**\n\n**or permanent eye damage.**\n\n6. Observe the specimen using the\n\nlowest magnification objective first.\n\nThe 4x objective provides a larger\n\nfield of view to search specimen.\n\n1. Remove components from package.\n\nidentify all parts before assembling.\n\n2. Attach 4x, 10x and 40x objectives\n\nto revolving turret. 3. Place the\n\nspecimen on the stage and\n\nsecure with spring clips. NOTE: The\n\ncover glass must face upward (the\n\nthinner glass is the cover glass),\n\notherwise when the 40x objective is\n\nused the specimen cannot be\n\nobserved. Observation is best when\n\nthe thickness of the cover glass is\n\n0.1-1.1mm and the cover glass is\n\n0.17mm.\n\n4. Plug power cord into an electrical\n\noutlet. Turn microscope\n\nlamp ON.\n\n5. Observe the specimen using the\n\nlowest magnification objective\n\nfirst. The 4x objective provides a\n\nlarger field of view to search\n\nspecimen.\n\n**Name**\n\n**Model AY11240**\n\n**Model AY11240 Model AY11238**\n\n**Model AY11238**\n\n**Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x |\n|:---|\n| 10x |\n| 40x (s) |\n\n1\n\nPlain Concave Mirror 1\n\nPlastic Dust Cover 1\n\n10x Wide Field Eyepiece 1\n\nLens Cleaning Tissue 1\n\nSpecification 1\n\nInspection Certificate 1\n\nPacking List 1\n\n1\n\n1\n\n1\n\n**Name Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x |\n|:---|\n| 10x |\n| 40x (s) |\n\n1\n\n10x Wide Field Eyepiece 1\n\nPlastic Dust Cover 1\n\nSpare Bulb 1\n\nLens Cleaning Tissue 1\n\nSpecification 1\n\nInspection Certificate 1\n\nPacking List 1\n\n1\n\n1\n\n1",
- "page_start": 2,
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- "source_file": "Microscope Manual.pdf"
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- "text": "### **IMPORTANT NOTES**\n\nCongratulations on your purchase of this high quality BARSKA\n\nmicroscope. With proper care, this microscope will provide many\n\nyears of use. Please read the following instructions before\n\noperating this instrument.\n\n1. Do not attempt to disassemble the instrument. This product has\n\nbeen carefully assembled at the factory and should only be\n\nexamined by a factory-trained technician.\n\n2. This instrument should only be used in an environment with an\n\nindoor temperature range of 32 <sup>o</sup> F to 104 <sup>o</sup> F.\n\n3. Do not use this instrument in an environment with a lot of dust.\n\n##### **Cover the instrument when not in use.**\n\n4. Do not subject the instrument to shock.\n\nMaintenance............................................\n\nModel AY11240/Model AY11238..................\n\nModel AY11228/Model AY11232..................\n\nModel AY11230/Model AY11234..................\n\nModel AY11236........................................\n\nWarranty Information................................\n\n1\n\n2-5\n\n6-9\n\n10-13\n\n14-18\n\nBack Cover\n\n## **1**\n\n### **MAINTENANCE**\n\nProper care and storage of this instrument is essential. Please read\n\nthe following guidelines:\n\n1. Keep the instrument in a dry and moisture-free location.\n\n2. Do not expose to acid, alkali fumes or moisture.\n\n3. Keep optical parts clean and free of dust. To clean optical parts\n\ngently wipe with lens cleaning tissue and a mixture of alcohol\n\nand diethyl ether. Depending on weather conditions, the\n\nfollowing are the recommended mixture ratios:\n\nWet weather: 1:2\n\nDry Weather: 1:1\n\n4. After use, cover the instrument with the plastic dust cover.\n\n5. If instrument is to be stored for an extended period of time,\n\nremove the eyepiece and oculars and store in a moisture-proof\n\ncontainer.\n\n### **MODEL AY11240/AY11238**\n\n## **2**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11240 and Model AY11238 are designed for\n\nbiological studies such as specimen examination. They can also\n\nbe used for examining bacteria and for general clinical and medical\n\nstudies. Simple design and use is especially useful for school\n\nclassroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90 <sup>o</sup> vertical to 45 <sup>o</sup> level. It is also equipped with a coarse adjustment\n\nand fine adjustment as well as a space limiter to protect the\n\nobjective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45 <sup>o</sup>\n\nangle. The head rotates 360 <sup>o</sup> . The Eyepiece Set Screw prevents\n\nthe eyepiece from falling out of the tube.\n\nCoarse Adjustment Knob\n\nFine Adjustment Knob\n\nStand\n\n5-Hole Diaphragm and Condenser Concave Mirror\n\nStage\n\nSpring Clips\n\nObjectives\n\nBarrel\n\nRevolving Turret\n\nEyepiece\n\nCoarse\n\nAdjustment\n\nKnob\n\nFine\n\nAdjustment\n\nKnob\n\nStand\n\n5-Hole\n\nDiaphragm\n\nand Condenser\n\nLamp\n\nOn/Off\n\nSwitch\n\nLamp\n\nPower\n\nCord\n\nStage\n\nSpring\n\nClips\n\nObjectives\n\nRotating Head\n\nRevolving\n\nTurret\n\nEyepiece\n\nStage Height\n\nLimit Adjustment\n\nMonocular Tube Eyepiece\n\nSet Screw\n\n**Model AY11240 Model AY11238**",
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- "source_file": "Microscope Manual.pdf"
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- "text": "### **OPERATION (cont.)**\n\n**SELECTING OBJECTIVE**\n\n**MAGNIFICATION**\n\n1. There are two objectives. The lower\n\nmagnification objective has a greater\n\ndepth of field and view.\n\n2. In order to observe the specimen\n\neasily use the lower magnification\n\nobjective first. Then, by rotating the\n\ncase, the magnification can be\n\nchanged.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**FOCUSING**\n\n1. Remove the lens protective cover.\n\n2. Place the specimen on the working\n\nstage.\n\n3. Focus the specimen with the left eye\n\nfirst while turning the focus knob until\n\nthe image appears clear and sharp.\n\n4. Rotate the right eyepiece ring until the\n\nimages in each eyepiece coincide and\n\nare sharp and clear.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet before changing the\n\nbulb.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate and\n\nreplace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**FOCUSING**\n\n1. Turn the focusing knob away or toward\n\nyou until a clear image is viewed.\n\n2. If the image is unclear, adjust the\n\nheight of the elevator up or down,\n\nthen turn the focusing knob again.\n\n**ZOOM MAGNIFICATION**\n\n1. Turn the zoom magnification knob to\n\nthe desired magnification and field of\n\nview.\n\n2. In most situations, it is recommended\n\nthat you focus at the lowest\n\nmagnification, then move to a higher\n\nmagnification and re-focus as\n\nnecessary.\n\n3. If the image is not clear to both eyes\n\nat the same time, the diopter ring may\n\nneed adjustment.\n\n**DIOPTER RING ADJUSTMENT**\n\n1. To adjust the eyepiece for viewing with\n\nor without eyeglasses and for\n\ndifferences in acuity between the right\n\nand left eyes, follow the following\n\nsteps:\n\na. Observe an image through the left\n\neyepiece and bring a specific point\n\ninto focus using the focus knob.\n\nb. By turning the diopter ring\n\nadjustment for the left eyepiece,\n\nbring the same point into sharp\n\nfocus.\n\nc.Then bring the same point into\n\nfocus through the right eyepiece\n\nby turning the right diopter ring.\n\nd.With more than one viewer, each\n\nviewer should note their own\n\ndiopter ring position for the left\n\nand right eyepieces, then before\n\nviewing set the diopter ring\n\nadjustments to that setting.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate\n\nand replace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**Model AY11228 Model AY11232**\n\n### **MODEL AY11230/AY11234**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11230 and Model AY11234 are trinocular\n\nmicroscopes designed for biological studies such as specimen\n\nexamination. They can also be used for examining bacteria and for\n\ngeneral clinical and medical studies. Simple design and use and the\n\nvertical tube make them is useful for school classroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11230 is a fixed power trinocular stereo\n\nmicroscope. It is constructed with two optical paths at the same\n\nangle. It is equipped with transmitted illumination and oblique\n\nillumination. By using this instrument, the user can observe and\n\nenlarge the right side stereo image. BARSKA Model AY11234 is a\n\nzoom trinocular stereo microscope. The object being viewed is\n\nenlarged through two identical sized sets of right and left eye\n\nlenses. The zoom provides different magnification and features an\n\ninversion system which allows the image to be viewed normally\n\nand right side up.\n\n## **10 9**\n\n**Model AY11230 Model AY11234**\n\nDiopter\n\nAdjustment Diopter\n\nAdjustment\n\nPrism\n\nCap\n\nPrism\n\nCap\n\nEyepiece\n\nStage\n\nLens\n\nStage\n\nVertical Tube Vertical Tube\n\nIllumination Controls\n\nRotary Case\n\nSpring Clips Spring Clips\n\nFocus Knob\n\nMagnification Adjustment Knob\n\nFocus Knob\n\nTightening Knob\n\nOblique Illuminator Oblique Illuminator\n\nLens Housing\n\nEyepiece\n\nIllumination Controls",
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- "text": "## **13**\n\n**USING THE VERTICAL TUBE -**\n\n**MODELS AY11230/11234**\n\n1. The vertical tube can be used for\n\ninstructional viewing or to\n\nphotograph the image witrh a\n\ndigital camera or micro TV\n\nunit.\n\n2. Loosen the retention screw, then rotate\n\nthe adjustment ring to change the\n\nlength of the vertical tube.\n\n3. Make sure that both the images in\n\n### **OPERATION (cont.)**\n\n**SELECTING OBJECTIVE**\n\n**MAGNIFICATION**\n\n1. There are two objectives. The lower\n\nmagnification objective has a greater\n\ndepth of field and view.\n\n2. In order to observe the specimen\n\neasily use the lower magnification\n\nobjective first. Then, by rotating the\n\ncase, the magnification can be\n\nchanged.\n\n**CHANGING THE INTERPUPILLARY**\n\n**DISTANCE**\n\n1. The distance between the observer's\n\npupils is the interpupillary distance.\n\n2. To adjust the interpupillary distance\n\nrotate the prism caps until both eyes\n\ncoincide with the image in the\n\neyepiece.\n\n**FOCUSING**\n\n1. Remove the lens protective cover.\n\n2. Place the specimen on the working\n\nstage.\n\n3. Focus the specimen with the left eye\n\nfirst while turning the focus knob until\n\nthe image appears clear and sharp.\n\n4. Rotate the right eyepiece ring until the\n\nimages in each eyepiece coincide and\n\nare sharp and clear.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate and\n\nreplace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**FOCUSING**\n\n1. Turn the focusing knob away or toward\n\nyou until a clear image is viewed.\n\n2. If the image is unclear, adjust the\n\nheight of the elevator up or down,\n\nthen turn the focusing knob again.\n\n**ZOOM MAGNIFICATION**\n\n1. Turn the zoom magnification knob to\n\nthe desired magnification and field of\n\nview.\n\n2. In most situations, it is recommended\n\nthat you focus at the lowest\n\nmagnification, then move to a higher\n\nmagnification and re-focus as\n\nnecessary.\n\n3. If the image is not clear to both eyes\n\nat the same time, the diopter ring may\n\nneed adjustment.\n\n**DIOPTER RING ADJUSTMENT**\n\n1. To adjust the eyepiece for viewing with\n\nor without eyeglasses and for\n\ndifferences in acuity between the right\n\nand left eyes, follow the following\n\nsteps:\n\na. Observe an image through the left\n\neyepiece and bring a specific point\n\ninto focus using the focus knob.\n\nb. By turning the diopter ring\n\nadjustment for the left eyepiece,\n\nbring the same point into sharp\n\nfocus.\n\nc.Then bring the same point into\n\nfocus through the right eyepiece\n\nby turning the right diopter ring.\n\nd.With more than one viewer, each\n\nviewer should note their own\n\ndiopter ring position for the left\n\nand right eyepieces, then before\n\nviewing set the diopter ring\n\nadjustments to that setting.\n\n**CHANGING THE BULB**\n\n1. Disconnect the power cord from the\n\nelectrical outlet.\n\n2. When the bulb is cool, remove the\n\noblique illuminator cap and remove\n\nthe halogen bulb with cap.\n\n3. Replace with a new halogen bulb.\n\n4. Open the window in the base plate\n\nand replace the halogen lamp or\n\nfluorescent lamp of transmitted\n\nilluminator.\n\n**Model AY11230 Model AY11234**\n\n## **14**\n\nObjectives\n\nRevolving Turret\n\nCoarse Adjustment Knob\n\n### **MODEL AY11236**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11236 is a powerful fixed power compound\n\nmicroscope designed for biological studies such as specimen\n\nexamination. It can also be used for examining bacteria and\n\nfor general clinical and medical studies and other scientific uses.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11236 is a fixed power compound microscope.\n\nIt is constructed with two optical paths at the same angle. It is\n\nequipped with transmitted illumination. By using this instrument,\n\nthe user can observe specimens at magnification from 40x to\n\n1000x by selecting the desired objective lens. Coarse and fine\n\nfocus adjustments provide accuracy and image detail. The rotating\n\nhead allows the user to position the eyepieces for maximum\n\nviewing comfort and easy access to all adjustment knobs.\n\n**Model AY11236**\n\nFine Adjustment Knob\n\nStage\n\nCondenser Focusing Knob\n\nEyepiece\n\nStand\n\nLamp\n\nOn/Off\n\nSwitch\n\nLamp\n\nPower\n\nCord\n\nRotating Head\n\nStage Clip\n\nAdjustment\n\nInterpupillary Slide Adjustment",
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- "text": "## **5**\n\n### **OPERATION (cont.)**\n\n##### **USING THE 5-HOLE DIAPHRAGM**\n\n1. To obtain the best contrast for observing, match the hole size to\n\nthe objective that is being used to view the specimen.\n\n2. Each hole has a corresponding number from 1 to 5. 1 is the\n\nsmallest hole; 5 is the largest hole.\n\nUse the following guidelines to match the hole number to the\n\nobjective that you have selected:\n\n40x objective: Use #5 hole\n\n10x objective: Use #4 or #3 hole\n\n4x objective: Use #2 or #1 hole\n\n##### **COARSE KNOB ADJUSTMENT - Model AY11240**\n\n1. The coarse adjustment knob has an adjustable heavy-light nut\n\n(See Fig.1).\n\n2. To adjust the knob loosen or tighten the nut.\n\nNOTE: Adjusting the nut too tight will make focusing difficult.\n\nAdjusting the nut too loose will cause the tube to slide.\n\nHeavy-Light Adjustment Nut\n\n##### **Fig. 1- Coarse Adjustment Knob**\n\n7. To clearly see the outline of the\n\nspecimen, rotate the coarse\n\nadjustment knob and lower\n\nthe barrel to the space limiter.\n\n8. Rotate the fine adjustment knob\n\nuntil the image is in sharp focus.\n\nWhen using other objectives, rotate\n\nthe fine focus adjustment until the\n\nimage is in focus.\n\n6. To clearly see the outline of the\n\nspecimen, rotate the coarse\n\nadjustment knob and lower\n\nthe barrel to the space limiter.\n\n7. Rotate the fine adjustment knob\n\nuntil the image is in sharp focus.\n\nWhen using other objectives, rotate\n\nthe fine focus adjustment until the\n\nimage is in focus.\n\n**Model AY11240 Model AY11238**\n\n## **6**\n\n### **MODEL AY11228/AY11232**\n\n### **MICROSCOPE USAGE**\n\nBARSKA Model AY11228 and Model AY11232 are designed for\n\nbiological studies such as specimen examination. They can also\n\nbe used for examining bacteria and for general clinical and medical\n\nstudies. Simple design and use is especially useful for school\n\nclassroom instruction.\n\n### **CONSTRUCTION**\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is\n\nconstructed with two optical paths at the same angle. It is\n\nequipped with transmitted illumination and oblique illumination.\n\nBy using this instrument, the user can observe and enlarge the\n\nright side stereo image. BARSKA Model AY11232 is a zoom stereo\n\nmicroscope. The object being viewed is enlarged through two\n\nidentical sized sets of right and left eye lenses. The zoom provides\n\ndifferent magnification and features an inversion system which\n\nallows the image to be viewed normally and right side up.\n\n**Model AY11228 Model AY11232**\n\nDiopter\n\nAdjustment\n\nDiopter\n\nAdjustment\n\nPrism\n\nCap\n\nPrism\n\nCap\n\nEyepiece\n\nStage\n\nLens\n\nStage\n\nVertical Pole\n\nIllumination Controls Rotary Case\n\nIllumination Controls\n\nSpring Clips\n\nSpring Clips\n\nFocus Knob\n\nFocus Knob\n\nMagnification Adjustment Knob\n\nFocus Knob\n\nTightening Knob\n\nOblique Illuminator\n\nOblique Illuminator\n\nLens Housing\n\nEyepiece",
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- "text": "## **17**\n\n##### **Fig. 1 - Objective Parts**\n\nAdjustable\n\nRing\n\nTightening\n\nRing\n\nMark\n\nSleeve\n\nFront\n\nSleeve\n\n### **OPERATION (cont.)**\n\n6. Adjust the interpupillary distance by using the eyepiece\n\ninterpupillary slide adjustment.\n\n7. Observe using the right eyepiece adjusting the coarse and fine\n\nfocus and adjust the diopter ring until image is clear and sharp.\n\n8. Observe with the left eyepiece and adjust the diopter ring until\n\nimage is clear and sharp.\n\n9. Rotate the fine focus adjustment when using other objectives.\n\nNOTE: This instrument is equipped with patent objectives so\n\nthe precision or parfocalization is very high.\n\n10. If the image is in focus with the 10x objective, you can select\n\nother objectives and observe the specimen even if the fine\n\nadjustment knob has not been used by using the following\n\nmethod (See Fig. 1):\n\n1. Unscrew the 40x or 100x objective and remove from\n\nturret.\n\n2. Remove the mark sleeve.\n\n3. Turn the ring on the objective to adjust its parfocal\n\ndistance.\n\n4. Re-insert the objective and compare with the 10x.\n\n5. Adjust until the 40x and 100x objectives image is clear.\n\n##### **USING THE CEDAR OIL**\n\n1. Drop some cedar oil on to the top of the 100x objective when the\n\n100x objective is being used. NOTE: To maintain a good quality\n\nimage, rotate the turret right and left several times to eliminate\n\nbubbles in the cedar oil.\n\n2. After finishing the observation, wipe off the cedar oil.\n\n3. Do not use the 40x objective until you have wiped off all of the\n\ncedar oil.\n\n### **OPERATION (cont.)**\n\n##### **ADJUSTING THE CONDENSER APERTURE**\n\n1. The numerical aperture of the condenser should match the\n\nnumerical aperture of the objective being used.\n\n2. To make sure that the objectives are imaging properly\n\n(especially the 40x and 100x), follow this procedure:\n\n1. Take off the eyepiece.\n\n2. Look through the eyepiece.\n\n3. The smallest circle or light that you can see is the\n\neyepiece's exit pupil.\n\n4. Adjust the aperture of the iris diaphragm in the\n\ncondenser to 70% or 80% for the best contrast for\n\nobservation (See Fig. 2.).\n\n##### **Fig. 2 - Condenser Diaphram Aperture**\n\nExit Pupil\n\nof Objective\n\nAperture of\n\nDiaphragm\n\n### **TROUBLESHOOTING**\n\n**Problem Possible Cause Solution**\n\n1. Image not clear. 1. Re-position specimen.\n\n| 1.Specimen is in incorrect position. 2. Lens is dirty. 3. Cedar oil not placed on immersion objective. 4. Bubbles in Cedar oil. 5. Cedar oil on 40x objective. 6. Iris diaphragm open too wide. |\n|:---|\n| 1. Condenser position is incorrect. 2. Lens is dirty. 3. Specimen is not placed level. |\n| 1. Iris diaphragm opening too small. 2. Position of condenser too low. 3. Lens is dirty. |\n| 1. Specimen is in incorrect position. |\n\n2. Clean lens.\n\n3. Put a drop of Cedar oil on\n\nimmersion objective.\n\n4. Rotate turret several times to\n\neliminate bubbles.\n\n5. Clean 40x objective.\n\n6. Reduce size of iris diaphragm.\n\n1. Re-position condenser.\n\n2. Clean lens.\n\n3. Re-position specimen so it is level.\n\n1. Open iris diaphragm wider.\n\n2. Raise condenser.\n\n3. Clean lens.\n\n1. Re-position specimen.\n\n2. Poor illumination.\n\n3. Illumination not bright.\n\n4. Cannot focus at high\n\nmagnification.\n\n1. Stage is too high. 1. Re-position stage. 5. Objective lenses touch\n\nspecimen.\n\n## **18**",
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- "text": "## **15**\n\n### **SPECIFICATIONS**\n\n1. Length of mechanical tube: 160mm\n\n2. Conjugate distance between object and image: 195mm\n\n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n\n4. Illumination: Input 110V or 200V; Output: 20W\n\n5. Fine adjustment range: .002mm\n\n6. Coarse Adjustment Range: 20mm\n\n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm\n\n8. Condenser Elevation Range: 15mm\n\n9. Iris diaphragm aperture: 2mm-30mm\n\n##### **Objective Specifications**\n\n**Classification Working**\n\n**Distance Magnification Optical**\n\n**System Numerical**\n\n**Aperture**\n\n| Dry | 4x Adjustable Focus | 0.1 |\n|:---|:---|---:|\n| Dry | 10x | 0.25 |\n| Dry | 40x Spring Adjustable Focus | 0.65 |\n\n37.42mm\n\n0.57mm\n\nOil\n\nImmer-\n\nsion\n\n1.25 0.18mm 100x Spring\n\nAdjustable\n\nFocus\n\n7.14mm\n\nAchromatic\n\nObjective\n\nNote: For oil immersion, please use the index of refraction 1.515 oil\n\nPlain Field\n\nEyepiece 10x 18mm\n\n##### **Eyepiece Specifications**\n\n**Classification Magnification Field of View (FOV)**\n\n**Diameter**\n\n10x\n\n40x\n\n100x\n\n400x\n\n4x\n\n10x\n\n40x (s)\n\n1000x 100x (oil,s)\n\n##### **Total Magnification**\n\n**Objective**\n\n**Magnification Eyepiece**\n\n## **16**\n\n### **PARTS LIST**\n\n### **OPERATION**\n\n1. Remove all components from package. Identify all parts before\n\nassembling instrument.\n\n2. Attach 4x, 10x and 40x objectives by screwing into revolving\n\nturret. Tighten and secure to maximum finger pressure only.\n\n3. Place the specimen on the stage and secure with spring clips.\n\nNOTE: The cover glass must face upward (the thinner glass is\n\nthe cover glass), otherwise when the 40x objective is used the\n\nspecimen cannot be observed. Observation is best when the\n\nthickness of the cover glass is 0.1-1.1mm and the cover glass\n\nis 0.17mm.\n\n4. Plug power cord into an electrical outlet. Turn microscope\n\nlamp ON.\n\n5. Observe the specimen using the lowest magnification objective\n\nfirst. The 10x objective provides a larger field of view making it\n\neasier to search the specimen.\n\n**Name Qty**\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\n| 4x (parfocal distance adjustable) |\n|:---|\n| 10x |\n| 40x (s) (parfocal distance adjustable) |\n| 100x (oil,s) (parfocal distance adjustable) |\n\n1\n\n1\n\n2\n\n1\n\n1\n\n1\n\n1\n\n1\n\n10x Wide Field Eyepiece w/Pointer\n\nAbbe Condenser NA1.25\n\nPlastic Dust Cover\n\nLens Cleaning Tissue\n\n1 Cedar Oil\n\n1 1A Fuse (spare)\n\nSpare 6V20W Halogen Bulb\n\nSpecification\n\nInspection Certificate\n\nPacking List\n\n1\n\n1\n\n1\n\n1\n\n1",
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- "text": "FIG. 8: XTEJ1752-223 light curve. Horizontal scale is in\n\nmodified Julian days.\n\n12-25 keV band, where the flux initially rose to about\n\n240 mCrab (2009 Oct 25-28), suddenly dropped to\n\nnon-detectable on 2009 October 29-30, then rose again\n\nduring the period 2009 October 31 to November 2. As\n\nof mid December 2009, the source remains in a high\n\nintensity state. The light curve is shown for the pe-\n\nriod MJD 54700-55200, again with 1-day resolution,\n\nin Fig. 8. The fluxes for XTE J1752-223 in Table 1\n\nare given are for the interval of flaring activity, TJD\n\n55130-55180.\n\n## **Acknowledgments**\n\nThis work is supported by the NASA Fermi Guest\n\nInvestigator program. At LSU, additional support is\n\nprovided by NASA/Louisiana Board of Regents Co-\n\noperative Agreement NNX07AT62A.\n\n[1] C. Meegan et al., Ap. J. **702** , 791 (2009).\n\n[2] C. Wilson-Hodge et al. (2010), these proceedings.\n\n[3] B. A. Harmon et al., Ap. J. Suppl. **138** , 149 (2002).\n\n[4] B. A. Harmon et al., Ap. J. Suppl. **154** , 585 (2004).\n\n[5] G. L. Case et al., in *The First GLAST Symposium* ,\n\nedited by S. Ritz, P. Michelson, and C. Meegan\n\n(2007), vol. 921 of *AIP Conf. Proceedings* , p. 538.\n\n[6] J. Tueller et al. (2010), ap. J. Suppl., (to be pub-\n\nlished), astro-ph/0903.3037.\n\n[7] J. C. Ling and W. A. Wheaton, Ap. J. **598** , 334\n\n(2003).\n\n[8] E. Jourdain and J. P. Roques, Ap. J. **704** , 17 (2009).\n\n[9] H. Steinle et al., Astron. and Astrophys. **330** , 97\n\n(1998).\n\n[10] M. McConnell et al., Ap. J. **523** , 928 (2000).\n\n[11] J. C. Ling and W. A. Wheaton, Chinese J. Astron.\n\nAstrophys. Suppl. **5** , 80 (2005).\n\n[12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl.\n\n**5** , 341 (2005).\n\n[13] L. Bouchet et al., Ap. J. **693** , 1871 (2009).\n\n[14] M. C. Bell et al., Ap. J. **659** , 549 (2007).\n\n[15] G. L. Case et al. (2010), to be submitted.\n\n[16] C. Wilson-Hodge et al., Astron. Telegram **2280**\n\n(2009).\n\n**eConf C091122**",
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- "source_file": "wikipedia3.pdf",
- "query": "What event marks the beginning of the field of artificial intelligence?",
- "target_page": 22,
- "target_passage": "The field of AI research was founded at a workshop at Dartmouth College in 1956.",
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- "text": "## **Artificial intelligence**\n\n**Artificial intelligence** ( **AI** [), in its broadest sense, is intelligence exhibited by machines, particularly](https://en.wikipedia.org/wiki/Machine)\n\n[computer systems. It is a field of research in computer science that develops and studies methods and](https://en.wikipedia.org/wiki/Computer_science)\n\n[software that enable machines to perceive their environment and use learning and intelligence to take](https://en.wikipedia.org/wiki/Machine_learning)\n\nactions that maximize their chances of achieving defined goals. <sup>[1]</sup> Such machines may be called AIs.\n\n[High-profile applications of AI include advanced web search engines (e.g., Google Search);](https://en.wikipedia.org/wiki/Google_Search)\n\n[recommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google](https://en.wikipedia.org/wiki/Google_Assistant)\n\n[Assistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,](https://en.wikipedia.org/wiki/Computational_creativity)\n\n[ChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,](https://en.wikipedia.org/wiki/Go_(game))\n\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\n\napplications, often without being called AI because once something becomes useful enough and common\n\n[enough it's not labeled AI anymore.\"](https://en.wikipedia.org/wiki/AI_effect) <sup>[2][3]</sup>\n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\n\n[traditional goals of AI research include reasoning, knowledge representation, planning, learning, natural](https://en.wikipedia.org/wiki/Natural_language_processing)\n\n[language processing, perception, and support for robotics.](https://en.wikipedia.org/wiki/Robotics) <sup>[a]</sup> [ General intelligence—the ability to complete](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\nany task performed by a human on an at least equal level—is among the field's long-term goals. <sup>[4]</sup> To\n\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\n\n[search and mathematical optimization, formal logic, artificial neural networks, and methods based on](https://en.wikipedia.org/wiki/Artificial_neural_network)\n\n[statistics, operations research, and economics.](https://en.wikipedia.org/wiki/Economics) <sup>[b]</sup> [ AI also draws upon psychology, linguistics, philosophy,](https://en.wikipedia.org/wiki/Philosophy_of_artificial_intelligence)\n\n[neuroscience, and other fields.](https://en.wikipedia.org/wiki/Neuroscience) <sup>[5]</sup>\n\nArtificial intelligence was founded as an academic discipline in 1956, <sup>[6]</sup> and the field went through\n\n[multiple cycles of optimism throughout its history,](https://en.wikipedia.org/wiki/History_of_artificial_intelligence) <sup>[7][8]</sup> followed by periods of disappointment and loss of\n\n[funding, known as AI winters.](https://en.wikipedia.org/wiki/AI_winter) <sup>[9][10]</sup> [ Funding and interest vastly increased after 2012 when deep learning](https://en.wikipedia.org/wiki/Deep_learning)\n\noutperformed previous AI techniques. <sup>[11]</sup> [ This growth accelerated further after 2017 with the transformer](https://en.wikipedia.org/wiki/Transformer_architecture)\n\n[architecture,](https://en.wikipedia.org/wiki/Transformer_architecture) <sup>[12]</sup> and by the early 2020s many billions of dollars were being invested in AI and the field\n\n[experienced rapid ongoing progress in what has become known as the AI boom. The emergence of](https://en.wikipedia.org/wiki/AI_boom)\n\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\n\n[several unintended consequences and harms in the present and raised concerns about the risks of AI and](https://en.wikipedia.org/wiki/AI_risk)\n\n[its long-term effects in the future, prompting discussions about regulatory policies to ensure the safety](https://en.wikipedia.org/wiki/AI_safety)\n\n[and benefits of the technology.](https://en.wikipedia.org/wiki/AI_safety)\n\n### **Goals**",
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- "text": "[In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the](https://en.wikipedia.org/wiki/Bletchley_Park)\n\nnear and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks. <sup>[314]</sup>\n\n28 countries including the United States, China, and the European Union issued a declaration at the start\n\nof the summit, calling for international co-operation to manage the challenges and risks of artificial\n\nintelligence. <sup>[315][316]</sup> [ In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety](https://en.wikipedia.org/wiki/AI_Seoul_Summit)\n\ncommitments on the development of AI. <sup>[317][318]</sup>\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity.\n\n[The study of logic led directly to Alan Turing's theory of computation, which suggested that a machine,](https://en.wikipedia.org/wiki/Theory_of_computation)\n\nby shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical\n\nreasoning. <sup>[319][320]</sup> [ This, along with concurrent discoveries in cybernetics, information theory and](https://en.wikipedia.org/wiki/Information_theory)\n\n[neurobiology, led researchers to consider the possibility of building an \"electronic brain\".](https://en.wikipedia.org/wiki/Neurobiology) <sup>[r]</sup> They\n\ndeveloped several areas of research that would become part of AI, <sup>[322]</sup> [ such as McCullouch and Pitts](https://en.wikipedia.org/wiki/Walter_Pitts)\n\ndesign for \"artificial neurons\" in 1943, <sup>[115]</sup> [ and Turing's influential 1950 paper 'Computing Machinery](https://en.wikipedia.org/wiki/Computing_Machinery_and_Intelligence)\n\n[and Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was](https://en.wikipedia.org/wiki/Turing_test)\n\nplausible. <sup>[323][320]</sup>\n\n[The field of AI research was founded at a workshop at Dartmouth College in 1956.](https://en.wikipedia.org/wiki/Dartmouth_College) <sup>[s][6]</sup> The attendees\n\nbecame the leaders of AI research in the 1960s. <sup>[t]</sup> They and their students produced programs that the\n\npress described as \"astonishing\": <sup>[u]</sup> [ computers were learning checkers strategies, solving word problems](https://en.wikipedia.org/wiki/Checkers)\n\n[in algebra, proving logical theorems and speaking English.](https://en.wikipedia.org/wiki/Theorem) <sup>[v][7]</sup> Artificial intelligence laboratories were\n\nset up at a number of British and U.S. universities in the latter 1950s and early 1960s. <sup>[320]</sup>\n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in\n\n[creating a machine with general intelligence and considered this the goal of their field.](https://en.wikipedia.org/wiki/Artificial_general_intelligence) <sup>[327]</sup> In 1965\n\n[Herbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can](https://en.wikipedia.org/wiki/Herbert_A._Simon)\n\ndo\". <sup>[328]</sup> [ In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating](https://en.wikipedia.org/wiki/Marvin_Minsky)\n\n'artificial intelligence' will substantially be solved\". <sup>[329]</sup> They had, however, underestimated the difficulty\n\nof the problem. <sup>[w]</sup> In 1974, both the U.S. and British governments cut off exploratory research in\n\n[response to the criticism of Sir James Lighthill](https://en.wikipedia.org/wiki/Sir_James_Lighthill) <sup>[331]</sup> [ and ongoing pressure from the U.S. Congress to fund](https://en.wikipedia.org/wiki/Mansfield_Amendment)\n\n[more productive projects.](https://en.wikipedia.org/wiki/Mansfield_Amendment) <sup>[332]</sup> [ Minsky's and Papert's book ](https://en.wikipedia.org/wiki/Papert) *[Perceptrons](https://en.wikipedia.org/wiki/Perceptron)* was understood as proving that\n\n[artificial neural networks would never be useful for solving real-world tasks, thus discrediting the](https://en.wikipedia.org/wiki/Artificial_neural_networks)\n\napproach altogether. <sup>[333]</sup> [ The \"AI winter\", a period when obtaining funding for AI projects was difficult,](https://en.wikipedia.org/wiki/AI_winter)\n\nfollowed. <sup>[9]</sup>\n\n[In the early 1980s, AI research was revived by the commercial success of expert systems,](https://en.wikipedia.org/wiki/Expert_system) <sup>[334]</sup> a form of\n\nAI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for\n\n[AI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired](https://en.wikipedia.org/wiki/Fifth_generation_computer)\n\n[the U.S. and British governments to restore funding for academic research.](https://en.wikipedia.org/wiki/Academic_research) <sup>[8]</sup> However, beginning with\n\n[the collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longer-](https://en.wikipedia.org/wiki/Lisp_Machine)\n\nlasting winter began. <sup>[10]</sup>\n\n### **History**",
- "page_start": 21,
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- "text": "[Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent](https://en.wikipedia.org/wiki/Symbolic_AI)\n\n[mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt](https://en.wikipedia.org/wiki/Mental_objects)\n\n[that this approach would be able to imitate all the processes of human cognition, especially perception,](https://en.wikipedia.org/wiki/Machine_perception)\n\n[robotics, learning and pattern recognition,](https://en.wikipedia.org/wiki/Pattern_recognition) <sup>[335]</sup> and began to look into \"sub-symbolic\" approaches. <sup>[336]</sup>\n\n[Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that](https://en.wikipedia.org/wiki/Rodney_Brooks)\n\nmove and survive. <sup>[x]</sup> [ Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete](https://en.wikipedia.org/wiki/Lofti_Zadeh)\n\nand uncertain information by making reasonable guesses rather than precise logic. <sup>[86][341]</sup> But the most\n\n[important development was the revival of \"connectionism\", including neural network research, by](https://en.wikipedia.org/wiki/Connectionism)\n\n[Geoffrey Hinton and others.](https://en.wikipedia.org/wiki/Geoffrey_Hinton) <sup>[342]</sup> [ In 1990, Yann LeCun successfully showed that convolutional neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\n[networks can recognize handwritten digits, the first of many successful applications of neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\nnetworks. <sup>[343]</sup>\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal\n\n[mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\"](https://en.wikipedia.org/wiki/Narrow_AI)\n\n[focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics,](https://en.wikipedia.org/wiki/Statistics)\n\n[economics and mathematics).](https://en.wikipedia.org/wiki/Mathematical_optimization) <sup>[344]</sup> By 2000, solutions developed by AI researchers were being widely\n\nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as\n\n[the AI effect).](https://en.wikipedia.org/wiki/AI_effect) <sup>[345]</sup> However, several academic researchers became concerned that AI was no longer\n\npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they\n\n[founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\ninstitutions by the 2010s. <sup>[4]</sup>\n\n[Deep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.](https://en.wikipedia.org/wiki/Deep_learning) <sup>[11]</sup>\n\nFor many specific tasks, other methods were abandoned. <sup>[y]</sup> Deep learning's success was based on both\n\n[hardware improvements (faster computers,](https://en.wikipedia.org/wiki/Moore%27s_law) <sup>[347]</sup> [ graphics processing units, cloud computing](https://en.wikipedia.org/wiki/Cloud_computing) <sup>[348]</sup> ) and\n\n[access to large amounts of data](https://en.wikipedia.org/wiki/Big_data) <sup>[349]</sup> (including curated datasets, <sup>[348]</sup> [ such as ImageNet). Deep learning's](https://en.wikipedia.org/wiki/ImageNet)\n\nsuccess led to an enormous increase in interest and funding in AI. <sup>[z]</sup> The amount of machine learning\n\nresearch (measured by total publications) increased by 50% in the years 2015- 2019. <sup>[306]</sup>\n\n[In 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine](https://en.wikipedia.org/wiki/Algorithmic_fairness)\n\nlearning conferences, publications vastly increased, funding became available, and many researchers re-\n\n[focussed their careers on these issues. The alignment problem became a serious field of academic](https://en.wikipedia.org/wiki/AI_alignment)\n\nstudy. <sup>[283]</sup>\n\n[In the late teens and early 2020s, AGI companies began to deliver programs that created enormous](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\n[interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program](https://en.wikipedia.org/wiki/Go_player)\n\n[taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was](https://en.wikipedia.org/wiki/Large_language_model)\n\n[released in 2020 by OpenAI and is capable of generating high-quality human-like text.](https://en.wikipedia.org/wiki/OpenAI) <sup>[350]</sup> [ ChatGPT,](https://en.wikipedia.org/wiki/ChatGPT)\n\nlaunched on November 30, 2022, became the fastest-growing consumer software application in history,\n\ngaining over 100 million users in two months. <sup>[351]</sup> It marked what is widely regarded as AI's breakout\n\nyear, bringing it into the public consciousness. <sup>[352]</sup> [ These programs, and others, inspired an aggressive AI](https://en.wikipedia.org/wiki/AI_boom)\n\n[boom, where large companies began investing billions of dollars in AI research. According to AI Impacts,](https://en.wikipedia.org/wiki/AI_boom)\n\nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new",
- "page_start": 22,
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- "text": "[Glossary of artificial intelligence - List of definitions of terms and concepts commonly used](https://en.wikipedia.org/wiki/Glossary_of_artificial_intelligence)\n\nin the study of artificial intelligence\n\n[Intelligence amplification - Use of information technology to augment human intelligence](https://en.wikipedia.org/wiki/Intelligence_amplification)\n\n[Intelligent agent - Software agent which acts autonomously](https://en.wikipedia.org/wiki/Intelligent_agent)\n\n[Mind uploading - Hypothetical process of digitally emulating a brain](https://en.wikipedia.org/wiki/Mind_uploading)\n\n[Organoid intelligence - Use of brain cells and brain organoids for intelligent computing](https://en.wikipedia.org/wiki/Organoid_intelligence)\n\n[Robotic process automation - Form of business process automation technology](https://en.wikipedia.org/wiki/Robotic_process_automation)\n\n[Wetware computer - Computer composed of organic material](https://en.wikipedia.org/wiki/Wetware_computer)\n\na. This list of intelligent traits is based on the topics covered by the major AI textbooks,\n\nincluding: Russell & Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel\n\n(1998) and Nilsson (1998)\n\nb. This list of tools is based on the topics covered by the major AI textbooks, including: Russell\n\n& Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel (1998) and\n\nNilsson (1998)\n\n[c. It is among the reasons that expert systems proved to be inefficient for capturing](https://en.wikipedia.org/wiki/Expert_system)\n\nknowledge. <sup>[30][31]</sup>\n\n[d. \"Rational agent\" is general term used in economics, philosophy and theoretical artificial](https://en.wikipedia.org/wiki/Philosophy)\n\nintelligence. It can refer to anything that directs its behavior to accomplish goals, such as a\n\nperson, an animal, a corporation, a nation, or in the case of AI, a computer program.\n\n[e. Alan Turing discussed the centrality of learning as early as 1950, in his classic paper](https://en.wikipedia.org/wiki/Alan_Turing)\n\n[\"Computing Machinery and Intelligence\".](https://en.wikipedia.org/wiki/Computing_Machinery_and_Intelligence) <sup>[42]</sup> In 1956, at the original Dartmouth AI summer\n\n[conference, Ray Solomonoff wrote a report on unsupervised probabilistic machine learning:](https://en.wikipedia.org/wiki/Ray_Solomonoff)\n\n\"An Inductive Inference Machine\". <sup>[43]</sup>\n\n[f. See AI winter § Machine translation and the ALPAC report of 1966](https://en.wikipedia.org/wiki/AI_winter#Machine_translation_and_the_ALPAC_report_of_1966)\n\ng. Compared with symbolic logic, formal Bayesian inference is computationally expensive. For\n\n[inference to be tractable, most observations must be conditionally independent of one](https://en.wikipedia.org/wiki/Conditionally_independent)\n\n[another. AdSense uses a Bayesian network with over 300 million edges to learn which ads](https://en.wikipedia.org/wiki/AdSense)\n\nto serve. <sup>[93]</sup>\n\nh. Expectation- maximization, one of the most popular algorithms in machine learning, allows\n\n[clustering in the presence of unknown latent variables.](https://en.wikipedia.org/wiki/Latent_variables) <sup>[95]</sup>\n\ni. Some form of deep neural networks (without a specific learning algorithm) were described\n\n[by: Warren S. McCulloch and Walter Pitts (1943)](https://en.wikipedia.org/wiki/Walter_Pitts) <sup>[115]</sup> [ Alan Turing (1948);](https://en.wikipedia.org/wiki/Alan_Turing) <sup>[116]</sup> [ Karl Steinbuch](https://en.wikipedia.org/wiki/Karl_Steinbuch)\n\n[and Roger David Joseph (1961).](https://en.wikipedia.org/w/index.php?title=Roger_David_Joseph&action=edit&redlink=1) <sup>[117]</sup> Deep or recurrent networks that learned (or used\n\n[gradient descent) were developed by: Frank Rosenblatt(1957);](https://en.wikipedia.org/wiki/Frank_Rosenblatt) <sup>[116]</sup> [ Oliver Selfridge](https://en.wikipedia.org/wiki/Oliver_Selfridge)\n\n(1959); <sup>[117]</sup> [ Alexey Ivakhnenko and Valentin Lapa (1965);](https://en.wikipedia.org/w/index.php?title=Valentin_Lapa&action=edit&redlink=1) <sup>[118]</sup> [ Kaoru Nakano (1971);](https://en.wikipedia.org/w/index.php?title=Kaoru_Nakano&action=edit&redlink=1) <sup>[119]</sup>\n\n[Shun-Ichi Amari (1972);](https://en.wikipedia.org/wiki/Shun-Ichi_Amari) <sup>[119]</sup> [ John Joseph Hopfield (1982).](https://en.wikipedia.org/wiki/John_Joseph_Hopfield) <sup>[119]</sup> Precursors to\n\n[backpropagation were developed by: Henry J. Kelley (1960);](https://en.wikipedia.org/wiki/Henry_J._Kelley) <sup>[116]</sup> [ Arthur E. Bryson](https://en.wikipedia.org/wiki/Arthur_E._Bryson)\n\n(1962); <sup>[116]</sup> [ Stuart Dreyfus (1962);](https://en.wikipedia.org/wiki/Stuart_Dreyfus) <sup>[116]</sup> [ Arthur E. Bryson and Yu-Chi Ho (1969);](https://en.wikipedia.org/wiki/Yu-Chi_Ho) <sup>[116]</sup>\n\n[Backpropagation was independently developed by: Seppo Linnainmaa (1970);](https://en.wikipedia.org/wiki/Seppo_Linnainmaa) <sup>[120]</sup> [ Paul](https://en.wikipedia.org/wiki/Paul_Werbos)\n\n[Werbos (1974).](https://en.wikipedia.org/wiki/Paul_Werbos) <sup>[116]</sup>\n\n[j. Geoffrey Hinton said, of his work on neural networks in the 1990s, \"our labeled datasets](https://en.wikipedia.org/wiki/Geoffrey_Hinton)\n\nwere thousands of times too small. [And] our computers were millions of times too slow.\" <sup>[121]</sup>\n\n### **Explanatory notes**",
- "page_start": 28,
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- "text": "The Turing test can provide some\n\nevidence of intelligence, but it\n\npenalizes non-human intelligent\n\nbehavior. <sup>[361]</sup>\n\nU.S. Computer Science PhD graduates have specialized in \"AI\". <sup>[353]</sup> About 800,000 \"AI\"-related U.S. job\n\nopenings existed in 2022. <sup>[354]</sup> [ According to PitchBook research, 22% of newly funded startups in 2024](https://en.wikipedia.org/wiki/Startup_company)\n\nclaimed to be AI companies. <sup>[355]</sup>\n\nPhilosophical debates have historically sought to determine the nature of intelligence and how to make\n\nintelligent machines. <sup>[356]</sup> Another major focus has been whether machines can be conscious, and the\n\nassociated ethical implications. <sup>[357]</sup> Many other topics in philosophy are relevant to AI, such as\n\n[epistemology and free will.](https://en.wikipedia.org/wiki/Free_will) <sup>[358]</sup> Rapid advancements have intensified public discussions on the\n\n[philosophy and ethics of AI.](https://en.wikipedia.org/wiki/Ethics_of_AI) <sup>[357]</sup>\n\n[Alan Turing wrote in 1950 \"I propose to consider the question 'can machines think'?\"](https://en.wikipedia.org/wiki/Alan_Turing) <sup>[359]</sup> He advised\n\nchanging the question from whether a machine \"thinks\", to \"whether or not it is possible for machinery to\n\nshow intelligent behaviour\". <sup>[359]</sup> He devised the Turing test, which measures the ability of a machine to\n\nsimulate human conversation. <sup>[323]</sup> Since we can only observe the behavior of the machine, it does not\n\n[matter if it is \"actually\" thinking or literally has a \"mind\". Turing notes that we can not determine these](https://en.wikipedia.org/wiki/Problem_of_other_minds)\n\n[things about other people but \"it is usual to have a polite convention that everyone thinks.\"](https://en.wikipedia.org/wiki/Problem_of_other_minds) <sup>[360]</sup>\n\n[Russell and Norvig agree with Turing that intelligence must be](https://en.wikipedia.org/wiki/Norvig)\n\ndefined in terms of external behavior, not internal structure. <sup>[1]</sup>\n\nHowever, they are critical that the test requires the machine to\n\n[imitate humans. \"Aeronautical engineering texts\", they wrote, \"do](https://en.wikipedia.org/wiki/Aeronautics)\n\nnot define the goal of their field as making 'machines that fly so\n\n[exactly like pigeons that they can fool other pigeons.'\"](https://en.wikipedia.org/wiki/Pigeon) <sup>[362]</sup> AI\n\nfounder [John ](https://en.wikipedia.org/wiki/John_McCarthy_(computer_scientist)) McCarthy agreed, writing that \"Artificial\n\nintelligence is not, by definition, simulation of human\n\nintelligence\". <sup>[363]</sup>\n\nMcCarthy defines intelligence as \"the computational part of the\n\nability to achieve goals in the world\". <sup>[364]</sup> Another AI founder,\n\n[Marvin Minsky similarly describes it as \"the ability to solve hard](https://en.wikipedia.org/wiki/Marvin_Minsky)\n\nproblems\". <sup>[365]</sup> The leading AI textbook defines it as the study of\n\nagents that perceive their environment and take actions that maximize their chances of achieving defined\n\ngoals. <sup>[1]</sup> These definitions view intelligence in terms of well-defined problems with well-defined\n\nsolutions, where both the difficulty of the problem and the performance of the program are direct\n\nmeasures of the \"intelligence\" of the machine—and no other philosophical discussion is required, or may\n\nnot even be possible.\n\nAnother definition has been adopted by Google, <sup>[366]</sup> a major practitioner in the field of AI. This definition\n\nstipulates the ability of systems to synthesize information as the manifestation of intelligence, similar to\n\nthe way it is defined in biological intelligence.\n\n### **Philosophy**\n\n#### **Defining artificial intelligence**",
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- },
- {
- "text": "[models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with](https://en.wikipedia.org/wiki/Hallucination_(artificial_intelligence))\n\n[RLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task](https://en.wikipedia.org/wiki/Chatbot)\n\nin simple text. <sup>[122][123]</sup>\n\n[Current models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and](https://en.wikipedia.org/wiki/Microsoft_Copilot)\n\n[LLaMA.](https://en.wikipedia.org/wiki/LLaMA) <sup>[124]</sup> [ Multimodal GPT models can process different types of data (modalities) such as images,](https://en.wikipedia.org/wiki/Modality_(human%E2%80%93computer_interaction))\n\nvideos, sound, and text. <sup>[125]</sup>\n\n[In the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific](https://en.wikipedia.org/wiki/Graphics_processing_unit)\n\n[enhancements and used with specialized TensorFlow software had replaced previously used central](https://en.wikipedia.org/wiki/Central_processing_unit)\n\n[processing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine](https://en.wikipedia.org/wiki/Machine_learning)\n\n[learning models' training.](https://en.wikipedia.org/wiki/Machine_learning) <sup>[126]</sup> [ Specialized programming languages such as Prolog were used in early AI](https://en.wikipedia.org/wiki/Prolog)\n\nresearch, <sup>[127]</sup> [ but general-purpose programming languages like Python have become predominant.](https://en.wikipedia.org/wiki/Python_(programming_language)) <sup>[128]</sup>\n\n[The transistor density in integrated circuits has been observed to roughly double every 18 months—a](https://en.wikipedia.org/wiki/Integrated_circuit)\n\n[trend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it.](https://en.wikipedia.org/wiki/Gordon_Moore)\n\n[Improvements in GPUs have been even faster.](https://en.wikipedia.org/wiki/GPUs) <sup>[129]</sup>\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including:\n\n[search engines (such as Google Search), targeting online advertisements, recommendation systems](https://en.wikipedia.org/wiki/Recommendation_systems)\n\n[(offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense,](https://en.wikipedia.org/wiki/AdSense)\n\n[Facebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and](https://en.wikipedia.org/wiki/Advanced_driver-assistance_system)\n\n[self-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial](https://en.wikipedia.org/wiki/Facial_recognition_system)\n\n[recognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used](https://en.wikipedia.org/wiki/Image_labeling)\n\n[by Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[officer (CAO).](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[The application of AI in medicine and medical research has the potential to increase patient care and](https://en.wikipedia.org/wiki/Medical_research)\n\nquality of life. <sup>[130]</sup> [ Through the lens of the Hippocratic Oath, medical professionals are ethically](https://en.wikipedia.org/wiki/Hippocratic_Oath)\n\ncompelled to use AI, if applications can more accurately diagnose and treat patients. <sup>[131][132]</sup>\n\n[For medical research, AI is an important tool for processing and integrating big data. This is particularly](https://en.wikipedia.org/wiki/Big_data)\n\n[important for organoid and tissue engineering development which use microscopy imaging as a key](https://en.wikipedia.org/wiki/Microscopy)\n\ntechnique in fabrication. <sup>[133]</sup> It has been suggested that AI can overcome discrepancies in funding\n\nallocated to different fields of research. <sup>[133]</sup> New AI tools can deepen the understanding of biomedically\n\n[relevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours](https://en.wikipedia.org/wiki/AlphaFold_2)\n\n[rather than months, the 3D structure of a protein.](https://en.wikipedia.org/wiki/Protein_structure) <sup>[134]</sup> In 2023, it was reported that AI-guided drug\n\ndiscovery helped find a class of antibiotics capable of killing two different types of drug-resistant\n\nbacteria. <sup>[135]</sup> [ In 2024, researchers used machine learning to accelerate the search for Parkinson's disease](https://en.wikipedia.org/wiki/Parkinson%27s_disease)\n\n#### **Hardware and software**\n\n### **Applications**\n\n#### **Health and medicine**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "Some authors have suggested in practice, that the definition of AI is vague and difficult to define, with\n\ncontention as to whether classical algorithms should be categorised as AI, <sup>[367]</sup> with many companies\n\n[during the early 2020s AI boom using the term as a marketing buzzword, often even if they did \"not](https://en.wikipedia.org/wiki/Buzzword)\n\nactually use AI in a material way\". <sup>[368]</sup>\n\n[No established unifying theory or paradigm has guided AI research for most of its history.](https://en.wikipedia.org/wiki/Paradigm) <sup>[aa]</sup> The\n\nunprecedented success of statistical machine learning in the 2010s eclipsed all other approaches (so much\n\nso that some sources, especially in the business world, use the term \"artificial intelligence\" to mean\n\n[\"machine learning with neural networks\"). This approach is mostly sub-symbolic, soft and narrow. Critics](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\nargue that these questions may have to be revisited by future generations of AI researchers.\n\n[Symbolic AI (or \"GOFAI\")](https://en.wikipedia.org/wiki/GOFAI) <sup>[370]</sup> simulated the high-level conscious reasoning that people use when they\n\nsolve puzzles, express legal reasoning and do mathematics. They were highly successful at \"intelligent\"\n\n[tasks such as algebra or IQ tests. In the 1960s, Newell and Simon proposed the physical symbol systems](https://en.wikipedia.org/wiki/Physical_symbol_systems_hypothesis)\n\n[hypothesis: \"A physical symbol system has the necessary and sufficient means of general intelligent](https://en.wikipedia.org/wiki/Physical_symbol_systems_hypothesis)\n\naction.\" <sup>[371]</sup>\n\nHowever, the symbolic approach failed on many tasks that humans solve easily, such as learning,\n\n[recognizing an object or commonsense reasoning. Moravec's paradox is the discovery that high-level](https://en.wikipedia.org/wiki/Moravec%27s_paradox)\n\n\"intelligent\" tasks were easy for AI, but low level \"instinctive\" tasks were extremely difficult. <sup>[372]</sup>\n\n[Philosopher Hubert Dreyfus had argued since the 1960s that human expertise depends on unconscious](https://en.wikipedia.org/wiki/Dreyfus%27_critique_of_AI)\n\ninstinct rather than conscious symbol manipulation, and on having a \"feel\" for the situation, rather than\n\nexplicit symbolic knowledge. <sup>[373]</sup> Although his arguments had been ridiculed and ignored when they\n\nwere first presented, eventually, AI research came to agree with him. <sup>[ab][16]</sup>\n\n[The issue is not resolved: sub-symbolic reasoning can make many of the same inscrutable mistakes that](https://en.wikipedia.org/wiki/Sub-symbolic)\n\n[human intuition does, such as algorithmic bias. Critics such as Noam Chomsky argue continuing research](https://en.wikipedia.org/wiki/Noam_Chomsky)\n\ninto symbolic AI will still be necessary to attain general intelligence, <sup>[375][376]</sup> in part because sub-\n\n[symbolic AI is a move away from explainable AI: it can be difficult or impossible to understand why a](https://en.wikipedia.org/wiki/Explainable_AI)\n\n[modern statistical AI program made a particular decision. The emerging field of neuro-symbolic artificial](https://en.wikipedia.org/wiki/Neuro-symbolic_AI)\n\n[intelligence attempts to bridge the two approaches.](https://en.wikipedia.org/wiki/Neuro-symbolic_AI)\n\n[\"Neats\" hope that intelligent behavior is described using simple, elegant principles (such as logic,](https://en.wikipedia.org/wiki/Logic)\n\n[optimization, or neural networks). \"Scruffies\" expect that it necessarily requires solving a large number of](https://en.wikipedia.org/wiki/Artificial_neural_network)\n\nunrelated problems. Neats defend their programs with theoretical rigor, scruffies rely mainly on\n\nincremental testing to see if they work. This issue was actively discussed in the 1970s and 1980s, <sup>[377]</sup> but\n\neventually was seen as irrelevant. Modern AI has elements of both.\n\n#### **Evaluating approaches to AI**\n\n##### **Symbolic AI and its limits**\n\n##### **Neat vs. scruffy**\n\n##### **Soft vs. hard computing**",
- "page_start": 24,
- "page_end": 24,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "360. Turing (1950), Under \"The Argument from Consciousness\".\n\n[361. Kirk-Giannini, Cameron Domenico; Goldstein, Simon (16 October 2023). \"AI is closer than](https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happens-when-it-does-214721)\n\n[ever to passing the Turing test for 'intelligence'. What happens when it does?\" (https://theco](https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happens-when-it-does-214721)\n\n[nversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happe](https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happens-when-it-does-214721)\n\n[ns-when-it-does-214721). ](https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happens-when-it-does-214721) *The Conversation* [. Archived (https://web.archive.org/web/202409](https://web.archive.org/web/20240925040612/https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happens-when-it-does-214721)\n\n[25040612/https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-in](https://web.archive.org/web/20240925040612/https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happens-when-it-does-214721)\n\n[telligence-what-happens-when-it-does-214721) from the original on 25 September 2024.](https://web.archive.org/web/20240925040612/https://theconversation.com/ai-is-closer-than-ever-to-passing-the-turing-test-for-intelligence-what-happens-when-it-does-214721)\n\nRetrieved 17 August 2024.\n\n362. Russell & Norvig (2021), p. 3.\n\n363. Maker (2006).\n\n364. McCarthy (1999).\n\n365. Minsky (1986).\n\n[366. \"What Is Artificial Intelligence (AI)?\" (https://cloud.google.com/learn/what-is-artificial-intellige](https://cloud.google.com/learn/what-is-artificial-intelligence)\n\n[nce). ](https://cloud.google.com/learn/what-is-artificial-intelligence) *[Google Cloud Platform](https://en.wikipedia.org/wiki/Google_Cloud_Platform)* [. Archived (https://web.archive.org/web/20230731114802/http](https://web.archive.org/web/20230731114802/https://cloud.google.com/learn/what-is-artificial-intelligence)\n\n[s://cloud.google.com/learn/what-is-artificial-intelligence) from the original on 31 July 2023.](https://web.archive.org/web/20230731114802/https://cloud.google.com/learn/what-is-artificial-intelligence)\n\nRetrieved 16 October 2023.\n\n[367. \"One of the Biggest Problems in Regulating AI Is Agreeing on a Definition\" (https://carnegiee](https://carnegieendowment.org/posts/2022/10/one-of-the-biggest-problems-in-regulating-ai-is-agreeing-on-a-definition?lang=en)\n\n[ndowment.org/posts/2022/10/one-of-the-biggest-problems-in-regulating-ai-is-agreeing-on-a-](https://carnegieendowment.org/posts/2022/10/one-of-the-biggest-problems-in-regulating-ai-is-agreeing-on-a-definition?lang=en)\n\n[definition?lang=en). ](https://carnegieendowment.org/posts/2022/10/one-of-the-biggest-problems-in-regulating-ai-is-agreeing-on-a-definition?lang=en) *carnegieendowment.org* . Retrieved 31 July 2024.\n\n[368. \"AI or BS? How to tell if a marketing tool really uses artificial intelligence\" (https://www.thedr](https://www.thedrum.com/opinion/2023/03/30/ai-or-bs-how-tell-if-marketing-tool-really-uses-artificial-intelligence)\n\n[um.com/opinion/2023/03/30/ai-or-bs-how-tell-if-marketing-tool-really-uses-artificial-intelligen](https://www.thedrum.com/opinion/2023/03/30/ai-or-bs-how-tell-if-marketing-tool-really-uses-artificial-intelligence)\n\n[ce). ](https://www.thedrum.com/opinion/2023/03/30/ai-or-bs-how-tell-if-marketing-tool-really-uses-artificial-intelligence) *The Drum* . Retrieved 31 July 2024.\n\n369. Nilsson (1983), p. 10.\n\n370. Haugeland (1985), pp. 112- 117.\n\n371. Physical symbol system hypothesis: Newell & Simon (1976, p. 116) Historical significance:\n\nMcCorduck (2004, p. 153), Russell & Norvig (2021, p. 19)\n\n[372. Moravec's paradox: Moravec (1988, pp. 15- 16), Minsky (1986, p. 29), Pinker (2007,](https://en.wikipedia.org/wiki/Moravec%27s_paradox)\n\npp. 190- 191)\n\n[373. Dreyfus' critique of AI: Dreyfus (1972), Dreyfus & Dreyfus (1986) Historical significance and](https://en.wikipedia.org/wiki/Dreyfus%27_critique_of_AI)\n\nphilosophical implications: Crevier (1993, pp. 120- 132), McCorduck (2004, pp. 211- 239),\n\nRussell & Norvig (2021, pp. 981- 982), Fearn (2007, chpt. 3)\n\n374. Crevier (1993), p. 125.\n\n375. Langley (2011).\n\n376. Katz (2012).\n\n[377. Neats vs. scruffies, the historic debate: McCorduck (2004, pp. 421- 424, 486- 489), Crevier](https://en.wikipedia.org/wiki/Neats_vs._scruffies)\n\n(1993, p. 168), Nilsson (1983, pp. 10- 11), Russell & Norvig (2021, p. 24) A classic example\n\nof the \"scruffy\" approach to intelligence: Minsky (1986) A modern example of neat AI and its\n\naspirations in the 21st century: Domingos (2015)\n\n378. Pennachin & Goertzel (2007).\n\n379. Roberts (2016).\n\n380. Russell & Norvig (2021), p. 986.\n\n381. Chalmers (1995).\n\n382. Dennett (1991).\n\n383. Horst (2005).\n\n384. Searle (1999).\n\n385. Searle (1980), p. 1.\n\n386. Russell & Norvig (2021), p. 9817.",
- "page_start": 49,
- "page_end": 49,
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- "text": "[Vincent van Gogh in watercolour](https://en.wikipedia.org/wiki/Vincent_van_Gogh)\n\ncreated by generative AI software\n\nArtificial intelligent (AI) agents are software entities designed to\n\nperceive their environment, make decisions, and take actions\n\nautonomously to achieve specific goals. These agents can interact\n\nwith users, their environment, or other agents. AI agents are used\n\n[in various applications, including virtual assistants, chatbots,](https://en.wikipedia.org/wiki/Chatbots)\n\n[autonomous vehicles, game-playing systems, and industrial](https://en.wikipedia.org/wiki/Industrial_robotics)\n\n[robotics. AI agents operate within the constraints of their](https://en.wikipedia.org/wiki/Industrial_robotics)\n\nprogramming, available computational resources, and hardware\n\nlimitations. This means they are restricted to performing tasks\n\nwithin their defined scope and have finite memory and processing\n\ncapabilities. In real-world applications, AI agents often face time\n\nconstraints for decision-making and action execution. Many AI\n\nagents incorporate learning algorithms, enabling them to improve\n\ntheir performance over time through experience or training. Using\n\nmachine learning, AI agents can adapt to new situations and\n\noptimise their behaviour for their designated tasks. <sup>[175][176][177]</sup>\n\nThere are also thousands of successful AI applications used to solve specific problems for specific\n\nindustries or institutions. In a 2017 survey, one in five companies reported having incorporated \"AI\" in\n\nsome offerings or processes. <sup>[178]</sup> [ A few examples are energy storage, medical diagnosis, military](https://en.wikipedia.org/wiki/Energy_storage)\n\n[logistics, applications that predict the result of judicial decisions, foreign policy, or supply chain](https://en.wikipedia.org/wiki/Foreign_policy)\n\nmanagement.\n\n[AI applications for evacuation and disaster management are growing. AI has been used to investigate if](https://en.wikipedia.org/wiki/Disaster)\n\nand how people evacuated in large scale and small scale evacuations using historical data from GPS,\n\nvideos or social media. Further, AI can provide real time information on the real time evacuation\n\nconditions. <sup>[179][180][181]</sup>\n\nIn agriculture, AI has helped farmers identify areas that need irrigation, fertilization, pesticide treatments\n\nor increasing yield. Agronomists use AI to conduct research and development. AI has been used to predict\n\nthe ripening time for crops such as tomatoes, monitor soil moisture, operate agricultural robots, conduct\n\n[predictive analytics, classify livestock pig call emotions, automate greenhouses, detect diseases and pests,](https://en.wikipedia.org/wiki/Predictive_analytics)\n\nand save water.\n\nArtificial intelligence is used in astronomy to analyze increasing amounts of available data and\n\napplications, mainly for \"classification, regression, clustering, forecasting, generation, discovery, and the\n\ndevelopment of new scientific insights.\" For example, it is used for discovering exoplanets, forecasting\n\nsolar activity, and distinguishing between signals and instrumental effects in gravitational wave\n\nastronomy. Additionally, it could be used for activities in space, such as space exploration, including the\n\nanalysis of data from space missions, real-time science decisions of spacecraft, space debris avoidance,\n\nand more autonomous operation.\n\n#### **Other industry-specific tasks**",
- "page_start": 11,
- "page_end": 11,
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- },
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- "text": "[The first global AI Safety Summit was held](https://en.wikipedia.org/wiki/AI_Safety_Summit)\n\nin 2023 with a declaration calling for\n\ninternational cooperation.\n\nPromotion of the wellbeing of the people and communities that these technologies affect requires\n\nconsideration of the social and ethical implications at all stages of AI system design, development and\n\nimplementation, and collaboration between job roles such as data scientists, product managers, data\n\nengineers, domain experts, and delivery managers. <sup>[300]</sup>\n\n[The UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations](https://en.wikipedia.org/wiki/AI_Safety_Institute_(United_Kingdom))\n\navailable under a MIT open-source licence which is freely available on GitHub and can be improved with\n\nthird-party packages. It can be used to evaluate AI models in a range of areas including core knowledge,\n\nability to reason, and autonomous capabilities. <sup>[301]</sup>\n\nThe regulation of artificial intelligence is the development\n\nof public sector policies and laws for promoting and\n\nregulating AI; it is therefore related to the broader regulation\n\nof algorithms. <sup>[302]</sup> The regulatory and policy landscape for\n\nAI is an emerging issue in jurisdictions globally. <sup>[303]</sup>\n\n[According to AI Index at Stanford, the annual number of](https://en.wikipedia.org/wiki/Stanford)\n\nAI-related laws passed in the 127 survey countries jumped\n\nfrom one passed in 2016 to 37 passed in 2022\n\nalone. <sup>[304][305]</sup> Between 2016 and 2020, more than 30\n\ncountries adopted dedicated strategies for AI. <sup>[306]</sup> Most EU\n\nmember states had released national AI strategies, as had\n\nCanada, China, India, Japan, Mauritius, the Russian\n\nFederation, Saudi Arabia, United Arab Emirates, U.S., and\n\nVietnam. Others were in the process of elaborating their own AI strategy, including Bangladesh, Malaysia\n\nand Tunisia. <sup>[306]</sup> [ The Global Partnership on Artificial Intelligence was launched in June 2020, stating a](https://en.wikipedia.org/wiki/Global_Partnership_on_Artificial_Intelligence)\n\nneed for AI to be developed in accordance with human rights and democratic values, to ensure public\n\nconfidence and trust in the technology. <sup>[306]</sup> [ Henry Kissinger, Eric Schmidt, and Daniel Huttenlocher](https://en.wikipedia.org/wiki/Daniel_Huttenlocher)\n\npublished a joint statement in November 2021 calling for a government commission to regulate AI. <sup>[307]</sup>\n\nIn 2023, OpenAI leaders published recommendations for the governance of superintelligence, which they\n\nbelieve may happen in less than 10 years. <sup>[308]</sup> In 2023, the United Nations also launched an advisory\n\nbody to provide recommendations on AI governance; the body comprises technology company\n\nexecutives, governments officials and academics. <sup>[309]</sup> [ In 2024, the Council of Europe created the first](https://en.wikipedia.org/wiki/Council_of_Europe)\n\n[international legally binding treaty on AI, called the \"Framework Convention on Artificial Intelligence](https://en.wikipedia.org/wiki/Framework_Convention_on_Artificial_Intelligence_and_Human_Rights,_Democracy_and_the_Rule_of_Law)\n\n[and Human Rights, Democracy and the Rule of Law\". It was adopted by the European Union, the United](https://en.wikipedia.org/wiki/Framework_Convention_on_Artificial_Intelligence_and_Human_Rights,_Democracy_and_the_Rule_of_Law)\n\nStates, the United Kingdom, and other signatories. <sup>[310]</sup>\n\n[In a 2022 Ipsos survey, attitudes towards AI varied greatly by country; 78% of Chinese citizens, but only](https://en.wikipedia.org/wiki/Ipsos)\n\n35% of Americans, agreed that \"products and services using AI have more benefits than drawbacks\". <sup>[304]</sup>\n\n[A 2023 Reuters/Ipsos poll found that 61% of Americans agree, and 22% disagree, that AI poses risks to](https://en.wikipedia.org/wiki/Reuters)\n\nhumanity. <sup>[311]</sup> [ In a 2023 Fox News poll, 35% of Americans thought it \"very important\", and an additional](https://en.wikipedia.org/wiki/Fox_News)\n\n41% thought it \"somewhat important\", for the federal government to regulate AI, versus 13% responding\n\n\"not very important\" and 8% responding \"not at all important\". <sup>[312][313]</sup>\n\n#### **Regulation**",
- "page_start": 20,
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- ]
- },
- {
- "references": {
- "source_file": "wikipedia3.pdf",
- "query": "What would a superintelligence need?",
- "target_page": 27,
- "target_passage": "possess intelligence far surpassing that of the brightest and most gifted human mind.",
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- "text": "show that even a computer capable of perfectly simulating human behavior would not have a mind. <sup>[387]</sup>\n\n[It is difficult or impossible to reliably evaluate whether an advanced AI is sentient (has the ability to feel),](https://en.wikipedia.org/wiki/Sentient_AI)\n\nand if so, to what degree. <sup>[388]</sup> But if there is a significant chance that a given machine can feel and suffer,\n\nthen it may be entitled to certain rights or welfare protection measures, similarly to animals. <sup>[389][390]</sup>\n\n[Sapience (a set of capacities related to high intelligence, such as discernment or self-awareness) may](https://en.wikipedia.org/wiki/Self-awareness)\n\nprovide another moral basis for AI rights. <sup>[389]</sup> [ Robot rights are also sometimes proposed as a practical](https://en.wikipedia.org/wiki/Robot_rights)\n\nway to integrate autonomous agents into society. <sup>[391]</sup>\n\nIn 2017, the European Union considered granting \"electronic personhood\" to some of the most capable AI\n\nsystems. Similarly to the legal status of companies, it would have conferred rights but also\n\nresponsibilities. <sup>[392]</sup> Critics argued in 2018 that granting rights to AI systems would downplay the\n\n[importance of human rights, and that legislation should focus on user needs rather than speculative](https://en.wikipedia.org/wiki/Human_rights)\n\nfuturistic scenarios. They also noted that robots lacked the autonomy to take part to society on their\n\nown. <sup>[393][394]</sup>\n\nProgress in AI increased interest in the topic. Proponents of AI welfare and rights often argue that AI\n\n[sentience, if it emerges, would be particularly easy to deny. They warn that this may be a moral blind spot](https://en.wikipedia.org/wiki/Moral_blindness)\n\n[analogous to slavery or factory farming, which could lead to large-scale suffering if sentient AI is created](https://en.wikipedia.org/wiki/Suffering_risks)\n\nand carelessly exploited. <sup>[390][389]</sup>\n\n[A superintelligence is a hypothetical agent that would possess intelligence far surpassing that of the](https://en.wikipedia.org/wiki/Superintelligence)\n\nbrightest and most gifted human mind. <sup>[379]</sup> [ If research into artificial general intelligence produced](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\n[sufficiently intelligent software, it might be able to reprogram and improve itself. The improved software](https://en.wikipedia.org/wiki/Recursive_self-improvement)\n\n[would be even better at improving itself, leading to what I. J. Good called an \"intelligence explosion\" and](https://en.wikipedia.org/wiki/Intelligence_explosion)\n\n[Vernor Vinge called a \"singularity\".](https://en.wikipedia.org/wiki/Technological_singularity) <sup>[395]</sup>\n\n[However, technologies cannot improve exponentially indefinitely, and typically follow an S-shaped](https://en.wikipedia.org/wiki/S-shaped_curve)\n\n[curve, slowing when they reach the physical limits of what the technology can do.](https://en.wikipedia.org/wiki/S-shaped_curve) <sup>[396]</sup>\n\n[Robot designer Hans Moravec, cyberneticist Kevin Warwick and inventor Ray Kurzweil have predicted](https://en.wikipedia.org/wiki/Ray_Kurzweil)\n\n[that humans and machines may merge in the future into cyborgs that are more capable and powerful than](https://en.wikipedia.org/wiki/Cyborg)\n\n[either. This idea, called transhumanism, has roots in the writings of Aldous Huxley and Robert](https://en.wikipedia.org/wiki/Robert_Ettinger)\n\n[Ettinger.](https://en.wikipedia.org/wiki/Robert_Ettinger) <sup>[397]</sup>\n\n##### **AI welfare and rights**\n\n### **Future**\n\n#### **Superintelligence and the singularity**\n\n#### **Transhumanism**",
- "page_start": 26,
- "page_end": 26,
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- },
- {
- "text": "## **Artificial intelligence**\n\n**Artificial intelligence** ( **AI** [), in its broadest sense, is intelligence exhibited by machines, particularly](https://en.wikipedia.org/wiki/Machine)\n\n[computer systems. It is a field of research in computer science that develops and studies methods and](https://en.wikipedia.org/wiki/Computer_science)\n\n[software that enable machines to perceive their environment and use learning and intelligence to take](https://en.wikipedia.org/wiki/Machine_learning)\n\nactions that maximize their chances of achieving defined goals. <sup>[1]</sup> Such machines may be called AIs.\n\n[High-profile applications of AI include advanced web search engines (e.g., Google Search);](https://en.wikipedia.org/wiki/Google_Search)\n\n[recommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google](https://en.wikipedia.org/wiki/Google_Assistant)\n\n[Assistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,](https://en.wikipedia.org/wiki/Computational_creativity)\n\n[ChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,](https://en.wikipedia.org/wiki/Go_(game))\n\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\n\napplications, often without being called AI because once something becomes useful enough and common\n\n[enough it's not labeled AI anymore.\"](https://en.wikipedia.org/wiki/AI_effect) <sup>[2][3]</sup>\n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\n\n[traditional goals of AI research include reasoning, knowledge representation, planning, learning, natural](https://en.wikipedia.org/wiki/Natural_language_processing)\n\n[language processing, perception, and support for robotics.](https://en.wikipedia.org/wiki/Robotics) <sup>[a]</sup> [ General intelligence—the ability to complete](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\nany task performed by a human on an at least equal level—is among the field's long-term goals. <sup>[4]</sup> To\n\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\n\n[search and mathematical optimization, formal logic, artificial neural networks, and methods based on](https://en.wikipedia.org/wiki/Artificial_neural_network)\n\n[statistics, operations research, and economics.](https://en.wikipedia.org/wiki/Economics) <sup>[b]</sup> [ AI also draws upon psychology, linguistics, philosophy,](https://en.wikipedia.org/wiki/Philosophy_of_artificial_intelligence)\n\n[neuroscience, and other fields.](https://en.wikipedia.org/wiki/Neuroscience) <sup>[5]</sup>\n\nArtificial intelligence was founded as an academic discipline in 1956, <sup>[6]</sup> and the field went through\n\n[multiple cycles of optimism throughout its history,](https://en.wikipedia.org/wiki/History_of_artificial_intelligence) <sup>[7][8]</sup> followed by periods of disappointment and loss of\n\n[funding, known as AI winters.](https://en.wikipedia.org/wiki/AI_winter) <sup>[9][10]</sup> [ Funding and interest vastly increased after 2012 when deep learning](https://en.wikipedia.org/wiki/Deep_learning)\n\noutperformed previous AI techniques. <sup>[11]</sup> [ This growth accelerated further after 2017 with the transformer](https://en.wikipedia.org/wiki/Transformer_architecture)\n\n[architecture,](https://en.wikipedia.org/wiki/Transformer_architecture) <sup>[12]</sup> and by the early 2020s many billions of dollars were being invested in AI and the field\n\n[experienced rapid ongoing progress in what has become known as the AI boom. The emergence of](https://en.wikipedia.org/wiki/AI_boom)\n\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\n\n[several unintended consequences and harms in the present and raised concerns about the risks of AI and](https://en.wikipedia.org/wiki/AI_risk)\n\n[its long-term effects in the future, prompting discussions about regulatory policies to ensure the safety](https://en.wikipedia.org/wiki/AI_safety)\n\n[and benefits of the technology.](https://en.wikipedia.org/wiki/AI_safety)\n\n### **Goals**",
- "page_start": 0,
- "page_end": 0,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "Berryhill, Jamie; Heang, Kévin Kok; Clogher, Rob; McBride, Keegan (2019). *[Hello, World:](https://oecd-opsi.org/wp-content/uploads/2019/11/AI-Report-Online.pdf)*\n\n*Artificial Intelligence and its Use in the Public Sector* [ (https://oecd-opsi.org/wp-content/uploa](https://oecd-opsi.org/wp-content/uploads/2019/11/AI-Report-Online.pdf)\n\n[ds/2019/11/AI-Report-Online.pdf) (PDF). Paris: OECD Observatory of Public Sector](https://oecd-opsi.org/wp-content/uploads/2019/11/AI-Report-Online.pdf)\n\n[Innovation. Archived (https://web.archive.org/web/20191220021331/https://oecd-opsi.org/wp](https://web.archive.org/web/20191220021331/https://oecd-opsi.org/wp-content/uploads/2019/11/AI-Report-Online.pdf)\n\n[-content/uploads/2019/11/AI-Report-Online.pdf) (PDF) from the original on 20 December](https://web.archive.org/web/20191220021331/https://oecd-opsi.org/wp-content/uploads/2019/11/AI-Report-Online.pdf)\n\n2019. Retrieved 9 August 2020.\n\nBertini, M; Del Bimbo, A; Torniai, C (2006). \"Automatic annotation and semantic retrieval of\n\nvideo sequences using multimedia ontologies\". *MM '06 Proceedings of the 14th ACM*\n\n*international conference on Multimedia* . 14th ACM international conference on Multimedia.\n\nSanta Barbara: ACM. pp. 679- 682.\n\n[Bostrom, Nick (2014). ](https://en.wikipedia.org/wiki/Nick_Bostrom) *[Superintelligence: Paths, Dangers, Strategies](https://en.wikipedia.org/wiki/Superintelligence:_Paths,_Dangers,_Strategies)* . Oxford University Press.\n\n[Bostrom, Nick (2015). \"What happens when our computers get smarter than we are?\" (https://w](https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_we_are/transcript)\n\n[ww.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_w](https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_we_are/transcript)\n\n[e_are/transcript). TED (conference). Archived (https://web.archive.org/web/2020072500571](https://web.archive.org/web/20200725005719/https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_we_are/transcript)\n\n[9/https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smart](https://web.archive.org/web/20200725005719/https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_we_are/transcript)\n\n[er_than_we_are/transcript) from the original on 25 July 2020. Retrieved 30 January 2020.](https://web.archive.org/web/20200725005719/https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_we_are/transcript)\n\n[Brooks, Rodney (10 November 2014). \"artificial intelligence is a tool, not a threat\" (https://web.a](https://web.archive.org/web/20141112130954/http://www.rethinkrobotics.com/artificial-intelligence-tool-threat)\n\n[rchive.org/web/20141112130954/http://www.rethinkrobotics.com/artificial-intelligence-tool-th](https://web.archive.org/web/20141112130954/http://www.rethinkrobotics.com/artificial-intelligence-tool-threat)\n\n[reat). Archived from the original (http://www.rethinkrobotics.com/artificial-intelligence-tool-thr](http://www.rethinkrobotics.com/artificial-intelligence-tool-threat)\n\n[eat) on 12 November 2014.](http://www.rethinkrobotics.com/artificial-intelligence-tool-threat)\n\n[Brooks, Rodney (1990). \"Elephants Don't Play Chess\" (http://people.csail.mit.edu/brooks/paper](http://people.csail.mit.edu/brooks/papers/elephants.pdf)\n\n[s/elephants.pdf) (PDF). ](http://people.csail.mit.edu/brooks/papers/elephants.pdf) *Robotics and Autonomous Systems* . **6** (1- 2): 3- 15.\n\n[CiteSeerX 10.1.1.588.7539 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.588.](https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.588.7539)\n\n[7539). doi:10.1016/S0921-8890(05)80025-9 (https://doi.org/10.1016%2FS0921-8890%280](https://doi.org/10.1016%2FS0921-8890%2805%2980025-9)\n\n[5%2980025-9). Archived (https://web.archive.org/web/20070809020912/http://people.csail.](https://web.archive.org/web/20070809020912/http://people.csail.mit.edu/brooks/papers/elephants.pdf)\n\n[mit.edu/brooks/papers/elephants.pdf) (PDF) from the original on 9 August 2007.](https://web.archive.org/web/20070809020912/http://people.csail.mit.edu/brooks/papers/elephants.pdf)\n\n[Buiten, Miriam C (2019). \"Towards Intelligent Regulation of Artificial Intelligence\" (https://doi.org/](https://doi.org/10.1017%2Ferr.2019.8)\n\n[10.1017%2Ferr.2019.8). ](https://doi.org/10.1017%2Ferr.2019.8) *European Journal of Risk Regulation* . **10** (1): 41- 59.\n\n[doi:10.1017/err.2019.8 (https://doi.org/10.1017%2Ferr.2019.8). ISSN 1867-299X (https://sea](https://search.worldcat.org/issn/1867-299X)\n\n[rch.worldcat.org/issn/1867-299X).](https://search.worldcat.org/issn/1867-299X)\n\n[Bushwick, Sophie (16 March 2023), \"What the New GPT-4 AI Can Do\" (https://www.scientificam](https://www.scientificamerican.com/article/what-the-new-gpt-4-ai-can-do/)\n\n[erican.com/article/what-the-new-gpt-4-ai-can-do/), ](https://www.scientificamerican.com/article/what-the-new-gpt-4-ai-can-do/) *Scientific American* [, archived (https://we](https://web.archive.org/web/20230822233655/https://www.scientificamerican.com/article/what-the-new-gpt-4-ai-can-do/)\n\n[b.archive.org/web/20230822233655/https://www.scientificamerican.com/article/what-the-ne](https://web.archive.org/web/20230822233655/https://www.scientificamerican.com/article/what-the-new-gpt-4-ai-can-do/)\n\n[w-gpt-4-ai-can-do/) from the original on 22 August 2023, retrieved 5 October 2024](https://web.archive.org/web/20230822233655/https://www.scientificamerican.com/article/what-the-new-gpt-4-ai-can-do/)\n\n[Butler, Samuel (13 June 1863). \"Darwin among the Machines\" (https://nzetc.victoria.ac.nz/tm/sc](https://nzetc.victoria.ac.nz/tm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html)\n\n[holarly/tei-ButFir-t1-g1-t1-g1-t4-body.html). Letters to the Editor. ](https://nzetc.victoria.ac.nz/tm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html) *[The Press](https://en.wikipedia.org/wiki/The_Press)* . Christchurch,\n\n[New Zealand. Archived (https://web.archive.org/web/20080919172551/http://www.nzetc.org/](https://web.archive.org/web/20080919172551/http://www.nzetc.org/tm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html)\n\n[tm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html) from the original on 19 September 2008.](https://web.archive.org/web/20080919172551/http://www.nzetc.org/tm/scholarly/tei-ButFir-t1-g1-t1-g1-t4-body.html)\n\nRetrieved 16 October 2014 - via Victoria University of Wellington.\n\nButtazzo, G. (July 2001). \"Artificial consciousness: Utopia or real possibility?\". *[Computer](https://en.wikipedia.org/wiki/Computer_(magazine))* . **34**\n\n[(7): 24- 30. doi:10.1109/2.933500 (https://doi.org/10.1109%2F2.933500).](https://doi.org/10.1109%2F2.933500)\n\nCambria, Erik; White, Bebo (May 2014). \"Jumping NLP Curves: A Review of Natural Language\n\nProcessing Research [Review Article]\". *IEEE Computational Intelligence Magazine* . **9** (2):\n\n[48- 57. doi:10.1109/MCI.2014.2307227 (https://doi.org/10.1109%2FMCI.2014.2307227).](https://doi.org/10.1109%2FMCI.2014.2307227)\n\n[S2CID 206451986 (https://api.semanticscholar.org/CorpusID:206451986).](https://api.semanticscholar.org/CorpusID:206451986)\n\n[Cellan-Jones, Rory (2 December 2014). \"Stephen Hawking warns artificial intelligence could](https://www.bbc.com/news/technology-30290540)\n\n[end mankind\" (https://www.bbc.com/news/technology-30290540). ](https://www.bbc.com/news/technology-30290540) *[BBC News](https://en.wikipedia.org/wiki/BBC_News)* [. Archived (http](https://web.archive.org/web/20151030054329/http://www.bbc.com/news/technology-30290540)\n\n[s://web.archive.org/web/20151030054329/http://www.bbc.com/news/technology-30290540)](https://web.archive.org/web/20151030054329/http://www.bbc.com/news/technology-30290540)\n\nfrom the original on 30 October 2015. Retrieved 30 October 2015.",
- "page_start": 53,
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- },
- {
- "text": "[Jumper, John; Evans, Richard; Pritzel, Alexander; et al. (26 August 2021). \"Highly accurate](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC8371605)\n\n[protein structure prediction with AlphaFold\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC8371605)\n\n[8371605). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC8371605) *Nature* . **596** [ (7873): 583- 589. Bibcode:2021Natur.596..583J (https://ui.adsabs.ha](https://ui.adsabs.harvard.edu/abs/2021Natur.596..583J)\n\n[rvard.edu/abs/2021Natur.596..583J). doi:10.1038/s41586-021-03819-2 (https://doi.org/10.10](https://doi.org/10.1038%2Fs41586-021-03819-2)\n\n[38%2Fs41586-021-03819-2). PMC 8371605 (https://www.ncbi.nlm.nih.gov/pmc/articles/PM](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC8371605)\n\n[C8371605). PMID 34265844 (https://pubmed.ncbi.nlm.nih.gov/34265844).](https://pubmed.ncbi.nlm.nih.gov/34265844)\n\n[S2CID 235959867 (https://api.semanticscholar.org/CorpusID:235959867).](https://api.semanticscholar.org/CorpusID:235959867)\n\n[LeCun, Yann; Bengio, Yoshua; Hinton, Geoffrey (28 May 2015). \"Deep learning\" (https://www.na](https://www.nature.com/articles/nature14539)\n\n[ture.com/articles/nature14539). ](https://www.nature.com/articles/nature14539) *Nature* . **521** [ (7553): 436- 444. Bibcode:2015Natur.521..436L](https://ui.adsabs.harvard.edu/abs/2015Natur.521..436L)\n\n[(https://ui.adsabs.harvard.edu/abs/2015Natur.521..436L). doi:10.1038/nature14539 (https://](https://doi.org/10.1038%2Fnature14539)\n\n[doi.org/10.1038%2Fnature14539). PMID 26017442 (https://pubmed.ncbi.nlm.nih.gov/26017](https://pubmed.ncbi.nlm.nih.gov/26017442)\n\n[442). S2CID 3074096 (https://api.semanticscholar.org/CorpusID:3074096). Archived (https://](https://web.archive.org/web/20230605235832/https://www.nature.com/articles/nature14539)\n\n[web.archive.org/web/20230605235832/https://www.nature.com/articles/nature14539) from](https://web.archive.org/web/20230605235832/https://www.nature.com/articles/nature14539)\n\nthe original on 5 June 2023. Retrieved 19 June 2023.\n\nLeffer, Lauren, \"The Risks of Trusting AI: We must avoid humanizing machine-learning models\n\nused in scientific research\", *[Scientific American](https://en.wikipedia.org/wiki/Scientific_American)* , vol. 330, no. 6 (June 2024), pp. 80- 81.\n\n[Lepore, Jill, \"The Chit-Chatbot: Is talking with a machine a conversation?\", ](https://en.wikipedia.org/wiki/Jill_Lepore) *[The New Yorker](https://en.wikipedia.org/wiki/The_New_Yorker)* , 7\n\nOctober 2024, pp. 12- 16.\n\n[Maschafilm (2010). \"Content: Plug & Pray Film - Artificial Intelligence - Robots\" (http://www.plu](http://www.plugandpray-film.de/en/content.html)\n\n[gandpray-film.de/en/content.html). ](http://www.plugandpray-film.de/en/content.html) *plugandpray-film.de* [. Archived (https://web.archive.org/w](https://web.archive.org/web/20160212040134/http://www.plugandpray-film.de/en/content.html)\n\n[eb/20160212040134/http://www.plugandpray-film.de/en/content.html) from the original on 12](https://web.archive.org/web/20160212040134/http://www.plugandpray-film.de/en/content.html)\n\nFebruary 2016.\n\n[Marcus, Gary, \"Artificial Confidence: Even the newest, buzziest systems of artificial general](https://en.wikipedia.org/wiki/Marcus,_Gary)\n\nintelligence are stymmied by the same old problems\", *[Scientific American](https://en.wikipedia.org/wiki/Scientific_American)* , vol. 327, no. 4\n\n(October 2022), pp. 42- 45.\n\nMitchell, Melanie (2019). *Artificial intelligence: a guide for thinking humans* . New York: Farrar,\n\n[Straus and Giroux. ISBN 978-0-3742-5783-5.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-3742-5783-5)\n\n[Mnih, Volodymyr; Kavukcuoglu, Koray; Silver, David; et al. (26 February 2015). \"Human-level](https://www.nature.com/articles/nature14236)\n\n[control through deep reinforcement learning\" (https://www.nature.com/articles/nature14236).](https://www.nature.com/articles/nature14236)\n\n*Nature* . **518** [ (7540): 529- 533. Bibcode:2015Natur.518..529M (https://ui.adsabs.harvard.edu/](https://ui.adsabs.harvard.edu/abs/2015Natur.518..529M)\n\n[abs/2015Natur.518..529M). doi:10.1038/nature14236 (https://doi.org/10.1038%2Fnature142](https://doi.org/10.1038%2Fnature14236)\n\n[36). PMID 25719670 (https://pubmed.ncbi.nlm.nih.gov/25719670). S2CID 205242740 (http](https://api.semanticscholar.org/CorpusID:205242740)\n\n[s://api.semanticscholar.org/CorpusID:205242740). Archived (https://web.archive.org/web/20](https://web.archive.org/web/20230619055525/https://www.nature.com/articles/nature14236)\n\n[230619055525/https://www.nature.com/articles/nature14236) from the original on 19 June](https://web.archive.org/web/20230619055525/https://www.nature.com/articles/nature14236)\n\n[2023. Retrieved 19 June 2023. Introduced DQN, which produced human-level performance](https://en.wikipedia.org/wiki/Deep_Q-learning)\n\non some Atari games.\n\n[Press, Eyal, \"In Front of Their Faces: Does facial-recognition technology lead police to ignore](https://en.wikipedia.org/wiki/Eyal_Press)\n\ncontradictory evidence?\", *[The New Yorker](https://en.wikipedia.org/wiki/The_New_Yorker)* , 20 November 2023, pp. 20- 26.\n\n[\"Robots could demand legal rights\" (http://news.bbc.co.uk/2/hi/technology/6200005.stm). ](http://news.bbc.co.uk/2/hi/technology/6200005.stm) *BBC*\n\n*News* [. 21 December 2006. Archived (https://web.archive.org/web/20191015042628/http://ne](https://web.archive.org/web/20191015042628/http://news.bbc.co.uk/2/hi/technology/6200005.stm)\n\n[ws.bbc.co.uk/2/hi/technology/6200005.stm) from the original on 15 October 2019. Retrieved](https://web.archive.org/web/20191015042628/http://news.bbc.co.uk/2/hi/technology/6200005.stm)\n\n3 February 2011.\n\n[Roivainen, Eka, \"AI's IQ: ChatGPT aced a [standard intelligence] test but showed that](https://en.wikipedia.org/wiki/ChatGPT)\n\n[intelligence cannot be measured by IQ alone\", ](https://en.wikipedia.org/wiki/IQ) *[Scientific American](https://en.wikipedia.org/wiki/Scientific_American)* , vol. 329, no. 1\n\n[(July/August 2023), p. 7. \"Despite its high IQ, ChatGPT fails at tasks that require real](https://en.wikipedia.org/wiki/ChatGPT)\n\nhumanlike reasoning or an understanding of the physical and social world.... ChatGPT\n\nseemed unable to reason logically and tried to rely on its vast database of... facts derived\n\nfrom online texts.\"",
- "page_start": 68,
- "page_end": 68,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Glossary of artificial intelligence - List of definitions of terms and concepts commonly used](https://en.wikipedia.org/wiki/Glossary_of_artificial_intelligence)\n\nin the study of artificial intelligence\n\n[Intelligence amplification - Use of information technology to augment human intelligence](https://en.wikipedia.org/wiki/Intelligence_amplification)\n\n[Intelligent agent - Software agent which acts autonomously](https://en.wikipedia.org/wiki/Intelligent_agent)\n\n[Mind uploading - Hypothetical process of digitally emulating a brain](https://en.wikipedia.org/wiki/Mind_uploading)\n\n[Organoid intelligence - Use of brain cells and brain organoids for intelligent computing](https://en.wikipedia.org/wiki/Organoid_intelligence)\n\n[Robotic process automation - Form of business process automation technology](https://en.wikipedia.org/wiki/Robotic_process_automation)\n\n[Wetware computer - Computer composed of organic material](https://en.wikipedia.org/wiki/Wetware_computer)\n\na. This list of intelligent traits is based on the topics covered by the major AI textbooks,\n\nincluding: Russell & Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel\n\n(1998) and Nilsson (1998)\n\nb. This list of tools is based on the topics covered by the major AI textbooks, including: Russell\n\n& Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel (1998) and\n\nNilsson (1998)\n\n[c. It is among the reasons that expert systems proved to be inefficient for capturing](https://en.wikipedia.org/wiki/Expert_system)\n\nknowledge. <sup>[30][31]</sup>\n\n[d. \"Rational agent\" is general term used in economics, philosophy and theoretical artificial](https://en.wikipedia.org/wiki/Philosophy)\n\nintelligence. It can refer to anything that directs its behavior to accomplish goals, such as a\n\nperson, an animal, a corporation, a nation, or in the case of AI, a computer program.\n\n[e. Alan Turing discussed the centrality of learning as early as 1950, in his classic paper](https://en.wikipedia.org/wiki/Alan_Turing)\n\n[\"Computing Machinery and Intelligence\".](https://en.wikipedia.org/wiki/Computing_Machinery_and_Intelligence) <sup>[42]</sup> In 1956, at the original Dartmouth AI summer\n\n[conference, Ray Solomonoff wrote a report on unsupervised probabilistic machine learning:](https://en.wikipedia.org/wiki/Ray_Solomonoff)\n\n\"An Inductive Inference Machine\". <sup>[43]</sup>\n\n[f. See AI winter § Machine translation and the ALPAC report of 1966](https://en.wikipedia.org/wiki/AI_winter#Machine_translation_and_the_ALPAC_report_of_1966)\n\ng. Compared with symbolic logic, formal Bayesian inference is computationally expensive. For\n\n[inference to be tractable, most observations must be conditionally independent of one](https://en.wikipedia.org/wiki/Conditionally_independent)\n\n[another. AdSense uses a Bayesian network with over 300 million edges to learn which ads](https://en.wikipedia.org/wiki/AdSense)\n\nto serve. <sup>[93]</sup>\n\nh. Expectation- maximization, one of the most popular algorithms in machine learning, allows\n\n[clustering in the presence of unknown latent variables.](https://en.wikipedia.org/wiki/Latent_variables) <sup>[95]</sup>\n\ni. Some form of deep neural networks (without a specific learning algorithm) were described\n\n[by: Warren S. McCulloch and Walter Pitts (1943)](https://en.wikipedia.org/wiki/Walter_Pitts) <sup>[115]</sup> [ Alan Turing (1948);](https://en.wikipedia.org/wiki/Alan_Turing) <sup>[116]</sup> [ Karl Steinbuch](https://en.wikipedia.org/wiki/Karl_Steinbuch)\n\n[and Roger David Joseph (1961).](https://en.wikipedia.org/w/index.php?title=Roger_David_Joseph&action=edit&redlink=1) <sup>[117]</sup> Deep or recurrent networks that learned (or used\n\n[gradient descent) were developed by: Frank Rosenblatt(1957);](https://en.wikipedia.org/wiki/Frank_Rosenblatt) <sup>[116]</sup> [ Oliver Selfridge](https://en.wikipedia.org/wiki/Oliver_Selfridge)\n\n(1959); <sup>[117]</sup> [ Alexey Ivakhnenko and Valentin Lapa (1965);](https://en.wikipedia.org/w/index.php?title=Valentin_Lapa&action=edit&redlink=1) <sup>[118]</sup> [ Kaoru Nakano (1971);](https://en.wikipedia.org/w/index.php?title=Kaoru_Nakano&action=edit&redlink=1) <sup>[119]</sup>\n\n[Shun-Ichi Amari (1972);](https://en.wikipedia.org/wiki/Shun-Ichi_Amari) <sup>[119]</sup> [ John Joseph Hopfield (1982).](https://en.wikipedia.org/wiki/John_Joseph_Hopfield) <sup>[119]</sup> Precursors to\n\n[backpropagation were developed by: Henry J. Kelley (1960);](https://en.wikipedia.org/wiki/Henry_J._Kelley) <sup>[116]</sup> [ Arthur E. Bryson](https://en.wikipedia.org/wiki/Arthur_E._Bryson)\n\n(1962); <sup>[116]</sup> [ Stuart Dreyfus (1962);](https://en.wikipedia.org/wiki/Stuart_Dreyfus) <sup>[116]</sup> [ Arthur E. Bryson and Yu-Chi Ho (1969);](https://en.wikipedia.org/wiki/Yu-Chi_Ho) <sup>[116]</sup>\n\n[Backpropagation was independently developed by: Seppo Linnainmaa (1970);](https://en.wikipedia.org/wiki/Seppo_Linnainmaa) <sup>[120]</sup> [ Paul](https://en.wikipedia.org/wiki/Paul_Werbos)\n\n[Werbos (1974).](https://en.wikipedia.org/wiki/Paul_Werbos) <sup>[116]</sup>\n\n[j. Geoffrey Hinton said, of his work on neural networks in the 1990s, \"our labeled datasets](https://en.wikipedia.org/wiki/Geoffrey_Hinton)\n\nwere thousands of times too small. [And] our computers were millions of times too slow.\" <sup>[121]</sup>\n\n### **Explanatory notes**",
- "page_start": 28,
- "page_end": 28,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Lee, Timothy B. (22 August 2014). \"Will artificial intelligence destroy humanity? Here are 5](https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[reasons not to worry\" (https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worr](https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[y-about-super-intelligent-computers-taking). ](https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking) *Vox* [. Archived (https://web.archive.org/web/201](https://web.archive.org/web/20151030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[51030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-s](https://web.archive.org/web/20151030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[uper-intelligent-computers-taking) from the original on 30 October 2015. Retrieved](https://web.archive.org/web/20151030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n30 October 2015.\n\n[Lenat, Douglas; Guha, R. V. (1989). ](https://en.wikipedia.org/wiki/Douglas_Lenat) *Building Large Knowledge-Based Systems* . Addison-\n\n[Wesley. 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- "page_start": 62,
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- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Finding a provably correct or optimal solution is intractable for many important problems.](https://en.wikipedia.org/wiki/Intractability_(complexity)) <sup>[15]</sup> Soft\n\n[computing is a set of techniques, including genetic algorithms, fuzzy logic and neural networks, that are](https://en.wikipedia.org/wiki/Fuzzy_logic)\n\ntolerant of imprecision, uncertainty, partial truth and approximation. Soft computing was introduced in\n\nthe late 1980s and most successful AI programs in the 21st century are examples of soft computing with\n\nneural networks.\n\nAI researchers are divided as to whether to pursue the goals of artificial general intelligence and\n\n[superintelligence directly or to solve as many specific problems as possible (narrow AI) in hopes these](https://en.wikipedia.org/wiki/Superintelligence)\n\nsolutions will lead indirectly to the field's long-term goals. <sup>[378][379]</sup> General intelligence is difficult to\n\ndefine and difficult to measure, and modern AI has had more verifiable successes by focusing on specific\n\nproblems with specific solutions. The sub-field of artificial general intelligence studies this area\n\nexclusively.\n\n[The philosophy of mind does not know whether a machine can have a mind, consciousness and mental](https://en.wikipedia.org/wiki/Philosophy_of_mind)\n\n[states, in the same sense that human beings do. This issue considers the internal experiences of the](https://en.wikipedia.org/wiki/Philosophy_of_mind)\n\nmachine, rather than its external behavior. Mainstream AI research considers this issue irrelevant because\n\nit does not affect the goals of the field: to build machines that can solve problems using intelligence.\n\n[Russell and Norvig add that \"[t]he additional project of making a machine conscious in exactly the way](https://en.wikipedia.org/wiki/Norvig)\n\nhumans are is not one that we are equipped to take on.\" <sup>[380]</sup> However, the question has become central to\n\n[the philosophy of mind. It is also typically the central question at issue in artificial intelligence in fiction.](https://en.wikipedia.org/wiki/Artificial_intelligence_in_fiction)\n\n[David Chalmers identified two problems in understanding the mind, which he named the \"hard\" and](https://en.wikipedia.org/wiki/David_Chalmers)\n\n\"easy\" problems of consciousness. <sup>[381]</sup> The easy problem is understanding how the brain processes\n\nsignals, makes plans and controls behavior. The hard problem is explaining how this *feels* or why it\n\nshould feel like anything at all, assuming we are right in thinking that it truly does feel like something\n\n[(Dennett's consciousness illusionism says this is an illusion). While human information processing is easy](https://en.wikipedia.org/wiki/Information_processing_(psychology))\n\n[to explain, human subjective experience is difficult to explain. For example, it is easy to imagine a color-](https://en.wikipedia.org/wiki/Subjective_experience)\n\nblind person who has learned to identify which objects in their field of view are red, but it is not clear\n\nwhat would be required for the person to *know what red looks like* . <sup>[382]</sup>\n\n[Computationalism is the position in the philosophy of mind that the human mind is an information](https://en.wikipedia.org/wiki/Philosophy_of_mind)\n\nprocessing system and that thinking is a form of computing. Computationalism argues that the\n\nrelationship between mind and body is similar or identical to the relationship between software and\n\n[hardware and thus may be a solution to the mind- body problem. This philosophical position was inspired](https://en.wikipedia.org/wiki/Mind%E2%80%93body_problem)\n\nby the work of AI researchers and cognitive scientists in the 1960s and was originally proposed by\n\n[philosophers Jerry Fodor and Hilary Putnam.](https://en.wikipedia.org/wiki/Hilary_Putnam) <sup>[383]</sup>\n\n[Philosopher John Searle characterized this position as \"strong AI\": \"The appropriately programmed](https://en.wikipedia.org/wiki/Strong_AI_hypothesis)\n\ncomputer with the right inputs and outputs would thereby have a mind in exactly the same sense human\n\nbeings have minds.\" <sup>[ac]</sup> [ Searle challenges this claim with his Chinese room argument, which attempts to](https://en.wikipedia.org/wiki/Chinese_room)\n\n##### **Narrow vs. general AI**\n\n#### **Machine consciousness, sentience, and mind**\n\n##### **Consciousness**\n\n##### **Computationalism and functionalism**",
- "page_start": 25,
- "page_end": 25,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "The Turing test can provide some\n\nevidence of intelligence, but it\n\npenalizes non-human intelligent\n\nbehavior. <sup>[361]</sup>\n\nU.S. Computer Science PhD graduates have specialized in \"AI\". <sup>[353]</sup> About 800,000 \"AI\"-related U.S. job\n\nopenings existed in 2022. <sup>[354]</sup> [ According to PitchBook research, 22% of newly funded startups in 2024](https://en.wikipedia.org/wiki/Startup_company)\n\nclaimed to be AI companies. <sup>[355]</sup>\n\nPhilosophical debates have historically sought to determine the nature of intelligence and how to make\n\nintelligent machines. <sup>[356]</sup> Another major focus has been whether machines can be conscious, and the\n\nassociated ethical implications. <sup>[357]</sup> Many other topics in philosophy are relevant to AI, such as\n\n[epistemology and free will.](https://en.wikipedia.org/wiki/Free_will) <sup>[358]</sup> Rapid advancements have intensified public discussions on the\n\n[philosophy and ethics of AI.](https://en.wikipedia.org/wiki/Ethics_of_AI) <sup>[357]</sup>\n\n[Alan Turing wrote in 1950 \"I propose to consider the question 'can machines think'?\"](https://en.wikipedia.org/wiki/Alan_Turing) <sup>[359]</sup> He advised\n\nchanging the question from whether a machine \"thinks\", to \"whether or not it is possible for machinery to\n\nshow intelligent behaviour\". <sup>[359]</sup> He devised the Turing test, which measures the ability of a machine to\n\nsimulate human conversation. <sup>[323]</sup> Since we can only observe the behavior of the machine, it does not\n\n[matter if it is \"actually\" thinking or literally has a \"mind\". Turing notes that we can not determine these](https://en.wikipedia.org/wiki/Problem_of_other_minds)\n\n[things about other people but \"it is usual to have a polite convention that everyone thinks.\"](https://en.wikipedia.org/wiki/Problem_of_other_minds) <sup>[360]</sup>\n\n[Russell and Norvig agree with Turing that intelligence must be](https://en.wikipedia.org/wiki/Norvig)\n\ndefined in terms of external behavior, not internal structure. <sup>[1]</sup>\n\nHowever, they are critical that the test requires the machine to\n\n[imitate humans. \"Aeronautical engineering texts\", they wrote, \"do](https://en.wikipedia.org/wiki/Aeronautics)\n\nnot define the goal of their field as making 'machines that fly so\n\n[exactly like pigeons that they can fool other pigeons.'\"](https://en.wikipedia.org/wiki/Pigeon) <sup>[362]</sup> AI\n\nfounder [John ](https://en.wikipedia.org/wiki/John_McCarthy_(computer_scientist)) McCarthy agreed, writing that \"Artificial\n\nintelligence is not, by definition, simulation of human\n\nintelligence\". <sup>[363]</sup>\n\nMcCarthy defines intelligence as \"the computational part of the\n\nability to achieve goals in the world\". <sup>[364]</sup> Another AI founder,\n\n[Marvin Minsky similarly describes it as \"the ability to solve hard](https://en.wikipedia.org/wiki/Marvin_Minsky)\n\nproblems\". <sup>[365]</sup> The leading AI textbook defines it as the study of\n\nagents that perceive their environment and take actions that maximize their chances of achieving defined\n\ngoals. <sup>[1]</sup> These definitions view intelligence in terms of well-defined problems with well-defined\n\nsolutions, where both the difficulty of the problem and the performance of the program are direct\n\nmeasures of the \"intelligence\" of the machine—and no other philosophical discussion is required, or may\n\nnot even be possible.\n\nAnother definition has been adopted by Google, <sup>[366]</sup> a major practitioner in the field of AI. This definition\n\nstipulates the ability of systems to synthesize information as the manifestation of intelligence, similar to\n\nthe way it is defined in biological intelligence.\n\n### **Philosophy**\n\n#### **Defining artificial intelligence**",
- "page_start": 23,
- "page_end": 23,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with](https://en.wikipedia.org/wiki/Hallucination_(artificial_intelligence))\n\n[RLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task](https://en.wikipedia.org/wiki/Chatbot)\n\nin simple text. <sup>[122][123]</sup>\n\n[Current models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and](https://en.wikipedia.org/wiki/Microsoft_Copilot)\n\n[LLaMA.](https://en.wikipedia.org/wiki/LLaMA) <sup>[124]</sup> [ Multimodal GPT models can process different types of data (modalities) such as images,](https://en.wikipedia.org/wiki/Modality_(human%E2%80%93computer_interaction))\n\nvideos, sound, and text. <sup>[125]</sup>\n\n[In the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific](https://en.wikipedia.org/wiki/Graphics_processing_unit)\n\n[enhancements and used with specialized TensorFlow software had replaced previously used central](https://en.wikipedia.org/wiki/Central_processing_unit)\n\n[processing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine](https://en.wikipedia.org/wiki/Machine_learning)\n\n[learning models' training.](https://en.wikipedia.org/wiki/Machine_learning) <sup>[126]</sup> [ Specialized programming languages such as Prolog were used in early AI](https://en.wikipedia.org/wiki/Prolog)\n\nresearch, <sup>[127]</sup> [ but general-purpose programming languages like Python have become predominant.](https://en.wikipedia.org/wiki/Python_(programming_language)) <sup>[128]</sup>\n\n[The transistor density in integrated circuits has been observed to roughly double every 18 months—a](https://en.wikipedia.org/wiki/Integrated_circuit)\n\n[trend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it.](https://en.wikipedia.org/wiki/Gordon_Moore)\n\n[Improvements in GPUs have been even faster.](https://en.wikipedia.org/wiki/GPUs) <sup>[129]</sup>\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including:\n\n[search engines (such as Google Search), targeting online advertisements, recommendation systems](https://en.wikipedia.org/wiki/Recommendation_systems)\n\n[(offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense,](https://en.wikipedia.org/wiki/AdSense)\n\n[Facebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and](https://en.wikipedia.org/wiki/Advanced_driver-assistance_system)\n\n[self-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial](https://en.wikipedia.org/wiki/Facial_recognition_system)\n\n[recognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used](https://en.wikipedia.org/wiki/Image_labeling)\n\n[by Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[officer (CAO).](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[The application of AI in medicine and medical research has the potential to increase patient care and](https://en.wikipedia.org/wiki/Medical_research)\n\nquality of life. <sup>[130]</sup> [ Through the lens of the Hippocratic Oath, medical professionals are ethically](https://en.wikipedia.org/wiki/Hippocratic_Oath)\n\ncompelled to use AI, if applications can more accurately diagnose and treat patients. <sup>[131][132]</sup>\n\n[For medical research, AI is an important tool for processing and integrating big data. This is particularly](https://en.wikipedia.org/wiki/Big_data)\n\n[important for organoid and tissue engineering development which use microscopy imaging as a key](https://en.wikipedia.org/wiki/Microscopy)\n\ntechnique in fabrication. <sup>[133]</sup> It has been suggested that AI can overcome discrepancies in funding\n\nallocated to different fields of research. <sup>[133]</sup> New AI tools can deepen the understanding of biomedically\n\n[relevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours](https://en.wikipedia.org/wiki/AlphaFold_2)\n\n[rather than months, the 3D structure of a protein.](https://en.wikipedia.org/wiki/Protein_structure) <sup>[134]</sup> In 2023, it was reported that AI-guided drug\n\ndiscovery helped find a class of antibiotics capable of killing two different types of drug-resistant\n\nbacteria. <sup>[135]</sup> [ In 2024, researchers used machine learning to accelerate the search for Parkinson's disease](https://en.wikipedia.org/wiki/Parkinson%27s_disease)\n\n#### **Hardware and software**\n\n### **Applications**\n\n#### **Health and medicine**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "wikipedia3.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "wikipedia3.pdf",
- "query": "Where can I find the Inspect tool to evaluate the safety of our models?",
- "target_page": 21,
- "target_passage": "The UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations available under a MIT open-source licence which is freely available on GitHub",
- "chunk_present": {
- "presence": false,
- "index": null
- }
- },
- "top_chunk": [
- {
- "text": "By clicking on the “ **Data->Licensing Assistant** ” link in the main menu, the Licence Assistant is opened\n\nin a new window, displaying relevant information of all supported licences by the tool.",
- "page_start": 34,
- "page_end": 34,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "Portal Version 4.3 - User Manual\n\nV1.0\n\nOctober 2019",
- "page_start": 0,
- "page_end": 0,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "#### **3.2.6 How to view licensing information**\n\nLicensing information is available for all datasets associated with common licences, which are\n\nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a\n\ndataset page.\n\nBy clicking on the **licence name** (here: cc-by), the Licence Assistant tool is opened in a new window,\n\ndisplaying relevant information for this particular licence.",
- "page_start": 33,
- "page_end": 33,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "## *Figure 8 - Error message dialog.*",
- "page_start": 41,
- "page_end": 41,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "**Table 33: EU Directives on Occupational Safety and Health**",
- "page_start": 119,
- "page_end": 119,
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
- },
- {
- "text": "#### **3.1.9 How to Search for Datasets by Keyword**\n\n(please refer to section 3.2.1)",
- "page_start": 24,
- "page_end": 24,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "## *Figure 5 - Feature Info tool.*\n\nThe different displayed layers can be examined using the “Legend” tool. If the external service\n\nprovides legend graphics, the user can interpret the given symbology and temporarily disable the\n\ndisplay of layers (see Figure 6 ).\n\n## *Figure 6 - Legend tool.*",
- "page_start": 39,
- "page_end": 39,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
- },
- {
- "text": "Chapter 7. Volumes\n\n#### **7.5.2 Listing volume throttles**\n\nTo view volume throttles, from the **Volumes** → **Volumes** menu, click the **Actions** menu and\n\nselect **View All Throttles** , as shown in Figure 7-29.\n\n*Figure 7-29 View all throttles*\n\nThe **View All Throttles** menu shows all volume throttles defined in the system, as shown in\n\nFigure 7-30.\n\n*Figure 7-30 View volume throttles*",
- "page_start": 296,
- "page_end": 296,
- "source_file": "sg247938.pdf"
- },
- {
- "text": "Figure 8.2 Viewing the New Instances in the Individuals by Class tab",
- "page_start": 65,
- "page_end": 65,
- "source_file": "Protege5NewOWLPizzaTutorialV3.pdf"
- },
- {
- "text": "###### Financial Information",
- "page_start": 31,
- "page_end": 31,
- "source_file": "NYSE_HIG_2001.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "legal2_opengouvernementlicense.pdf",
- "query": "What was the age category of most new opiate/crack users during the crime peak in the mid-1990s?",
- "target_page": 9,
- "target_passage": "mplying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s",
- "chunk_present": {
- "presence": true,
- "index": 3
- }
- },
- "top_chunk": [
- {
- "text": "3\n\n### Summary\n\n#### **Executive summary**\n\nThis paper uses a range of datasets and methodologies to:\n\n- obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013; <sup>1</sup>\n\n- examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n- It is estimated that around 5,000 to 8,000 individuals started using opiates or crack- cocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n\n- Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent <sup>2</sup> . Furthermore, of the new positive testers in 2013, only 721 were aged 18- 24. <sup>3</sup> Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime - those who have the potential to inflict most societal harm - has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n\n- In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n\n- However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n\n- Analysis also revealed some possible changes in characteristics of the new opiate/crack- cocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have\n\n1 At the time of writing, data was unavailable for the period after November 2013. 2 It is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data. 3 787 if adjusted for the missing month.",
- "page_start": 2,
- "page_end": 2,
- "source_file": "legal2_opengouvernementlicense.pdf"
- },
- {
- "text": "### Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that - mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n- The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n\n- This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n\n- The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.",
- "page_start": 29,
- "page_end": 29,
- "source_file": "legal2_opengouvernementlicense.pdf"
- },
- {
- "text": "**Figure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005 and 2013, by age of individual at first presentation.**\n\nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age profile throughout. Rises in average age of initiation have also been reported recently in cohorts of Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible explanations.\n\n- There is a genuine shift towards new initiates being older, and for them to present to treatment much faster than in previous years.\n\n- There is a consistent, but small number of individuals who mis-report their age of onset when attending treatment i.e. who report that they have only been using opiates/crack for a short period when in fact they have been using for a far longer period, and that this is starting to really bias the numbers for recent cohorts because attendees from the original epidemic are becoming smaller.\n\nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of older initiates, although mis-reporting may also explain that phenomenon. Either way though, as this analysis has made clear throughout, absolute numbers of new OCUs appear to be small - probably fewer than 10,000 per annum and the numbers of those involved with crime will be smaller still. In addition, despite a flattening in the probable trend in new users, there is currently no sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to resume, though clearly it remains important to monitor the situation.",
- "page_start": 28,
- "page_end": 28,
- "source_file": "legal2_opengouvernementlicense.pdf"
- },
- {
- "text": "9\n\ncocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled `positive-for-both’).\n\nThe reason for highlighting only the opiates-only and the `positive-for-both’ test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), *powder-* cocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\n**Table 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.**\n\nOpiate/opiate+cocaine positive tests in England 2004- 2013 (all positive tests including repeats by the same individual)\n\nAge Year of birth\n\n| Number of tests | 364,537 | Number of tests | 364,537 |\n|:---|---:|:---|---:|\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s. <sup>9</sup> Given evidence suggesting that the average age of initiation for opiate/crack use is around 18- 20 (Millar *et al* ., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born\n\n9 Note that the dataset counts tests, not unique individuals, so the same person can appear more than once.",
- "page_start": 8,
- "page_end": 8,
- "source_file": "legal2_opengouvernementlicense.pdf"
- },
- {
- "text": "**Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or positive-for-both as a proportion of all individuals first testing positive in that year.**\n\n| Year of first test | Age 18 - 24 | Age 25 - 29 | Age 30 - 34 | Age 35 - 39 | Age 40 over | Total |\n|---:|:---|:---|:---|:---|:---|:---|\n| 2004 | 26% | 27% | 24% | 16% | 7% | 100% |\n| 2005 | 23% | 27% | 24% | 17% | 9% | 100% |\n| 2006 | 25% | 26% | 22% | 17% | 11% | 100% |\n| 2007 | 24% | 25% | 21% | 16% | 13% | 100% |\n| 2008 | 21% | 23% | 21% | 18% | 16% | 100% |\n| 2009 | 23% | 22% | 20% | 17% | 18% | 100% |\n| 2010 | 22% | 21% | 20% | 17% | 20% | 100% |\n| 2011 | 22% | 19% | 20% | 16% | 22% | 100% |\n| 2012 | 19% | 20% | 22% | 17% | 23% | 100% |\n| 2013 | 17% | 20% | 22% | 16% | 25% | 100% |\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the number and the proportion of new positive testers. However, the proportion of those aged 40+ has consistently risen and now constitutes the largest group of all new individuals testing positive.\n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very different age profile to that we would expect from a cohort of recent initiates. It is far older, suggesting again that many of those are actually pre-existing users only tested (positively) for the first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence demonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to be longer-term users who have only been first arrested in 2013, rather than genuinely new OCUs.\n\nIn the next section, analysis will examine whether there has been a possible shift towards an older profile amongst new initiates. But even taking this into account, it is unlikely that the majority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 below, which compares the age-of-initiation curve from Figure 11 (in the next section) to the 2013 ‘new-individuals’ cohort in the DIP data.",
- "page_start": 19,
- "page_end": 19,
- "source_file": "legal2_opengouvernementlicense.pdf"
- },
- {
- "text": "4\n\ninitiated use at an older age. Currently it is not possible to determine whether this is a reporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users.\n\n- The report has several important policy implications. Even though numbers of new initiates involved with crime have dropped to the low thousands, putting downward pressure on crime, identification and early diversion to treatment remains paramount. Frontier Economics have estimated that the average <sup>4</sup> lifetime crime cost of an injecting drug user is £445,000, so the potential for social harm - even from a small number of individuals - remains large and potentially long-lasting. This means local areas need to manage both the (relatively large) stock of current users, and the (much smaller) flow of new initiates, whose treatment needs may be different. There is no evidence of any new epidemic in this country, but given the impact of the epidemic of the 80s and early 90s on crime, ongoing monitoring of recent trends is required to spot early signs of any emerging problems.\n\n#### **Aims and Methodology**\n\nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use in driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates exist of the *total* number of opiate/crack-cocaine users (OCUs) in England (Hay *et al* ., 2013), there are no estimates for the number of *new* OCUs each year (throughout this paper the number of new OCUs is also referred to as **‘incidence’** ). This is important for three main reasons.\n\ni) **Stock and flows:** Simply knowing the stock of OCUs tells us nothing about the flows in and out - i.e. if the stock were constant each year that could mean that no one starts using these drugs and no one quits or it could mean *all* existing users quit but that they are wholly replaced by new users, or any similar scenario in between. Clearly the policy response would need to be quite different for each of these cases, so knowing the true situation is important. ii) **Early-warning system:** Research by the Home Office and others has shown that there is generally a lag between the start of a heroin/crack epidemic and the point at which it becomes visible on administrative datasets. Closing this gap is important for policy, and part of the reason for its existence is the lack of incidence estimates. Evidence also suggests epidemics spread from area to area, so it is important to monitor local as well as national trends. iii) **The social harm that can arise:** Though research suggests that not all OCUs resort to acquisitive crime to help finance their drug use, numerous studies show that a proportion consistently do and these individuals can be extremely prolific offenders (Morgan, 2014). One study by Frontier Economics estimated that the average lifetime cost to society of an injecting drug user was £445,000 from crime alone. Hence analysing and identifying new OCUs is a policy priority (Frontier Economics, 2010).\n\nThere are two inter-connected reasons why regular national incidence estimates have not been attempted before <sup>5</sup> . The first is that data on this issue are sparse given the ‘hidden’ nature of opiate/crack markets and that date of first use is not something that gets recorded at the moment it actually occurs. The second reason, which flows from the first, is that current\n\n4 The average is useful, but hides the fact that offending within the opiate/crack population is highly skewed with a few individuals responsible for the majority of crime and many individuals manage to use heroin and crack without resorting to acquisitive crime at all (Morgan, 2014). 5 Though regular national-level estimates have not been attempted, studies have estimated incidence at various times and at various different levels of geography, see for example: De Angelis *et al* ., 2004, Millar *et al* ., 2001 and Hickman *et al* ., 2001.",
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- "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of *new* users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay *et al* ., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\n**Figure 2: Year of birth distribution for all opiate-only/positive-for-both tests.**\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.",
- "page_start": 9,
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- "text": "between March 2011 and March 2015 can also be seen in the raw numbers for total new OCU treatment presentations. <sup>22</sup>\n\n**Figure 10: New treatment presentations for opiate/crack use.**\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for opiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a decrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics have been missed before (see Morgan, 2014), and the potential social harm that a fresh increase in new OCUs could cause, further analysis was conducted on the most recent data to try and determine whether the apparent flattening in trends was actually caused by the early stages of a significant surge in new users.\n\nThe treatment data was broken down by age to check whether the slight fall in total new presentations in 2014/15 masked an increase in younger treatment presentations. This showed instead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to 3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a faster rate over the last year than for those aged over-25. Furthermore, separate statistics produced for those in treatment aged 18-and-under also show a fall in aggregate numbers in treatment for opiates and crack.\n\nWe also looked at trends at the local level, given that previous epidemics have started in very specific areas and have taken several years to spread nationally. This means that the start of an epidemic can be hidden in the national data because it has not reached enough areas to register.\n\n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment before. So unlike our definition of ‘new’ elsewhere it includes individuals who have been to treatment previously.",
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- "text": "## **New opiate and crack-cocaine users: characteristics and trends**\n\nResearch Report 90\n\nNick Morgan, Daniel Heap, Amy Elliott, Tim Millar\n\nJanuary 2016",
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- "text": "cent (25,000/150,000). <sup>14</sup> It is then possible to model how many of the original population of crime-involved OCUs would be likely to test positive in any given year. For example, if there were 150,000 crime-involved OCUs in 2008, the chances of one of that group having a first test in 2013, providing they remained a crime-involved OCU throughout the period 2004- 2013 is given by:\n\n*(1 - probability of arrest)^8 = chance of not getting caught between 2004 and 2012*\n\nMultiplied by:\n\n*Probability that they do get arrested in 2013*\n\nThis can then be calculated for a range of plausible values for the initial number of OCUs, and hence range of arrest rates, to give a range of plausible values for the number of *new* testers in 2013 who were actually longer-term users. The results of this modelling suggest that we would expect about 2,400- 7,000 new positive tests from individuals who are actually longer-term OCUs. <sup>15</sup> So the fact we only see 4,281 in the real data suggests that genuinely new initiates may be a minority within this figure, as many (probably most) will be from the original cohort.\n\nThis is further reinforced by the next set of analyses, which break down the data on new positive tests per year by age. Table 8 shows how numbers of unique individuals testing positive for the first time break down by year and by age group. The age breakdowns are shown first in absolute numbers and in the second table as a proportion of all those with a first test in that year.\n\n**Table 8: Unique individuals testing positive for opiates-only or positive-for-both, by age and by year of first test.**\n\n| Year of first test | Age 18-24 | Age 25-29 | Age 30-34 | Age 35-39 | Age 40 over | Total |\n|:---|:---|:---|:---|:---|:---|:---|\n| 2004 | 3,150 | 3,319 | 2,938 | 1,958 | 881 | 12,246 |\n| 2005 | 2,391 | 2,832 | 2,548 | 1,791 | 977 | 10,539 |\n| 2006 | 3,635 | 3,768 | 3,275 | 2,491 | 1,580 | 14,749 |\n| 2007 | 3,182 | 3,359 | 2,869 | 2,178 | 1,803 | 13,391 |\n| 2008 | 2,912 | 3,197 | 2,857 | 2,425 | 2,238 | 13,629 |\n| 2009 | 2,711 | 2,594 | 2,304 | 1,998 | 2,048 | 11,655 |\n| 2010 | 2,287 | 2,180 | 2,105 | 1,744 | 2,075 | 10,391 |\n| 2011 | 1,772 | 1,519 | 1,622 | 1,274 | 1,726 | 7,913 |\n| 2012 | 1,136 | 1,179 | 1,300 | 1,030 | 1,377 | 6,022 |\n| 2013 | 721 | 850 | 938 | 704 | 1,068 | 4,281 |\n| Total | 23,897 | 24,797 | 22,756 | 17,593 | 15,773 | 104,816 |\n\n14 Note that this rate is, in effect, the rate of arrest-and-testing-positive. 15 The technical annex contains a section on exactly how this range was estimated.",
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- "query": "According to the National Database Treatment Monitoring System, how many people started using opiates/crack between 2005 and 2014?",
- "target_page": 22,
- "target_passage": " Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014",
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- "text": "### 2. Estimating an incidence trend from treatment data\n\nThis section uses treatment data from the National Database Treatment Monitoring System (NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the numbers of people presenting to services with problem drug misuse and information about the drug treatment they receive. All drug treatment agencies in England provide a basic level of information to the NDTMS on their activities each month. The data for this report included all unique individuals presenting to treatment with opiates or crack-cocaine listed as their primary drug between 2005 and 2014. All individuals whose age of first use was listed as below ten or before 2005 were then excluded. Excluding individuals who started using opiates/crack before 2005 resulted in a large number of records being left out, due to the fact that the majority of the treatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack use surged in the UK. However, this exclusion is necessary for the incidence methodology, as explained later in this section. The remaining dataset included 52,829 individuals, as shown in Table 10.\n\n**Table 10: Descriptive statistics from the NDTMS data.**\n\n| Reason for exclusion | Number of individuals excluded | Total number of individuals analysed |\n|:---|:---|:---|\n| Initial sample prior to exclusion | 0 | 243,588 |\n| No age at first use recorded or age was below 10 or higher than age at first treatment | 443 | 243,145 |\n| Year of first use before 2005 | 190,316 | 52,829 |\n| Percentage of total sample initiating 2005- 14 | n/a | 21.7% |\n\nThe majority of those presenting for treatment between 2005 and 2014 started using opiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014. This suggests an average of just under 5,000 new starters per year during this period. But this would be an under-estimate of incidence because it is likely that some of those who began use between 2005 and 2014 would not yet have come to treatment during that period.\n\nTo correct for this, we use two variants of a methodology employed by researchers in Millar *et* *al* . (2001) and Hickman *et al* . (2001). These papers discuss the methodology in detail.\n\nIn brief, the method uses the lag-to-treatment distribution for the sample coupled with the number of new treatment presentations in a given year to estimate OCU incidence in that year. So, when presenting to treatment, all individuals are asked to provide the year in which they first began using their primary drug, which for this analysis was limited to opiates and/or crack-",
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- "text": "3\n\n### Summary\n\n#### **Executive summary**\n\nThis paper uses a range of datasets and methodologies to:\n\n- obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013; <sup>1</sup>\n\n- examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n- It is estimated that around 5,000 to 8,000 individuals started using opiates or crack- cocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n\n- Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent <sup>2</sup> . Furthermore, of the new positive testers in 2013, only 721 were aged 18- 24. <sup>3</sup> Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime - those who have the potential to inflict most societal harm - has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n\n- In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n\n- However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n\n- Analysis also revealed some possible changes in characteristics of the new opiate/crack- cocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have\n\n1 At the time of writing, data was unavailable for the period after November 2013. 2 It is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data. 3 787 if adjusted for the missing month.",
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- "text": "**Table 12: Estimated 20-year lag-to-treatment distribution for model one**\n\nThe cumulative percentages from the table above can then be combined with statistics showing actual numbers of first presentations to treatment by year of onset to calculate an incidence trend, as demonstrated in Table 13.\n\n**Table 13: Table showing the data used to estimate incidence in model one and the results <sup>21</sup>**\n\n**Year of 1st treatment**\n\n**2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 Total**\n\n**Percentag e of total incidence accounted for by observed**\n\n**Estimated number yet to come to treatment**\n\n**Estimated total incidence**\n\n**Year 1st use**\n\n**2005 1,305 1,508 1,533 1,250 938 800 512 408 376 330 8,960 85% 1,523 10,483**\n\n**2006 - 1,297 1,727 1,624 1,116 821 611 471 470 358 8,495 82% 1,824 10,319**\n\n**2007 - - 1,482 1,906 1,532 1,020 671 566 491 416 8,084 79% 2,183 10,268**\n\n**2008 - - - 1,446 1,857 1,456 840 659 570 424 7,252 75% 2,437 9,689**\n\n**2009 - - - - 1,580 1,811 1,018 727 627 527 6,290 70% 2,701 8,990**\n\n**2010 - - - - - 1,404 1,101 933 757 544 4,739 62% 2,864 7,602**\n\n**2011 - - - - - - 1,001 1,109 988 646 3,744 53% 3,269 7,013**\n\n**2012 - - - - - - - 967 1,149 920 3,036 41% 4,287 7,324**\n\n**2013 - - - - - - - - 1,021 1,204 2,225 27% 6,065 8,290**\n\n**2014 - - - - - - - - - 869 869 12%**\n\n**Total 1,305 2,805 4,742 6,226 7,023 7,312 5,754 5,840 6,449 6236.4 53,693**\n\nReading down the year columns, the table shows that of the 6,449 people who presented for opiate/crack treatment for the first time in 2013, 376 said they had begun using in 2005. Another 470 said they started using in 2006, and so on.\n\nReading across the table shows that of all those who said they began using opiates/crack in 2005 (8,960), 1,305 also presented to treatment for the first time in that year (which is 15 per cent of the observed cohort from Table 11 and 12 per cent of our estimated total cohort from Table 12). Another 1,508 presented for the first time a year later, and so on. The first number in the totals column (8,960) therefore represents all individuals who said they began using in 2005. It is therefore the ‘observed’ incidence level. The column to the right of this is the cumulative percentages from the estimated lag-to-treatment distribution in Table 12. This shows the\n\notherwise similar data (i.e. first treatment presentation and year of initiation) from OCUs attending treatment in the Manchester area. 21 Note that the data for 2014 only includes Jan- Oct as this was all that was available. Hence we do not do not attempt to calculate an incidence estimate for 2014 and we adjust all the values in that column by multiplying by (12/10) to account for the missing months.",
- "page_start": 23,
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- "text": "between March 2011 and March 2015 can also be seen in the raw numbers for total new OCU treatment presentations. <sup>22</sup>\n\n**Figure 10: New treatment presentations for opiate/crack use.**\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for opiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a decrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics have been missed before (see Morgan, 2014), and the potential social harm that a fresh increase in new OCUs could cause, further analysis was conducted on the most recent data to try and determine whether the apparent flattening in trends was actually caused by the early stages of a significant surge in new users.\n\nThe treatment data was broken down by age to check whether the slight fall in total new presentations in 2014/15 masked an increase in younger treatment presentations. This showed instead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to 3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a faster rate over the last year than for those aged over-25. Furthermore, separate statistics produced for those in treatment aged 18-and-under also show a fall in aggregate numbers in treatment for opiates and crack.\n\nWe also looked at trends at the local level, given that previous epidemics have started in very specific areas and have taken several years to spread nationally. This means that the start of an epidemic can be hidden in the national data because it has not reached enough areas to register.\n\n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment before. So unlike our definition of ‘new’ elsewhere it includes individuals who have been to treatment previously.",
- "page_start": 26,
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- "text": "**Figure 9: Estimated incidence trend, 2005- 2013.**\n\nBefore discussing the trend implied by this chart, it is important first to sense-check the general level of new users implied. Analysis from the previous section suggested that the number of new OCUs for 2013 was unlikely to be much higher than 10,000 with only a proportion of those involved with crime. The 2013 estimate implied by Model 1 is 8,290 and for Model 2 it is 5,092, so both are in line with the earlier analysis. The NDTMS data only covers England, not England and Wales, and our estimates will of course miss any OCUs who *never* come to treatment. Hence the estimates for both models may be slightly conservative in that sense. But putting all the partial evidence together, it can be said with a degree of certainty that the total number of individuals who begin using opiates or crack-cocaine each year is probably not markedly higher than 10,000, and that fewer than half of these are likely to be involved in significant amounts of acquisitive crime.\n\nTo put this into historical context, an incidence rate of 10,000 works out at a rate of 0.18 individuals per 1,000 population. Published estimates of incidence in Manchester during the epidemic period of the late 1980s and early 1990s included rates above two per 1,000 population, i.e. more than 11 times higher (Millar *et al* ., 2001).\n\nTurning to the trend implied by Figure 9: both models imply that numbers of new OCUs in 2013 are lower than in 2005. Model 1 implies that they have fallen by around a fifth during that period and Model 2 suggests a fall of around 45%. But secondly, the way the methodology works means that the most recent years are the least reliable because they use the least amount of data. This is why the distance between the estimates from the two models widens for the more recent years. It means that it is difficult to say for certain whether the period of flattening from 2011 onwards, which occurs in both estimated trends but is more obvious in Model 1, is a blip in an otherwise downward trend or the start of a turning point. Either way, a flattening of the trend",
- "page_start": 25,
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- "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of *new* users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay *et al* ., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\n**Figure 2: Year of birth distribution for all opiate-only/positive-for-both tests.**\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.",
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- "text": "**Table 7: Number of unique individuals testing positive for opiates-only or positive-for-both, by year of first positive test.**\n\nNumber of unique individuals with positive opiate/opiate + cocaine tests per year\n\nFirst test year 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Adjusted 2013\n\n2004 12,246 3,171 3,299 3,090 2,992 2,573 2,311 1,766 1,513 1,092 1,191\n\n2005 10,539 3,020 2,539 2,478 2,083 1,844 1,350 1,156 862 940\n\n2006 14,750 3,896 3,280 2,701 2,507 1,819 1,610 1,140 1,244\n\n2007 13,391 3,063 2,291 2,091 1,567 1,334 954 1,041\n\n2008 13,629 2,670 2,263 1,612 1,366 978 1,067\n\n2009 11,655 2,211 1,431 1,125 847 924\n\n2010 10,391 1,385 1,052 733 800\n\n2011 7,913 1,017 643 701\n\n2012 6,022 823 898\n\n2013 4,281 4,670\n\nTotal 12,246 13,710 21,069 22,916 25,442 23,973 23,618 18,843 16,195 12,353 13,476\n\nThese tables can be read both horizontally and vertically. Reading vertically (i.e. down the columns) it can be observed, for example, that of the 12,353 individuals with a positive test in 2013, 4,281 (35%) had not had a previous positive test and over half had already tested positive at least once in 2010 or before. Reading horizontally - for example from left to right across the first row - it can be concluded that of the 12,246 individuals testing positive in 2004, 3,171 also had a positive test in 2005; 3,299 of the original 12,246 also had a positive test in 2006 and so on. The table does not show whether those who had a subsequent test in 2005 were the same individuals as those who had a subsequent test in 2006. So reading the results of the two tables together, we can say that 12,246 *individuals* had 17,174 positive tests in 2004, and of these, 3,171 also tested positive in 2005, resulting in 5,604 positive tests because some tested positive more than once in that year. The last figure in each column gives the number of new users that year (10,539 in 2005, 14,750 in 2006 and so on).\n\nThere are several observations to be drawn from these tables. First, it is clear that a proportion of opiate-using offenders offend over long periods of time. Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest). And reading vertically, of the 12,253 individuals testing positive in 2013, 1,092 (8.9%) had also tested positive almost a decade earlier.\n\nSecond, in relation to incidence, these numbers also allow for some back-of-the-envelope modelling to address the extent to which the figure of 4,281 individuals, who are *new* positive testers in 2013, is an under- or over-estimate of the number of new OCUs in total. Taking the figures for 2008, when DIP was fully up and running, we know that around 25,000 unique individuals had positive tests that year. This can be combined with available estimates of the total OCU population (Hay *et al* ., 2013) and the proportion who are likely to be offending (Gossop et *al.* , 2003; Morgan, 2014) to give an approximate arrest rate. i.e. if there were about 150,000 crime-involved OCUs through the period, this implies an arrest rate of about 17 per",
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- "text": "cocaine. From this information it is possible to create a distribution, for all presentations, of the lag-time between initiation and their first presentation at treatment. This might show - for example - that only ten per cent of all individuals presenting to treatment do so in the first year of use, but that 25 per cent present within two years, and so on. This means that for each year, we can estimate the number of individuals who have begun an opiate-crack career *but who* *have yet to come to treatment* . Adding these to the numbers who began in that year and have come to treatment gives our total incidence estimate for each year.\n\nThe first model uses NDTMS data for the cohort starting use in 2005 (n=8,960), the lag-time distribution for those initiating use in 2005 and presenting to treatment between 2005 and 2014 <sup>18</sup> is shown below.\n\n**Table 11: Time-to-treatment distribution for those initiating use in 2005 and presenting to treatment between 2005 and 2014. <sup>19</sup>**\n\n| Lag time to treatment (years) | 0-1 | 1-2 | 2-3 | 3-4 | 4-5 | 5-6 | 6-7 | 7-8 | 8-9 | 9-10 |\n|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|\n| Percentage | 15% | 17% | 17% | 14% | 10% | 9% | 6% | 5% | 4% | 4% |\n| Cumulative percentage | 15% | 31% | 49% | 62% | 73% | 82% | 88% | 92% | 96% | 100% |\n\nTable 11 shows that 15 per cent of the individuals who started use in 2005 and had presented for treatment by 2014, presented within one year of initiation. A further 17 per cent presented between one and two years after initiation, prior to coming to treatment, meaning that overall 31 per cent of the sample said they came to treatment within two years of first using opiates/crack. (The fact this is not 32% is simply due to rounding).\n\nAs a basis for the total lag-to-treatment distribution, the main limitation with the above analysis is that it assumes all individuals coming to treatment do so within ten years. Examining data from earlier cohorts suggests this is inaccurate, as a small proportion of OCUs will continue to use these drugs for a long time, sometimes two decades or more, before seeking treatment, and some never will. However, we cannot use an earlier cohort for the distribution because this is equivalent to using out-of-date data. The average lag-to-treatment is likely to have reduced over time given the expansion of treatment places and the influence of DIP. Using old data will miss this and bias the estimates. Even using the 2005 cohort’s distribution contains the assumption that the time-to-treatment lag has not altered significantly between 2005 and 2013/14. So, to try and obtain the most accurate model, we used the figures from the 2005 cohort for the first ten years, as above, on the basis that this covers the majority of individuals and for that we want the most up-to-date data possible whilst maintaining a long enough time period. We then index the trend at that point to an older cohort, and use data from that cohort to model the ‘tail’ of the distribution - i.e. those who take longer than ten years to reach treatment. <sup>20</sup> The result is a 20-year lag-to-treatment distribution, shown in Table 12 below.\n\n18 Data for 2014 was available until October 2014. This was converted to annual figures by multiplying up by 1.2 to account for the missing months in a linear fashion. 19 The percentages from this table can be calculated from the numbers in Table 13. 20 In reality there is always a trade-off in this methodology between the up-to-dateness of the cohort used to measure the lag- to-treatment and the number of years of lag measured, i.e. we could use a more recent cohort, say 2008. But that would mean excluding all those who take longer than seven years to come to treatment, an even larger proportion. We are indebted to Tim Millar for providing the dataset used to model the ‘tail’ of the distribution. It contained a longer time series of",
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- "text": "### Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that - mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n- The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n\n- This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n\n- The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.",
- "page_start": 29,
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- "text": "Despite this, there are still a few things these data *can* tell us about the numbers and trends in new OCUs. Firstly, despite the downward bias outlined above, it is clear that there are not *enough* new crime-involved OCUs entering the population to cause this trend to increase or even flatten. Secondly, it is assumed that the probability of arrest stays roughly constant through the period, the trend in the number of new positive testers, who are actually captured from the original cohort, will gradually flatten, whereas the decline in new OCUs in the DIP data is almost linear, suggesting that numbers entering the population are also falling. But most important is that the absolute number of new positive testers in 2013 is only 4,281. Given that this figure is likely to include some individuals who are actually long-standing OCUs, but who have evaded arrest to that point, then the number of genuinely new arrested OCUs in 2013 must be lower than 4,281, possibly markedly lower.\n\nTo investigate this further, the next two tables break down annual totals for all tests and all unique individuals, by the year of first test.\n\n**Table 6: Number of positive opiates-only or positive-for-both. tests, by year of first positive test.**\n\n**Number of tests per year (positive opiate/opiate + cocaine)**\n\n**Year of first**\n\n**test 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Adjusted 2013**\n\n**2004** 17,174 5,604 7,091 6,784 6,509 5,292 4,863 3,341 2,629 1,800 1,964\n\n**2005** 13,553 6,066 5,110 4,941 3,983 3,549 2,323 1,947 1,383 1,509\n\n**2006** 20,656 7,784 6,152 5,139 4,629 3,257 2,649 1,806 1,970\n\n**2007** 17,613 5,747 4,309 3,855 2,619 2,119 1,555 1,696\n\n**2008** 17,883 4,970 4,026 2,626 2,180 1,562 1,704\n\n**2009** 14,683 4,054 2,383 1,824 1,318 1,438\n\n**2010** 13,075 2,332 1,638 1,154 1,259\n\n**2011** 9,595 1,714 1,013 1,105\n\n**2012** 7,265 1,359 1,483\n\n**2013** 5,523 6,025\n\n**Total** 17,174 19,157 33,813 37,291 41,232 38,376 38,051 28,476 23,965 18,473 20,152\n\ninvolved opiate/crack users will quit (or die) before being arrested and tested; 3) DIP’s geographical coverage is not 100 per cent; 4) Some may evade arrest through the entire series; and 5) Evidence suggests OCUs cycle in and out of periods of regular use and offending rather than offend at a high rate continuously. But clearly the gradual capture of the pre-existing population creates a big enough bias such that we cannot read the figures for *new* positive testers simply as an incidence trend for crime-involved opiate/crack users.",
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- "query": "What proportion of opiate users tested in 2004 were still positive a decade later?",
- "target_page": 18,
- "target_passage": "Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest)",
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- "text": "**Table 7: Number of unique individuals testing positive for opiates-only or positive-for-both, by year of first positive test.**\n\nNumber of unique individuals with positive opiate/opiate + cocaine tests per year\n\nFirst test year 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Adjusted 2013\n\n2004 12,246 3,171 3,299 3,090 2,992 2,573 2,311 1,766 1,513 1,092 1,191\n\n2005 10,539 3,020 2,539 2,478 2,083 1,844 1,350 1,156 862 940\n\n2006 14,750 3,896 3,280 2,701 2,507 1,819 1,610 1,140 1,244\n\n2007 13,391 3,063 2,291 2,091 1,567 1,334 954 1,041\n\n2008 13,629 2,670 2,263 1,612 1,366 978 1,067\n\n2009 11,655 2,211 1,431 1,125 847 924\n\n2010 10,391 1,385 1,052 733 800\n\n2011 7,913 1,017 643 701\n\n2012 6,022 823 898\n\n2013 4,281 4,670\n\nTotal 12,246 13,710 21,069 22,916 25,442 23,973 23,618 18,843 16,195 12,353 13,476\n\nThese tables can be read both horizontally and vertically. Reading vertically (i.e. down the columns) it can be observed, for example, that of the 12,353 individuals with a positive test in 2013, 4,281 (35%) had not had a previous positive test and over half had already tested positive at least once in 2010 or before. Reading horizontally - for example from left to right across the first row - it can be concluded that of the 12,246 individuals testing positive in 2004, 3,171 also had a positive test in 2005; 3,299 of the original 12,246 also had a positive test in 2006 and so on. The table does not show whether those who had a subsequent test in 2005 were the same individuals as those who had a subsequent test in 2006. So reading the results of the two tables together, we can say that 12,246 *individuals* had 17,174 positive tests in 2004, and of these, 3,171 also tested positive in 2005, resulting in 5,604 positive tests because some tested positive more than once in that year. The last figure in each column gives the number of new users that year (10,539 in 2005, 14,750 in 2006 and so on).\n\nThere are several observations to be drawn from these tables. First, it is clear that a proportion of opiate-using offenders offend over long periods of time. Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest). And reading vertically, of the 12,253 individuals testing positive in 2013, 1,092 (8.9%) had also tested positive almost a decade earlier.\n\nSecond, in relation to incidence, these numbers also allow for some back-of-the-envelope modelling to address the extent to which the figure of 4,281 individuals, who are *new* positive testers in 2013, is an under- or over-estimate of the number of new OCUs in total. Taking the figures for 2008, when DIP was fully up and running, we know that around 25,000 unique individuals had positive tests that year. This can be combined with available estimates of the total OCU population (Hay *et al* ., 2013) and the proportion who are likely to be offending (Gossop et *al.* , 2003; Morgan, 2014) to give an approximate arrest rate. i.e. if there were about 150,000 crime-involved OCUs through the period, this implies an arrest rate of about 17 per",
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- "text": "**Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or positive-for-both as a proportion of all individuals first testing positive in that year.**\n\n| Year of first test | Age 18 - 24 | Age 25 - 29 | Age 30 - 34 | Age 35 - 39 | Age 40 over | Total |\n|---:|:---|:---|:---|:---|:---|:---|\n| 2004 | 26% | 27% | 24% | 16% | 7% | 100% |\n| 2005 | 23% | 27% | 24% | 17% | 9% | 100% |\n| 2006 | 25% | 26% | 22% | 17% | 11% | 100% |\n| 2007 | 24% | 25% | 21% | 16% | 13% | 100% |\n| 2008 | 21% | 23% | 21% | 18% | 16% | 100% |\n| 2009 | 23% | 22% | 20% | 17% | 18% | 100% |\n| 2010 | 22% | 21% | 20% | 17% | 20% | 100% |\n| 2011 | 22% | 19% | 20% | 16% | 22% | 100% |\n| 2012 | 19% | 20% | 22% | 17% | 23% | 100% |\n| 2013 | 17% | 20% | 22% | 16% | 25% | 100% |\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the number and the proportion of new positive testers. However, the proportion of those aged 40+ has consistently risen and now constitutes the largest group of all new individuals testing positive.\n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very different age profile to that we would expect from a cohort of recent initiates. It is far older, suggesting again that many of those are actually pre-existing users only tested (positively) for the first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence demonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to be longer-term users who have only been first arrested in 2013, rather than genuinely new OCUs.\n\nIn the next section, analysis will examine whether there has been a possible shift towards an older profile amongst new initiates. But even taking this into account, it is unlikely that the majority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 below, which compares the age-of-initiation curve from Figure 11 (in the next section) to the 2013 ‘new-individuals’ cohort in the DIP data.",
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- "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of *new* users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay *et al* ., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\n**Figure 2: Year of birth distribution for all opiate-only/positive-for-both tests.**\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.",
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- "text": "The relationship between the total opiates-only or positive-for-both tests and the individuals responsible for them can also be shown over time, as Table 5 illustrates <sup>11</sup> .\n\n**Table 5: Table showing trends in total positive opiates-only or positive-for-both., in unique individuals testing positive, and in** * **new** * **individuals testing positive.**\n\nOf central interest for this paper is the third row which shows numbers of individuals testing positive for opiates only or were positive-for-both for the first time. All the previous caveats about DIP trends need to be borne in mind when looking at those figures. Clearly the rise in new positive testers in the early period will be affected by the changes to DIP coverage through those years, as possibly will the sharp fall in positive testers in the latter period. However, graphing the data (see the red line in Figure 7 below) shows that the fall from 14,750 new positive testers in 2006 to 4,281 in 2013, is not only large (the drop is around 70 per cent even if we use the adjusted figure for 2013) but also more or less linear. This means that there is no immediate reason to suggest that the 2013 figures are artificially low due to changes in DIP coverage (i.e. the fact that DIP ceased to be a centrally funded programme in April of that year). Taken together, the data from the period post-2006 (when DIP had achieved a high level of coverage) certainly appear to show that the number of new crime-involved OCUs is unlikely to be rising and may be falling markedly, see Figure 7.\n\n11 Individuals may have more than one positive test in a given year, which is why the numbers for tests are higher than the numbers for individuals. Similarly, even new individuals not previously testing positive in a given year, may have multiple positive tests in the first year in which they test positive.",
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- "text": "cent (25,000/150,000). <sup>14</sup> It is then possible to model how many of the original population of crime-involved OCUs would be likely to test positive in any given year. For example, if there were 150,000 crime-involved OCUs in 2008, the chances of one of that group having a first test in 2013, providing they remained a crime-involved OCU throughout the period 2004- 2013 is given by:\n\n*(1 - probability of arrest)^8 = chance of not getting caught between 2004 and 2012*\n\nMultiplied by:\n\n*Probability that they do get arrested in 2013*\n\nThis can then be calculated for a range of plausible values for the initial number of OCUs, and hence range of arrest rates, to give a range of plausible values for the number of *new* testers in 2013 who were actually longer-term users. The results of this modelling suggest that we would expect about 2,400- 7,000 new positive tests from individuals who are actually longer-term OCUs. <sup>15</sup> So the fact we only see 4,281 in the real data suggests that genuinely new initiates may be a minority within this figure, as many (probably most) will be from the original cohort.\n\nThis is further reinforced by the next set of analyses, which break down the data on new positive tests per year by age. Table 8 shows how numbers of unique individuals testing positive for the first time break down by year and by age group. The age breakdowns are shown first in absolute numbers and in the second table as a proportion of all those with a first test in that year.\n\n**Table 8: Unique individuals testing positive for opiates-only or positive-for-both, by age and by year of first test.**\n\n| Year of first test | Age 18-24 | Age 25-29 | Age 30-34 | Age 35-39 | Age 40 over | Total |\n|:---|:---|:---|:---|:---|:---|:---|\n| 2004 | 3,150 | 3,319 | 2,938 | 1,958 | 881 | 12,246 |\n| 2005 | 2,391 | 2,832 | 2,548 | 1,791 | 977 | 10,539 |\n| 2006 | 3,635 | 3,768 | 3,275 | 2,491 | 1,580 | 14,749 |\n| 2007 | 3,182 | 3,359 | 2,869 | 2,178 | 1,803 | 13,391 |\n| 2008 | 2,912 | 3,197 | 2,857 | 2,425 | 2,238 | 13,629 |\n| 2009 | 2,711 | 2,594 | 2,304 | 1,998 | 2,048 | 11,655 |\n| 2010 | 2,287 | 2,180 | 2,105 | 1,744 | 2,075 | 10,391 |\n| 2011 | 1,772 | 1,519 | 1,622 | 1,274 | 1,726 | 7,913 |\n| 2012 | 1,136 | 1,179 | 1,300 | 1,030 | 1,377 | 6,022 |\n| 2013 | 721 | 850 | 938 | 704 | 1,068 | 4,281 |\n| Total | 23,897 | 24,797 | 22,756 | 17,593 | 15,773 | 104,816 |\n\n14 Note that this rate is, in effect, the rate of arrest-and-testing-positive. 15 The technical annex contains a section on exactly how this range was estimated.",
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- "text": "Despite this, there are still a few things these data *can* tell us about the numbers and trends in new OCUs. Firstly, despite the downward bias outlined above, it is clear that there are not *enough* new crime-involved OCUs entering the population to cause this trend to increase or even flatten. Secondly, it is assumed that the probability of arrest stays roughly constant through the period, the trend in the number of new positive testers, who are actually captured from the original cohort, will gradually flatten, whereas the decline in new OCUs in the DIP data is almost linear, suggesting that numbers entering the population are also falling. But most important is that the absolute number of new positive testers in 2013 is only 4,281. Given that this figure is likely to include some individuals who are actually long-standing OCUs, but who have evaded arrest to that point, then the number of genuinely new arrested OCUs in 2013 must be lower than 4,281, possibly markedly lower.\n\nTo investigate this further, the next two tables break down annual totals for all tests and all unique individuals, by the year of first test.\n\n**Table 6: Number of positive opiates-only or positive-for-both. tests, by year of first positive test.**\n\n**Number of tests per year (positive opiate/opiate + cocaine)**\n\n**Year of first**\n\n**test 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Adjusted 2013**\n\n**2004** 17,174 5,604 7,091 6,784 6,509 5,292 4,863 3,341 2,629 1,800 1,964\n\n**2005** 13,553 6,066 5,110 4,941 3,983 3,549 2,323 1,947 1,383 1,509\n\n**2006** 20,656 7,784 6,152 5,139 4,629 3,257 2,649 1,806 1,970\n\n**2007** 17,613 5,747 4,309 3,855 2,619 2,119 1,555 1,696\n\n**2008** 17,883 4,970 4,026 2,626 2,180 1,562 1,704\n\n**2009** 14,683 4,054 2,383 1,824 1,318 1,438\n\n**2010** 13,075 2,332 1,638 1,154 1,259\n\n**2011** 9,595 1,714 1,013 1,105\n\n**2012** 7,265 1,359 1,483\n\n**2013** 5,523 6,025\n\n**Total** 17,174 19,157 33,813 37,291 41,232 38,376 38,051 28,476 23,965 18,473 20,152\n\ninvolved opiate/crack users will quit (or die) before being arrested and tested; 3) DIP’s geographical coverage is not 100 per cent; 4) Some may evade arrest through the entire series; and 5) Evidence suggests OCUs cycle in and out of periods of regular use and offending rather than offend at a high rate continuously. But clearly the gradual capture of the pre-existing population creates a big enough bias such that we cannot read the figures for *new* positive testers simply as an incidence trend for crime-involved opiate/crack users.",
- "page_start": 16,
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- "text": "**Table 3: Descriptive statistics for the DIP positive opiate-only/positive-for-both tests in which an individual can be identified with a PNC number.**\n\nThe age and year of birth distributions are also similar and are shown in the Appendix. Thus, for the majority of the analysis that follows, tests with no PNC number were excluded. <sup>10</sup>\n\nThe charts and tables above use data from *all* positive tests, so will include cases where the same individual has tested positively on more than one occasion. The following data look just at the *first* test for each individual testing positive for opiates-only or positive-for-both.\n\n**Table 4: Descriptive statistics on first positive opiate-only/positive-for-both tests.**\n\nFirst positive opiate/opiate+cocaine tests (unique individuals)\n\nAge Year of birth\n\n| Number of tests | 104,817 | Number of tests | 104,817 |\n|:---|---:|:---|---:|\n| Mean | 31 | Mean | 1977 |\n| Median | 30 | Median | 1977 |\n| Mode | 27 | Mode | 1980 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThere were just over 100,000 unique individuals who tested positive for opiates-only or positive- for-both between 2004 and 2013. The distribution of the 296,008 positive tests these individuals gave, shows that the vast majority (55%) were only tested once (see Figure 4), which is likely to be why the age statistics are quite similar between Table 3 and Table 4. However, within this\n\n10 Examining the data it is also clear that some areas recorded a higher proportion of cases without a PNC number than others. Thus excluding these cases further affects the variation in geographic coverage across time. See Appendix for more.\n\nAll positive opiate/opiate+cocaine tests (including repeats) that were recorded on PNC; England 2004- 2013\n\nAge Year of birth\n\n| Number of tests | 296,008 | Number of tests | 296,008 |\n|:---|---:|:---|---:|\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |",
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- "text": "population there exists a small group of frequent repeat users. 1,828 individuals (1.7% of this population) accounted for just over ten per cent of all positive tests (30,471 tests in total). These individuals provided between 16 and 57 positive tests over the period 2004 to 2013.\n\n**Figure 4: Proportion of positive tests by number of times an individual tested positive.**\n\nThe age and year-of-birth distributions for the 104,817 individuals reveals a similar profile to the distribution for total tests (Figures 5 and 6).",
- "page_start": 12,
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- "text": "9\n\ncocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled `positive-for-both’).\n\nThe reason for highlighting only the opiates-only and the `positive-for-both’ test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), *powder-* cocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\n**Table 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.**\n\nOpiate/opiate+cocaine positive tests in England 2004- 2013 (all positive tests including repeats by the same individual)\n\nAge Year of birth\n\n| Number of tests | 364,537 | Number of tests | 364,537 |\n|:---|---:|:---|---:|\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s. <sup>9</sup> Given evidence suggesting that the average age of initiation for opiate/crack use is around 18- 20 (Millar *et al* ., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born\n\n9 Note that the dataset counts tests, not unique individuals, so the same person can appear more than once.",
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- "text": "### Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that - mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n- The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n\n- This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n\n- The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.",
- "page_start": 29,
- "page_end": 29,
- "source_file": "legal2_opengouvernementlicense.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "wikipedia5.pdf",
- "query": "Who led the Fronde des princes?",
- "target_page": 4,
- "target_passage": "It was headed by the highest-ranking French nobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of Montpensier, known as la Grande Mademoiselle; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.",
- "chunk_present": {
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- {
- "text": "1655 portrait of Louis, the Victor of\n\nthe Fronde, portrayed as the god\n\n[Jupiter](https://en.wikipedia.org/wiki/Jupiter_(mythology))\n\n[Portrait by Justus van Egmont](https://en.wikipedia.org/wiki/Justus_van_Egmont)\n\nbetween the years 1649- 1652.\n\nCondé, attacked the rebels in Paris; the rebels were under the political control of Anne's\n\n[old friend Marie de Rohan. Beaufort, who had escaped from the prison where Anne had](https://en.wikipedia.org/wiki/Marie_de_Rohan)\n\nincarcerated him five years before, was the military leader in Paris, under the nominal\n\n[control of Conti. After a few battles, a political compromise was reached; the Peace of](https://en.wikipedia.org/wiki/Peace_of_Rueil)\n\n[Rueil was signed, and the court returned to Paris.](https://en.wikipedia.org/wiki/Peace_of_Rueil)\n\nUnfortunately for Anne, her partial victory depended on Condé, who wanted to control the\n\nqueen and destroy Mazarin's influence. It was Condé's sister who pushed him to turn\n\nagainst the queen. After striking a deal with her old friend Marie de Rohan, who was able\n\nto impose the nomination of *[Charles de l'Aubespine, marquis de Châteauneuf](https://en.wikipedia.org/wiki/Charles_de_l%27Aubespine,_marquis_de_Ch%C3%A2teauneuf)* as minister\n\n[of justice, Anne arrested Condé, his brother Armand de Bourbon, Prince of Conti, and the](https://en.wikipedia.org/wiki/Armand_de_Bourbon,_Prince_of_Conti)\n\n[husband of their sister Anne Genevieve de Bourbon, duchess of Longueville. This situation](https://en.wikipedia.org/wiki/Duchess_of_Longueville)\n\ndid not last long, and Mazarin's unpopularity led to the creation of a coalition headed\n\nmainly by Marie de Rohan and the duchess of Longueville. This aristocratic coalition was\n\nstrong enough to liberate the princes, exile Mazarin, and impose a condition of virtual\n\nhouse arrest on Queen Anne.\n\nAll these events were witnessed by Louis and\n\nlargely explained his later distrust of Paris and the higher aristocracy. <sup>[27]</sup> \"In one sense,\n\nLouis's childhood came to an end with the outbreak of the Fronde. It was not only that life\n\nbecame insecure and unpleasant - a fate meted out to many children in all ages - but that\n\nLouis had to be taken into the confidence of his mother and Mazarin on political and\n\nmilitary matters of which he could have no deep understanding\". <sup>[28]</sup> \"The family home\n\nbecame at times a near-prison when Paris had to be abandoned, not in carefree outings to\n\nother chateaux but in humiliating flights\". <sup>[28]</sup> The royal family was driven out of Paris\n\ntwice in this manner, and at one point Louis XIV and Anne were held under virtual arrest\n\nin the royal palace in Paris. The Fronde years planted in Louis a hatred of Paris and a\n\nconsequent determination to move out of the ancient capital as soon as possible, never to\n\nreturn. <sup>[29]</sup>\n\nJust as the first *Fronde* (the *Fronde parlementaire* of 1648- 1649) ended, a second one (the\n\n*Fronde des princes* of 1650- 1653) began. Unlike that which preceded it, tales of sordid\n\nintrigue and half-hearted warfare characterized this second phase of upper-class\n\ninsurrection. To the aristocracy, this rebellion represented a protest for the reversal of their\n\n[political demotion from vassals to courtiers. It was headed by the highest-ranking French](https://en.wikipedia.org/wiki/Courtier)\n\n[nobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of](https://en.wikipedia.org/wiki/Anne_Marie_Louise_d%27Orl%C3%A9ans,_Duchess_of_Montpensier)\n\n[Montpensier, known as ](https://en.wikipedia.org/wiki/Anne_Marie_Louise_d%27Orl%C3%A9ans,_Duchess_of_Montpensier) *la Grande Mademoiselle* [; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of](https://en.wikipedia.org/wiki/Armand_de_Bourbon,_Prince_of_Conti)\n\n[Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and](https://en.wikipedia.org/wiki/Henri_II_d%27Orl%C3%A9ans,_Duke_of_Longueville)\n\n[François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne,](https://en.wikipedia.org/wiki/Henri_de_La_Tour_d%27Auvergne,_vicomte_de_Turenne)\n\n[and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.](https://en.wikipedia.org/wiki/Fran%C3%A7ois_de_La_Rochefoucauld_(writer))\n\nQueen Anne played the most important role in defeating the Fronde because she wanted to transfer absolute authority to her son.\n\nIn addition, most of the princes refused to deal with Mazarin, who went into exile for a number of years. The *Frondeurs* claimed\n\nto act on Louis's behalf, and in his real interest, against his mother and Mazarin.\n\nQueen Anne had a very close relationship with the Cardinal, and many observers believed that Mazarin became Louis XIV's\n\nstepfather by a secret marriage to Queen Anne. <sup>[30]</sup> [ However, Louis's coming-of-age and subsequent coronation deprived them of](https://en.wikipedia.org/wiki/Coronation)\n\nthe *Frondeurs* ' pretext for revolt. The *Fronde* thus gradually lost steam and ended in 1653, when Mazarin returned triumphantly\n\nfrom exile. From that time until his death, Mazarin was in charge of foreign and financial policy without the daily supervision of\n\nAnne, who was no longer regent. <sup>[31]</sup>\n\n[During this period, Louis fell in love with Mazarin's niece Marie Mancini, but Anne and Mazarin ended the king's infatuation by](https://en.wikipedia.org/wiki/Marie_Mancini)\n\nsending Mancini away from court to be married in Italy. While Mazarin might have been tempted for a short time to marry his\n\nniece to the King of France, Queen Anne was absolutely against this; she wanted to marry her son to the daughter of her brother,\n\n[Philip IV of Spain, for both dynastic and political reasons. Mazarin soon supported the Queen's position because he knew that her](https://en.wikipedia.org/wiki/Philip_IV_of_Spain)\n\nsupport for his power and his foreign policy depended on making peace with Spain from a strong position and on the Spanish\n\nmarriage. Additionally, Mazarin's relations with Marie Mancini were not good, and he did not trust her to support his position. All\n\nof Louis's tears and his supplications to his mother did not make her change her mind. The Spanish marriage would be very",
- "page_start": 3,
- "page_end": 3,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "[Perez, Stanis (July- September 2003). \"Les rides d'Apollon: l'évolution des portraits de Louis XIV\" (https://doi.org/10.3](https://doi.org/10.3917%2Frhmc.503.0062)\n\n[917%2Frhmc.503.0062) [Apollo's Wrinkles: The Evolution of Portraits of Louis XIV]. ](https://doi.org/10.3917%2Frhmc.503.0062) *Revue d'Histoire Moderne et*\n\n*Contemporaine* . **50** [ (3): 62- 95. doi:10.3917/rhmc.503.0062 (https://doi.org/10.3917%2Frhmc.503.0062).](https://doi.org/10.3917%2Frhmc.503.0062)\n\n[ISSN 0048-8003 (https://search.worldcat.org/issn/0048-8003). JSTOR 20530984 (https://www.jstor.org/stable/205](https://www.jstor.org/stable/20530984)\n\n[30984).](https://www.jstor.org/stable/20530984)\n\nPetitfils, Jean-Christian (2002). *Louis XIV* [ (in French). Paris: Perrin. OCLC 423881843 (https://search.worldcat.org/ocl](https://search.worldcat.org/oclc/423881843)\n\n[c/423881843).](https://search.worldcat.org/oclc/423881843)\n\nPetitfils, Jean-Christian (2011). *Louise de La Vallière* [ (in French). Tempus Perrin. ISBN 978-2-2620-3649-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-2-2620-3649-2)\n\nPrest, Julia (2001). \"Dancing King: Louis XIV's Roles in Molière's Comedies-ballets, from Court to Town\". *Seventeenth*\n\n*Century* . **16** [ (2): 283- 298. doi:10.1080/0268117X.2001.10555494 (https://doi.org/10.1080%2F0268117X.2001.10](https://doi.org/10.1080%2F0268117X.2001.10555494)\n\n[555494). ISSN 0268-117X (https://search.worldcat.org/issn/0268-117X). S2CID 164147509 (https://api.semantics](https://api.semanticscholar.org/CorpusID:164147509)\n\n[cholar.org/CorpusID:164147509).](https://api.semanticscholar.org/CorpusID:164147509)\n\n[Régnier, Christian (2009). \"Famous French diabetics\" (http://www.medicographia.com/2010/01/famous-french-diabetic](http://www.medicographia.com/2010/01/famous-french-diabetics/Famous)\n\n[s/Famous). ](http://www.medicographia.com/2010/01/famous-french-diabetics/Famous) *Medicographia* . **31** [ (3). ISSN 0243-3397 (https://search.worldcat.org/issn/0243-3397).](https://search.worldcat.org/issn/0243-3397)\n\nReinhardt, Nicole (2016). *Voices of Conscience: Royal Confessors and Political Counsel in Seventeenth-Century*\n\n*Spain and France* [. Oxford University Press. ISBN 978-0-1910-0870-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-1910-0870-2)\n\nRogers Neill Sehnaoui, Caroline (Cally) (2013). *[Victorious Charles: A Ladies' Man: A Biography of King Charles VII of](https://books.google.com/books?id=DJsDL6W-y5MC&pg=PA4)*\n\n*France (1403- 1461)* [ (https://books.google.com/books?id=DJsDL6W-y5MC&pg=PA4). Strategic Book Publishing.](https://books.google.com/books?id=DJsDL6W-y5MC&pg=PA4)\n\n[ISBN 978-1-6251-6049-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-6251-6049-2)\n\nRoosen, William J. *The Age of Louis XIV: The Rise of Modern Diplomacy* [ (1976) online (https://archive.org/details/age](https://archive.org/details/ageoflouisxivris0000roos)\n\n[oflouisxivris0000roos).](https://archive.org/details/ageoflouisxivris0000roos)\n\n[Sabatier, Gérard (2000). \"La Gloire du Roi: Iconographie de Louis XIV de 1661 a 1672\" (https://www.persee.fr/doc/he](https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2134)\n\n[s_0752-5702_2000_num_19_4_2134). ](https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2134) *Histoire, Économie et Société* (in French). **19** (4): 527- 560.\n\n[doi:10.3406/hes.2000.2134 (https://doi.org/10.3406%2Fhes.2000.2134). Archived (https://web.archive.org/web/20](https://web.archive.org/web/20200522101240/https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2134)\n\n[200522101240/https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2134) from the original on 22 May](https://web.archive.org/web/20200522101240/https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2134)\n\n2020. Retrieved 9 October 2020.\n\nSchama, Simon (1990). *[Citizens: A Chronicle of the French Revolution](https://archive.org/details/citizenschronicl00scha_0)* (https://archive.org/details/citizenschronicl00sc\n\n[ha_0) (Reprint ed.). Vintage. ISBN 978-0-6797-2610-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-6797-2610-4)\n\nSymcox, Geoffrey, ed. (1974). *War, Diplomacy, and Imperialism, 1618- 1763* [. Walker & Co. ISBN 978-0-8027-2056-6.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-8027-2056-6)\n\nSonnino, Paul (1998). \"Prelude to the Fronde: The French Delegation at the Peace of Westphalia\". In Duchhardt,\n\nHeinz (ed.). *Der Westfälische Friede: Diplomatie- Politische Zäsur- Kulturelles Umfeld- Rezeptionsgeschichte* .\n\n[München: Oldenberg Verlag GmbH. ISBN 978-3-4865-6328-3.](https://en.wikipedia.org/wiki/Special:BookSources/978-3-4865-6328-3)\n\nSpielvogel, Jackson J. (2016). *Western Civilization: A Brief History, Volume I: To 1715* [ (https://books.google.com/book](https://books.google.com/books?id=eskaCgAAQBAJ&pg=PT419)\n\n[s?id=eskaCgAAQBAJ&pg=PT419). Cengage Learning. ISBN 978-1-3058-8842-5.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-3058-8842-5)\n\nSturdy, David J. (1998). *Louis XIV* [. St Martin's Press. ISBN 978-0-3122-1427-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-3122-1427-2)\n\nWilson, Peter H. (2000). *Absolutism in Central Europe* [. Routledge. ISBN 978-0-4152-3351-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-4152-3351-4)\n\nWolf, John B. (1968). *Louis XIV* [ (https://archive.org/details/louisxiv00wolf). W.W. Norton & Co., Inc.: a standard](https://archive.org/details/louisxiv00wolf)\n\nscholarly biography;\n\nYoung, William (2004). *International Politics and Warfare in the Age of Louis XIV and Peter the Great* . iUniverse.\n\n[ISBN 978-0-5953-2992-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5953-2992-2)\n\nWijn, J.W. (1950). *Het Staatsche Leger: Deel VII (The Dutch States Army: Part VII)* (in Dutch). Martinus Nijhoff.\n\n*Cambridge Modern History: Vol. 5 The Age of Louis XIV* [ (1908), old, solid articles by scholars; complete text online (ht](http://www.uni-mannheim.de/mateo/camenaref/cmh/cmh.html#cmh1)\n\n[tp://www.uni-mannheim.de/mateo/camenaref/cmh/cmh.html#cmh1) Archived (https://web.archive.org/web/201402](https://web.archive.org/web/20140210213151/http://www.uni-mannheim.de/mateo/camenaref/cmh/cmh.html#cmh1)\n\n[10213151/http://www.uni-mannheim.de/mateo/camenaref/cmh/cmh.html#cmh1) 10 February 2014 at the Wayback](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n[Machine](https://en.wikipedia.org/wiki/Wayback_Machine)\n\nLynn, John A. \"Food, funds, and fortresses: resource mobilization and positional warfare in the campaigns of Louis\n\nXIV.\" in *Feeding Mars: Logistics in Western Warfare from the Middle Ages to the Present* (Taylor and Francis,\n\n2019) pp. 150- 172.\n\nAshley, Maurice P. *Louis XIV and the Greatness of France* [ (1965) ISBN 0029010802](https://en.wikipedia.org/wiki/Special:BookSources/0029010802)\n\n[Beik, William. ](https://en.wikipedia.org/wiki/William_Beik) *Louis XIV and Absolutism: A Brief Study with Documents* [ (2000) ISBN 031213309X](https://en.wikipedia.org/wiki/Special:BookSources/031213309X)\n\nBeik, William. \"The Absolutism of Louis XIV as Social Collaboration.\" *Past & Present* [ 2005 (188): 195- 224. online (htt](https://muse.jhu.edu/article/188590)\n\n[ps://muse.jhu.edu/article/188590) Archived (https://web.archive.org/web/20240422210856/https://muse.jhu.edu/art](https://web.archive.org/web/20240422210856/https://muse.jhu.edu/article/188590)\n\n[icle/188590) 22 April 2024 at the Wayback Machine at Project MUSE](https://en.wikipedia.org/wiki/Project_MUSE)\n\nCampbell, Peter Robert. *Louis XIV, 1661- 1715* (London, 1993)\n\nChurch, William F., ed. *The Greatness of Louis XIV* . (1972).\n\nCowart, Georgia J. *The Triumph of Pleasure: Louis XIV and the Politics of Spectacle* University of Chicago Press,\n\n[2008. ISBN 978-0-2261-1638-9](https://en.wikipedia.org/wiki/Special:BookSources/978-0-2261-1638-9)\n\n[Cronin, Vincent. ](https://en.wikipedia.org/wiki/Vincent_Cronin) *Louis XIV* [. London: HarperCollins, 1996. ISBN 978-1-8604-6092-0](https://en.wikipedia.org/wiki/Special:BookSources/978-1-8604-6092-0)\n\n### **Further reading**",
- "page_start": 32,
- "page_end": 32,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "[Battle of Fleurus, 1690](https://en.wikipedia.org/wiki/Battle_of_Fleurus_(1690))\n\nLouis in 1690\n\n[Louis XIV at the siege of](https://en.wikipedia.org/wiki/Siege_of_Namur_(1692))\n\n[Namur (1692)](https://en.wikipedia.org/wiki/Siege_of_Namur_(1692))\n\n[The Nine Years' War, which lasted from 1688 to 1697, initiated a period of decline in](https://en.wikipedia.org/wiki/Nine_Years%27_War)\n\n[Louis's political and diplomatic fortunes. It arose from two events in the Rhineland. First,](https://en.wikipedia.org/wiki/Rhineland)\n\n[in 1685, the Elector Palatine Charles II died. All that remained of his immediate family](https://en.wikipedia.org/wiki/Charles_II,_Elector_Palatine)\n\n[was Louis's sister-in-law, Elizabeth Charlotte. German law ostensibly barred her from](https://en.wikipedia.org/wiki/Elizabeth_Charlotte_of_the_Palatinate)\n\nsucceeding to her brother's lands and electoral dignity, but it was unclear enough for\n\narguments in favour of Elizabeth Charlotte to have a chance of success. Conversely, the\n\nprincess was demonstrably entitled to a division of the family's personal property. Louis\n\npressed her claims to land and chattels, hoping the latter, at least, would be given to her. <sup>[76]</sup>\n\n[Then, in 1688, Maximilian Henry of Bavaria, Archbishop of Cologne, an ally of France,](https://en.wikipedia.org/wiki/Archbishop_of_Cologne)\n\n[died. The archbishopric had traditionally been held by the Wittelsbachs of Bavaria, but the](https://en.wikipedia.org/wiki/Bavaria)\n\n[Bavarian claimant to replace Maximilian Henry, Prince Joseph Clemens of Bavaria, was at](https://en.wikipedia.org/wiki/Joseph_Clemens_of_Bavaria)\n\nthat time not more than 17 years old and not even ordained. Louis sought instead to install\n\n[his own candidate, Wilhelm Egon von Fürstenberg, to ensure the key Rhenish state](https://en.wikipedia.org/wiki/Wilhelm_Egon_von_F%C3%BCrstenberg)\n\nremained an ally. <sup>[77]</sup>\n\nIn light of his foreign and domestic policies during the early 1680s, which were perceived\n\nas aggressive, Louis's actions, fostered by the succession crises of the late 1680s, created\n\n[concern and alarm in much of Europe. This led to the formation of the 1686 League of](https://en.wikipedia.org/wiki/Grand_Alliance_(League_of_Augsburg))\n\n[Augsburg by the Holy Roman Emperor, Spain, Sweden, Saxony, and Bavaria. Their stated](https://en.wikipedia.org/wiki/Saxony)\n\nintention was to return France to at least the borders agreed to in the Treaty of\n\nNijmegen. <sup>[78]</sup> Emperor Leopold I's persistent refusal to convert the Truce of Ratisbon into\n\na permanent treaty fed Louis's fears that the Emperor would turn on France and attack the\n\nReunions after settling his affairs in the Balkans. <sup>[79]</sup>\n\n[Another event Louis found threatening was England's Glorious Revolution of 1688.](https://en.wikipedia.org/wiki/Glorious_Revolution)\n\n[Although King James II was Catholic, his two Anglican daughters, Mary and Anne,](https://en.wikipedia.org/wiki/Anne,_Queen_of_Great_Britain)\n\n[ensured the English people a Protestant succession. But when James II's son James Francis](https://en.wikipedia.org/wiki/James_Francis_Edward_Stuart)\n\n[Edward Stuart was born, he took precedence in succession over his sisters. This seemed to](https://en.wikipedia.org/wiki/James_Francis_Edward_Stuart)\n\nherald an era of Catholic monarchs in England. Protestant lords called on the Dutch Prince\n\n[William III of Orange, grandson of Charles I of England, to come to their aid. He sailed for England with troops despite Louis's](https://en.wikipedia.org/wiki/Charles_I_of_England)\n\nwarning that France would regard it as a provocation. Witnessing numerous desertions and defections, even among those closest\n\nto him, James II fled England. Parliament declared the throne vacant, and offered it to James's daughter Mary II and his son-in-\n\nlaw and nephew William. Vehemently anti-French, William (now William III of England) pushed his new kingdoms into war, thus\n\n[transforming the League of Augsburg into the Grand Alliance. Before this happened, Louis expected William's expedition to](https://en.wikipedia.org/wiki/Grand_Alliance_(League_of_Augsburg))\n\nEngland to absorb his energies and those of his allies, so he dispatched troops to the Rhineland after the expiry of his ultimatum to\n\nthe German princes requiring confirmation of the Truce of Ratisbon and acceptance of his demands about the succession crises.\n\nThis military manoeuvre was also intended to protect his eastern provinces from Imperial invasion by depriving the enemy army\n\n[of sustenance, thus explaining the preemptive scorched earth policy pursued in much of southwestern Germany (the \"Devastation](https://en.wikipedia.org/wiki/Scorched_earth)\n\nof the Palatinate\"). <sup>[80]</sup>\n\nFrench armies were generally victorious throughout the war because of Imperial commitments in\n\nthe Balkans, French logistical superiority, and the quality of French generals such as Condé's\n\n[famous pupil, François Henri de Montmorency-Bouteville, duc de Luxembourg.](https://en.wikipedia.org/wiki/Fran%C3%A7ois_Henri_de_Montmorency-Bouteville,_duc_de_Luxembourg) <sup>[81]</sup> He triumphed\n\n[at the Battles of Fleurus in 1690, Steenkerque in 1692, and Landen in 1693, although, the battles](https://en.wikipedia.org/wiki/Battle_of_Landen)\n\nproved to be of little of strategic consequence, <sup>[82][83]</sup> mostly due to the nature of late 17th-century\n\nwarfare. <sup>[84]</sup>\n\n[Although an attempt to restore James II failed at the Battle of the Boyne in 1690, France](https://en.wikipedia.org/wiki/Battle_of_the_Boyne)\n\naccumulated a string of victories from Flanders in the north, Germany in the east, and Italy and\n\nSpain in the south, to the high seas and the colonies. Louis personally supervised the captures of\n\n[Mons in 1691 and Namur in 1692. Luxembourg gave France the defensive line of the Sambre by](https://en.wikipedia.org/wiki/Sambre)\n\n[capturing Charleroi in 1693. France also overran most of the Duchy of Savoy after the battles of](https://en.wikipedia.org/wiki/Duchy_of_Savoy)\n\n[Marsaglia and Staffarde in 1693. While naval stalemate ensued after the French victory at the](https://en.wikipedia.org/wiki/Battle_of_Staffarda)\n\n[Battle of Beachy Head in 1690 and the Allied victory at Barfleur-La Hougue in 1692, the Battle of](https://en.wikipedia.org/wiki/Battle_of_Torroella)\n\n[Torroella in 1694 exposed Catalonia to French invasion, culminating in the capture of Barcelona.](https://en.wikipedia.org/wiki/Barcelona)\n\n[The Dutch captured Pondichéry in 1693, but a 1697 French raid on the Spanish treasure port of Cartagena, Spain, yielded a](https://en.wikipedia.org/wiki/Port_of_Cartagena)\n\nfortune of 10,000,000 livres.",
- "page_start": 11,
- "page_end": 11,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "Louis XIV\n\nexperiences during the *Fronde* , when men of high birth readily took up the rebel cause against their king, who was actually the\n\nkinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French\n\nRevolution about a century later.\n\nUnder Louis, France was the leading European power, and most wars pivoted around its\n\naggressiveness. No European state exceeded it in population, and no one could match its\n\nwealth, central location, and very strong professional army. It had largely avoided the\n\ndevastation of the Thirty Years' War. Its weaknesses included an inefficient financial\n\nsystem that was hard-pressed to pay for its military adventures, and the tendency of most\n\nother powers to gang up against it.\n\n[During Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine](https://en.wikipedia.org/wiki/Nine_Years%27_War)\n\n[Years' War, and the War of the Spanish Succession. There were also two lesser conflicts:](https://en.wikipedia.org/wiki/War_of_the_Spanish_Succession)\n\n[the War of Devolution and the War of the Reunions.](https://en.wikipedia.org/wiki/War_of_the_Reunions) <sup>[64]</sup> The wars were very expensive but\n\ndefined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by\n\na mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to\n\nenhance his glory. In peacetime, he concentrated on preparing for the next war. He taught\n\nhis diplomats that their job was to create tactical and strategic advantages for the French\n\nmilitary. <sup>[6]</sup> By 1695, France retained much of its dominance but had lost control of the seas\n\nto England and Holland, and most countries, both Protestant and Catholic, were in alliance\n\n[against it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned](https://en.wikipedia.org/wiki/S%C3%A9bastien_Le_Prestre_de_Vauban)\n\nLouis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that\n\nFrance fight back by licensing French merchant ships to privateer and seize enemy\n\nmerchant ships while avoiding its navies:\n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in\n\nEurope, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies\n\nin the East and West Indies; and Holland with all its possessions in the four corners of the world where it has\n\ngreat establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness,\n\nDenmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states\n\nsecretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting\n\nand covering their trade. <sup>[65]</sup>\n\nVauban was pessimistic about France's so-called friends and allies:\n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England\n\n[James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all\n\nin Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of\n\npeace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they\n\nsupport it by making war against us in concert with the other powers, and they keep it going by means of the\n\nmoney that they pay every year to... Allies.... We must therefore fall back on privateering as the method of\n\nconducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more\n\nso since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many\n\ngood officers for the King, and in a short time force his enemies to sue for peace. <sup>[66]</sup>\n\n[Louis decided to persecute Protestants and revoke the 1598 Edict of Nantes, which awarded Huguenots political and religious](https://en.wikipedia.org/wiki/Edict_of_Nantes)\n\nfreedom. He saw the persistence of Protestantism as a disgraceful reminder of royal powerlessness. After all, the Edict was the\n\n[pragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in](https://en.wikipedia.org/wiki/French_Wars_of_Religion)\n\nLouis's thinking was the prevailing contemporary European principle to assure socio-political stability, *[cuius regio, eius religio](https://en.wikipedia.org/wiki/Cuius_regio,_eius_religio)*\n\n(\"whose realm, his religion\"), the idea that the religion of the ruler should be the religion of the realm (as originally confirmed in\n\n[central Europe in the Peace of Augsburg of 1555).](https://en.wikipedia.org/wiki/Peace_of_Augsburg) <sup>[67]</sup>\n\n[Responding to petitions, Louis initially excluded Protestants from office, constrained the meeting of synods, closed churches](https://en.wikipedia.org/wiki/Synods)\n\noutside of Edict-stipulated areas, banned Protestant outdoor preachers, and prohibited domestic Protestant migration. He also\n\ndisallowed Protestant-Catholic intermarriages to which third parties objected, encouraged missions to the Protestants, and\n\n#### **France as the pivot of warfare**\n\n### **Edict of Fontainebleau**",
- "page_start": 9,
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- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "123. Jens Ivo 2003, pp. 96- 126.\n\n124. Régnier 2009, p. 318.\n\n125. Dunlop 2000, p. 468.\n\n126. Schama 1990, p. 829.\n\n[127. \"William Buckland\" (https://www.westminster-abbey.org/abbey-commemorations/commemorations/william-bucklan](https://www.westminster-abbey.org/abbey-commemorations/commemorations/william-buckland)\n\n[d). Westminster Abbey. Archived (https://web.archive.org/web/20170724131211/http://www.westminster-abbey.or](https://web.archive.org/web/20170724131211/http://www.westminster-abbey.org/our-history/people/william-buckland)\n\n[g/our-history/people/william-buckland) from the original on 24 July 2017. Retrieved 17 January 2016.](https://web.archive.org/web/20170724131211/http://www.westminster-abbey.org/our-history/people/william-buckland)\n\n128. Marquis de Dangeau 1858.\n\n129. Dunlop 2000, pp. 454- 455.\n\n130. Antoine 1989, pp. 33- 37.\n\n131. Holsti 1991, p. 74.\n\n132. Bluche 1986, p. 890.\n\n133. Dunlop 2000, p. 433, citing Montesquieu: \" *Louis established the greatness of France by building Versailles and*\n\n*Marly* .\"\n\n134. Bluche 1986, p. 876.\n\n135. Bluche 1986, pp. 506, 877- 878.\n\n[136. Sommerville, J. P. \"The wars of Louis XIV\" (https://web.archive.org/web/20120603010836/http://faculty.history.wis](https://web.archive.org/web/20120603010836/http://faculty.history.wisc.edu/sommerville/351/351-14.htm)\n\n[c.edu/sommerville/351/351-14.htm). ](https://web.archive.org/web/20120603010836/http://faculty.history.wisc.edu/sommerville/351/351-14.htm) *History 351 - Seventeenth-Century Europe* [. Archived from the original (http://f](http://faculty.history.wisc.edu/sommerville/351/351-14.htm)\n\n[aculty.history.wisc.edu/sommerville/351/351-14.htm) on 3 June 2012. Retrieved 4 May 2012.](http://faculty.history.wisc.edu/sommerville/351/351-14.htm)\n\n137. Napoleon Bonaparte, *Napoleon's Notes on English History made on the Eve of the French Revolution* , illustrated\n\nfrom Contemporary Historians and referenced from the findings of Later Research by Henry Foljambe Hall. New\n\nYork: E. P. Dutton & Co., 1905, 258.\n\n138. Bluche 1986, p. 926.\n\n139. Durant & Durant 1963, p. 721.\n\n140. Rogers Neill Sehnaoui 2013, p. 4.\n\n141. Montoya 2013, p. 47.\n\n142. Delon 2013, p. 1227.\n\n143. Erhard, C. D. (1791). *Betrachtungen über Leopolds des Weisen Gesetzgebung in Toscana* [ *Reflections on*\n\n*Leopold's Wise Legislation in Toscana* [] (in German). Richter. p. 30 (https://books.google.com/books?id=q5hDAAA](https://books.google.com/books?id=q5hDAAAAcAAJ&pg=PA30)\n\n[AcAAJ&pg=PA30).](https://books.google.com/books?id=q5hDAAAAcAAJ&pg=PA30)\n\n144. Marignié, Jean Etienne François (1818). *Le roi ne peut jamais avoir tort, le roi ne peut mal faire* [ *The king was not*\n\n*wrong, the king can do no wrong* [] (in French). Le Normant. p. 12 (https://books.google.com/books?id=P6gnAQAA](https://books.google.com/books?id=P6gnAQAAMAAJ&pg=PA12)\n\n[MAAJ&pg=PA12).](https://books.google.com/books?id=P6gnAQAAMAAJ&pg=PA12)\n\n145. \"Staatswissenschaften\". *Jenaische Allgemeine Literatur-Zeitung* (in German). **14.1** [ (31): 241 (https://books.google.](https://books.google.com/books?id=fQwbAAAAYAAJ&pg=RA1-PA241)\n\n[com/books?id=fQwbAAAAYAAJ&pg=RA1-PA241). February 1817.](https://books.google.com/books?id=fQwbAAAAYAAJ&pg=RA1-PA241)\n\n146. Blanning 2008, p. 286.\n\n147. Wilson 2000, p. 54.\n\n[148. Marquis de Dangeau 1858, p. 24 (http://gallica.bnf.fr/ark:/12148/bpt6k55404p.image.r=M%C3%A9moire+sur+la+](http://gallica.bnf.fr/ark:/12148/bpt6k55404p.image.r=M%C3%A9moire+sur+la+mort+de+Louis+XIV.f27.langFR)\n\n[mort+de+Louis+XIV.f27.langFR).](http://gallica.bnf.fr/ark:/12148/bpt6k55404p.image.r=M%C3%A9moire+sur+la+mort+de+Louis+XIV.f27.langFR)\n\n[149. Velde, François (22 April 2010). \"Arms of France\" (http://www.heraldica.org/topics/france/frarms.htm).](http://www.heraldica.org/topics/france/frarms.htm)\n\n*heraldica.org* [. Archived (https://web.archive.org/web/20140414072047/http://www.heraldica.org/topics/france/frarm](https://web.archive.org/web/20140414072047/http://www.heraldica.org/topics/france/frarms.htm)\n\n[s.htm) from the original on 14 April 2014. Retrieved 11 May 2014.](https://web.archive.org/web/20140414072047/http://www.heraldica.org/topics/france/frarms.htm)\n\n150. * Hamilton, Walter (1895). *[Dated Book-plates (Ex Libris) with a Treatise on Their Origin](https://books.google.com/books?id=_KIrAAAAYAAJ)* (https://books.google.com/\n\n[books?id=_KIrAAAAYAAJ). A.C. Black. p. 37. Archived (https://web.archive.org/web/20230713192807/https://book](https://web.archive.org/web/20230713192807/https://books.google.com/books?id=_KIrAAAAYAAJ)\n\n[s.google.com/books?id=_KIrAAAAYAAJ) from the original on 13 July 2023. Retrieved 22 March 2023.](https://web.archive.org/web/20230713192807/https://books.google.com/books?id=_KIrAAAAYAAJ)\n\n151. Edmunds 2002, p. 274.\n\n152. Anselme de Sainte-Marie 1726, pp. 145- 146.\n\n[153. Wurzbach, Constantin von, ed. (1860). \"Habsburg, Anna von Oesterreich (Königin von Frankreich)\" (https://en.wik](https://en.wikisource.org/wiki/de:BLK%C3%96:Habsburg,_Anna_von_Oesterreich_(K%C3%B6nigin_von_Frankreich))\n\n[isource.org/wiki/de:BLK%C3%96:Habsburg,_Anna_von_Oesterreich_(K%C3%B6nigin_von_Frankreich)).](https://en.wikisource.org/wiki/de:BLK%C3%96:Habsburg,_Anna_von_Oesterreich_(K%C3%B6nigin_von_Frankreich))\n\n*[Biographisches Lexikon des Kaiserthums Oesterreich](https://en.wikipedia.org/wiki/Biographisches_Lexikon_des_Kaiserthums_Oesterreich)* [ *Biographical Encyclopedia of the Austrian Empire* ] (in\n\n[German). Vol. 6. p. 152 - via Wikisource.](https://en.wikipedia.org/wiki/Wikisource)\n\n154. Anselme de Sainte-Marie 1726, pp. 143- 144.\n\n[155. Marie de Médicis (https://www.britannica.com/EBchecked/topic/365073) at the ](https://www.britannica.com/EBchecked/topic/365073) *[Encyclopædia Britannica](https://en.wikipedia.org/wiki/Encyclop%C3%A6dia_Britannica)*\n\n[156. Wurzbach, Constantin von, ed. (1861). \"Habsburg, Philipp III.\" (https://en.wikisource.org/wiki/de:BLK%C3%96:Ha](https://en.wikisource.org/wiki/de:BLK%C3%96:Habsburg,_Philipp_III.)\n\n[bsburg,_Philipp_III.). ](https://en.wikisource.org/wiki/de:BLK%C3%96:Habsburg,_Philipp_III.) *[Biographisches Lexikon des Kaiserthums Oesterreich](https://en.wikipedia.org/wiki/Biographisches_Lexikon_des_Kaiserthums_Oesterreich)* [ *Biographical Encyclopedia of the*\n\n*Austrian Empire* [] (in German). Vol. 7. p. 120 - via Wikisource.](https://en.wikipedia.org/wiki/Wikisource)\n\n[157. Wurzbach, Constantin von, ed. (1861). \"Habsburg, Margaretha (Königin von Spanien)\" (https://en.wikisource.org/](https://en.wikisource.org/wiki/de:BLK%C3%96:Habsburg,_Margaretha_(K%C3%B6nigin_von_Spanien))\n\n[wiki/de:BLK%C3%96:Habsburg,_Margaretha_(K%C3%B6nigin_von_Spanien)). ](https://en.wikisource.org/wiki/de:BLK%C3%96:Habsburg,_Margaretha_(K%C3%B6nigin_von_Spanien)) *[Biographisches Lexikon des](https://en.wikipedia.org/wiki/Biographisches_Lexikon_des_Kaiserthums_Oesterreich)*\n\n*[Kaiserthums Oesterreich](https://en.wikipedia.org/wiki/Biographisches_Lexikon_des_Kaiserthums_Oesterreich)* [ *Biographical Encyclopedia of the Austrian Empire* ] (in German). Vol. 7. p. 13 - via\n\n[Wikisource.](https://en.wikipedia.org/wiki/Wikisource)",
- "page_start": 29,
- "page_end": 29,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "Hatton, Ragnhild Marie (1972). *Louis XIV and His World* [ (https://archive.org/details/louisxivhisworld00hatt_0). New](https://archive.org/details/louisxivhisworld00hatt_0)\n\nYork: Putnam.\n\n[Holsti, Kalevi J. (1991). ](https://en.wikipedia.org/wiki/Kalevi_Holsti) *Peace and War: Armed Conflicts and International Order, 1648- 1989* . Cambridge Studies in\n\n[International Relations. Cambridge University Press. ISBN 978-0-5213-9929-6.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5213-9929-6)\n\nHomans, Jennifer (2010). *Apollo's Angels: A History of Ballet* [ (1st ed.). New York: Random House. ISBN 978-1-4000-](https://en.wikipedia.org/wiki/Special:BookSources/978-1-4000-6060-3)\n\n[6060-3. OCLC 515405940 (https://search.worldcat.org/oclc/515405940).](https://search.worldcat.org/oclc/515405940)\n\nHutton, R (1986). \"The Making of the Secret Treaty of Dover, 1668- 1670\". *The Historical Journal* . **29** (2): 297- 318.\n\n[doi:10.1017/S0018246X00018756 (https://doi.org/10.1017%2FS0018246X00018756). JSTOR 2639064 (https://w](https://www.jstor.org/stable/2639064)\n\n[ww.jstor.org/stable/2639064). S2CID 159787254 (https://api.semanticscholar.org/CorpusID:159787254).](https://api.semanticscholar.org/CorpusID:159787254)\n\nIsrael, Jonathan (1990) [1989]. *Dutch Primacy in World Trade, 1585- 1740* [. Oxford University Press. ISBN 978-0-](https://en.wikipedia.org/wiki/Special:BookSources/978-0-1982-1139-6)\n\n[1982-1139-6.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-1982-1139-6)\n\nJens Ivo, Engels (July- September 2003). \"Dénigrer, espérer, assumer la réalité. Le roi de France perçu par ses\n\nsujets, 1680- 1750\" [Disparaging, Hoping, Taking on Reality: the French King as Perceived by His Subjects, 1680-\n\n1750]. *Revue d'Histoire Moderne et Contemporaine* (in French). **50** [ (3): 96- 126. JSTOR 20530985 (https://www.jst](https://www.jstor.org/stable/20530985)\n\n[or.org/stable/20530985).](https://www.jstor.org/stable/20530985)\n\nKamen, Henry (2001). *Philip V of Spain: The King Who Reigned Twice* [. Yale University Press. ISBN 0-3000-8718-7.](https://en.wikipedia.org/wiki/Special:BookSources/0-3000-8718-7)\n\nKeay, John (1994). *The Honourable Company: A History of the English East India Company* [. London: Macmillan.](https://en.wikipedia.org/wiki/Macmillan_Publishers)\n\nKleinman, Ruth (1985). *Anne of Austria: Queen of France* [. Ohio State University Press. ISBN 978-0-8142-0429-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-8142-0429-0)\n\nLossky, Andrew (1994). *Louis XIV and the French Monarchy* . New Brunswick, NJ: Rutgers University Press.\n\n[ISBN 978-0-8135-2081-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-8135-2081-0)\n\nLynn, John (1999). *[The Wars of Louis XIV, 1667- 1714 (Modern Wars in Perspective)](https://archive.org/details/warsoflouisxiv1600lynn)* (https://archive.org/details/wars\n\n[oflouisxiv1600lynn). Longman. ISBN 978-0-5820-5629-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5820-5629-9)\n\n[Marquis de Dangeau, Philippe de Courcillon (1858). ](https://en.wikipedia.org/wiki/Philippe_de_Courcillon) *Mémoire sur la mort de Louis XIV* [ (https://books.google.com/boo](https://books.google.com/books?id=hCsvgd5daH0C)\n\n[ks?id=hCsvgd5daH0C) [](https://books.google.com/books?id=hCsvgd5daH0C) *Recollections of the Death of Louis XIV* ] (in French). Didot frères, fils. Retrieved\n\n29 November 2009.\n\nMcKay, Derek (1997). Oresko, Robert; Gibbs, G.C. (eds.). *[Small Power Diplomacy in the Age of Louis XIV. In Royal](https://archive.org/details/royalrepublicans0000unse)*\n\n*and Republican Sovereignty: Essays in Memory of Ragnhild Hatton* [ (https://archive.org/details/royalrepublicans00](https://archive.org/details/royalrepublicans0000unse)\n\n[00unse). Cambridge University Press. ISBN 978-0-5214-1910-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5214-1910-9)\n\nMansel, Philip. *King of the World: The Life of Louis XIV* (University of Chicago Press, 2020) scholarly biography;\n\n[online review (https://www.wsj.com/articles/king-of-the-world-review-solar-power-11602860424) Archived (https://](https://web.archive.org/web/20201020070226/https://www.wsj.com/articles/king-of-the-world-review-solar-power-11602860424)\n\n[web.archive.org/web/20201020070226/https://www.wsj.com/articles/king-of-the-world-review-solar-power-116028](https://web.archive.org/web/20201020070226/https://www.wsj.com/articles/king-of-the-world-review-solar-power-11602860424)\n\n[60424) 20 October 2020 at the Wayback Machine](https://en.wikipedia.org/wiki/Wayback_Machine)\n\nMerriman, John (2019) [1996]. *A History of Modern Europe* [ (4th ed.). W.W. Norton & Co. ISBN 978-0-3939-6888-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-3939-6888-0)\n\nMerryman, John Henry (2007). *The Civil Law Tradition: An Introduction to the Legal Systems of Europe and Latin*\n\n*America* [ (3rd ed.). Stanford University Press. ISBN 978-0-8047-5568-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-8047-5568-9)\n\nMontoya, Alicia (2013). *[Medievalist Enlightenment: From Charles Perrault to Jean-Jacques Rousseau](https://books.google.com/books?id=syb6-0eW-_sC&pg=PA47)* (https://books.g\n\n[oogle.com/books?id=syb6-0eW-_sC&pg=PA47). DS Brewer. ISBN 978-1-8438-4342-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-8438-4342-9)\n\nMungello, David E. (2005). *The Great Encounter of China and the West, 1500- 1800* [ (https://archive.org/details/greate](https://archive.org/details/greatencounterof0000mung_m1v1)\n\n[ncounterof0000mung_m1v1). Rowman & Littlefield. ISBN 978-0-7425-3815-3.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-7425-3815-3)\n\n[Nathan, James (Autumn 1993). \"Force, Order, and Diplomacy in the Age of Louis XIV\" (https://www.vqronline.org/ess](https://www.vqronline.org/essay/force-order-and-diplomacy-age-louis-xiv)\n\n[ay/force-order-and-diplomacy-age-louis-xiv). ](https://www.vqronline.org/essay/force-order-and-diplomacy-age-louis-xiv) *[Virginia Quarterly Review](https://en.wikipedia.org/wiki/Virginia_Quarterly_Review)* . **69** [ (4). Charlottesville: University of](https://en.wikipedia.org/wiki/University_of_Virginia)\n\n[Virginia. Archived (https://web.archive.org/web/20191211194226/https://www.vqronline.org/essay/force-order-and-](https://web.archive.org/web/20191211194226/https://www.vqronline.org/essay/force-order-and-diplomacy-age-louis-xiv)\n\n[diplomacy-age-louis-xiv) from the original on 11 December 2019. Retrieved 11 September 2019.](https://web.archive.org/web/20191211194226/https://www.vqronline.org/essay/force-order-and-diplomacy-age-louis-xiv)\n\nNolan, Cathal J. (2008). *Wars of the Age of Louis XIV, 1650- 1715: An Encyclopedia of Global Warfare and*\n\n*Civilization* [. Greenwood Press. ISBN 978-0-3133-3046-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-3133-3046-9)\n\nNorton, Lucy (1982). *The Sun King and His Loves* . The Folio Society.\n\n[Ó Gráda, Cormac; Chevet, Jean-Michel (2002). \"Famine And Market In ](http://researchrepository.ucd.ie/bitstream/10197/368/3/ogradac_article_pub_039.pdf) *Ancient Régime* France\" (http://researchrepos\n\n[itory.ucd.ie/bitstream/10197/368/3/ogradac_article_pub_039.pdf) (PDF). ](http://researchrepository.ucd.ie/bitstream/10197/368/3/ogradac_article_pub_039.pdf) *The Journal of Economic History* . **62** (3):\n\n[706- 733. doi:10.1017/S0022050702001055 (https://doi.org/10.1017%2FS0022050702001055) (inactive 1](https://doi.org/10.1017%2FS0022050702001055)\n\n[November 2024). hdl:10197/368 (https://hdl.handle.net/10197%2F368). PMID 17494233 (https://pubmed.ncbi.nl](https://pubmed.ncbi.nlm.nih.gov/17494233)\n\n[m.nih.gov/17494233). S2CID 8036361 (https://api.semanticscholar.org/CorpusID:8036361). Archived (https://web.](https://web.archive.org/web/20180723072344/https://researchrepository.ucd.ie/bitstream/10197/368/3/ogradac_article_pub_039.pdf)\n\n[archive.org/web/20180723072344/https://researchrepository.ucd.ie/bitstream/10197/368/3/ogradac_article_pub_0](https://web.archive.org/web/20180723072344/https://researchrepository.ucd.ie/bitstream/10197/368/3/ogradac_article_pub_039.pdf)\n\n[39.pdf) (PDF) from the original on 23 July 2018. Retrieved 20 April 2018.](https://web.archive.org/web/20180723072344/https://researchrepository.ucd.ie/bitstream/10197/368/3/ogradac_article_pub_039.pdf)\n\nPagani, Catherine (2001). *[Eastern Magnificence and European Ingenuity: Clocks of Late Imperial China](https://books.google.com/books?id=8bXxHSZkWssC&pg=PA182)* (https://book\n\n[s.google.com/books?id=8bXxHSZkWssC&pg=PA182). University of Michigan Press. ISBN 978-0-4721-1208-1.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-4721-1208-1)\n\nPanhuysen, Luc (2009). *Rampjaar 1672: Hoe de Republiek aan de ondergang ontsnapte* (in Dutch). Uitgeverij Atlas.\n\n[ISBN 978-9-0450-1328-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-9-0450-1328-2)\n\nPanhuysen, Luc (2016). *Oranje tegen de Zonnekoning: De strijd van Willem III en Lodewijk XIV om Europa* (in Dutch).\n\n[Atlas Contact. ISBN 978-9-0450-2329-8.](https://en.wikipedia.org/wiki/Special:BookSources/978-9-0450-2329-8)",
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- },
- {
- "text": "[158. Marek, Miroslav. \"Capet 40\" (http://genealogy.euweb.cz/capet/capet40.html). ](http://genealogy.euweb.cz/capet/capet40.html) *euweb.cz* [. Archived (https://web.archi](https://web.archive.org/web/20131014145729/http://www.genealogy.euweb.cz/capet/capet40.html)\n\n[ve.org/web/20131014145729/http://www.genealogy.euweb.cz/capet/capet40.html) from the original on 14 October](https://web.archive.org/web/20131014145729/http://www.genealogy.euweb.cz/capet/capet40.html)\n\n2013. Retrieved 13 February 2009.\n\n[159. \"Suzanne de Mésenge\" (http://roglo.eu/roglo?lang=es;i=337437). ](http://roglo.eu/roglo?lang=es;i=337437) *roglo.eu* [. Archived (https://web.archive.org/web/](https://web.archive.org/web/20160411124656/http://roglo.eu/roglo?lang=es;i=337437)\n\n[20160411124656/http://roglo.eu/roglo?lang=es;i=337437) from the original on 11 April 2016. Retrieved](https://web.archive.org/web/20160411124656/http://roglo.eu/roglo?lang=es;i=337437)\n\n14 September 2009.\n\nAnselme de Sainte-Marie, Père (1726). *[Histoire généalogique et chronologique de la maison royale de France](https://gallica.bnf.fr/ark:/12148/bpt6k76026j)* (http\n\n[s://gallica.bnf.fr/ark:/12148/bpt6k76026j) [](https://gallica.bnf.fr/ark:/12148/bpt6k76026j) *Genealogical and chronological history of the royal house of France* ] (in\n\n[French). Vol. 1 (3rd ed.). Paris: La compagnie des libraires. Archived (https://web.archive.org/web/2022033108174](https://web.archive.org/web/20220331081748/https://gallica.bnf.fr/ark:/12148/bpt6k76026j)\n\n[8/https://gallica.bnf.fr/ark:/12148/bpt6k76026j) from the original on 31 March 2022. Retrieved 30 August 2018.](https://web.archive.org/web/20220331081748/https://gallica.bnf.fr/ark:/12148/bpt6k76026j)\n\nAntoine, Michel (1989). *Louis XV* [ (in French). Paris: Fayard. ISBN 978-2-2130-2277-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-2-2130-2277-2)\n\n[Bailey, Gauvin Alexander (2018). ](https://en.wikipedia.org/wiki/Gauvin_Alexander_Bailey) *Architecture and Urbanism in the French Atlantic Empire: State, Church and Society,*\n\n*1604- 1830* [. Kingston, Ontario: McGill-Queen's University Press. ISBN 978-0-7735-5376-7.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-7735-5376-7)\n\nBarentine, John C. (2016). *Uncharted Constellations: Asterisms, Single-Source and Rebrands* [. Springer Publishing.](https://en.wikipedia.org/wiki/Springer_Publishing)\n\n[ISBN 978-3-3192-7619-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-3-3192-7619-9)\n\nBarnes, Linda L. (2005). *Needles, Herbs, Gods, and Ghosts: China, Healing, and the West to 1848* . Harvard\n\n[University Press. ISBN 978-0-6740-1872-3.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-6740-1872-3)\n\nBeem, Charles (2018). *[Queenship in Early Modern Europe](https://books.google.com/books?id=301GEAAAQBAJ)* (https://books.google.com/books?id=301GEAAAQBAJ).\n\n[Red Globe Press. ISBN 978-1-1370-0506-9. Archived (https://web.archive.org/web/20231124053309/https://book](https://web.archive.org/web/20231124053309/https://books.google.com/books?id=301GEAAAQBAJ)\n\n[s.google.com/books?id=301GEAAAQBAJ) from the original on 24 November 2023. Retrieved 30 October 2023.](https://web.archive.org/web/20231124053309/https://books.google.com/books?id=301GEAAAQBAJ)\n\nBély, Lucien (2001). *The History of France* [. Paris: Editions Jean-Paul Gisserot. ISBN 978-2-8774-7563-1.](https://en.wikipedia.org/wiki/Special:BookSources/978-2-8774-7563-1)\n\nBlack, Jeremy (2011). *Beyond the Military Revolution: War in the Seventeenth Century World* . Palgrave Macmillan.\n\n[ISBN 978-0-2302-5156-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-2302-5156-4)\n\nBlanning, Tim (2008). *The Pursuit of Glory: The Five Revolutions That Made Modern Europe* . Penguin Books.\n\n[ISBN 978-0-1431-1389-8.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-1431-1389-8)\n\n[Bluche, François (1986). ](https://en.wikipedia.org/wiki/Fran%C3%A7ois_Bluche) *Louis XIV* [ (in French). Paris: Hachette Littératures. ISBN 978-2-0101-3174-5.](https://en.wikipedia.org/wiki/Special:BookSources/978-2-0101-3174-5)\n\n[Bluche, François (1990). ](https://en.wikipedia.org/wiki/Fran%C3%A7ois_Bluche) *Louis XIV* [. Translated by Greengrass, Mark. New York: Franklin Watts. p. 11. ISBN 978-0-](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5311-5112-9)\n\n[5311-5112-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5311-5112-9)\n\n[Bluche, François (2005). ](https://en.wikipedia.org/wiki/Fran%C3%A7ois_Bluche) *Dictionnaire du Grand Siècle 1589- 1715* [ (in French). Fayard. ISBN 978-2-2136-2144-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-2-2136-2144-9)\n\nBryant, Mark (2004). \"Partner, Matriarch, and Minister: Mme de Maintenon of France, Clandestine Consort, 1680-\n\n1715\". In Campbell Orr, Clarissa (ed.). *Queenship in Europe 1660- 1815: The Role of the Consort* . Cambridge\n\n[University Press. pp. 77- 106. ISBN 978-0-5218-1422-5.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5218-1422-5)\n\n[Buckley, Veronica (2008). ](https://en.wikipedia.org/wiki/Veronica_Buckley) *Madame de Maintenon: The Secret Wife of Louis XIV* [. London: Bloomsbury. ISBN 978-0-](https://en.wikipedia.org/wiki/Special:BookSources/978-0-7475-8098-0)\n\n[7475-8098-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-7475-8098-0)\n\nBurke, Peter (1992). \"The Fabrication of Louis XIV\". *History Today* . **42** (2).\n\nClaydon, Tony (2007). *Europe and the Making of England, 1660- 1760* [. Cambridge University Press. ISBN 978-0-](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5218-5004-9)\n\n[5218-5004-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5218-5004-9)\n\nDelon, Michel (2013). *[Encyclopedia of the Enlightenment](https://books.google.com/books?id=QEpJAgAAQBAJ)* (https://books.google.com/books?id=QEpJAgAAQBAJ).\n\n[Routledge. ISBN 978-1-1359-5998-2.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-1359-5998-2)\n\nDunlop, Ian (2000). *Louis XIV* [. London: Pimlico. ISBN 978-0-7126-6709-8.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-7126-6709-8)\n\nDurant, Will; Durant, Ariel (1963). *[The Story of Civilization](https://en.wikipedia.org/wiki/The_Story_of_Civilization)* . Vol. 8: The Age of Louis XIV. Boston: Simon & Schuster.\n\nDvornik, Francis (1962). *The Slavs in European History and Civilization* [ (https://books.google.com/books?id=LACpYP](https://books.google.com/books?id=LACpYP-g1y8C)\n\n[-g1y8C). Rutgers University Press. ISBN 978-0-8135-0799-6. Archived (https://web.archive.org/web/20231017044](https://web.archive.org/web/20231017044641/https://books.google.com/books?id=LACpYP-g1y8C)\n\n[641/https://books.google.com/books?id=LACpYP-g1y8C) from the original on 17 October 2023. Retrieved](https://web.archive.org/web/20231017044641/https://books.google.com/books?id=LACpYP-g1y8C)\n\n21 August 2021.\n\nEdmunds, Martha (2002). *Piety and Politics* [. University of Delaware Press. ISBN 0-8741-3693-8.](https://en.wikipedia.org/wiki/Special:BookSources/0-8741-3693-8)\n\n[Edwards (2007). \"Edict of Versailles (1787)\" (https://books.google.com/books?id=6_2wkP4j-EsC&pg=PA212). In](https://books.google.com/books?id=6_2wkP4j-EsC&pg=PA212)\n\nFremont-Barnes, Gregory (ed.). *Encyclopedia of the Age of Political Revolutions and New Ideologies, 1760- 1815* .\n\n[Greenwood Publishing. ISBN 978-0-3130-4951-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-3130-4951-4)\n\nFraser, Antonia (2006). *Love and Louis XIV: The Women in the Life of the Sun King* [. New York: Random House, Inc.](https://en.wikipedia.org/wiki/Random_House,_Inc.)\n\n[ISBN 978-1-4000-3374-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-4000-3374-4)\n\nFrost, Robert (2000). *The Northern Wars; State and Society in Northeastern Europe 1558- 1721* . Routledge.\n\n[ISBN 978-0-5820-6429-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-5820-6429-4)\n\n[Gaudelus, Sébastien (2000). \"La Mise en Spectacle De La Religion Royale: Recherches sur la Devotion de Louis](https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133)\n\n[XIV\" (https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133). ](https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133) *Histoire, Économie et Société* (in\n\nFrench). **19** [ (4): 513- 526. doi:10.3406/hes.2000.2133 (https://doi.org/10.3406%2Fhes.2000.2133). Archived (http](https://web.archive.org/web/20200522101239/https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133)\n\n[s://web.archive.org/web/20200522101239/https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133)](https://web.archive.org/web/20200522101239/https://www.persee.fr/doc/hes_0752-5702_2000_num_19_4_2133)\n\nfrom the original on 22 May 2020. Retrieved 9 October 2020.\n\n#### **Works cited**",
- "page_start": 30,
- "page_end": 30,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "Baptismal certificate, 1638\n\n[Louis XIV, then Dauphin of France,](https://en.wikipedia.org/wiki/Dauphin_of_France)\n\nin 1642, one year before his\n\n[accession to the throne, by Philippe](https://en.wikipedia.org/wiki/Philippe_de_Champaigne)\n\n[de Champaigne](https://en.wikipedia.org/wiki/Philippe_de_Champaigne)\n\n[Louis XIV in 1643, by Claude Deruet](https://en.wikipedia.org/wiki/Claude_Deruet)\n\n[Europe after the Peace of](https://en.wikipedia.org/wiki/Peace_of_Westphalia)\n\n[Westphalia in 1648](https://en.wikipedia.org/wiki/Peace_of_Westphalia)\n\nThe Queen sought a lasting peace between Catholic nations, but only after a French victory over\n\nher native Spain. She also gave a partial Catholic orientation to French foreign policy. This was\n\nfelt by the Netherlands, France's Protestant ally, which negotiated a separate peace with Spain in\n\n1648. <sup>[18]</sup>\n\n[In 1648, Anne and Mazarin successfully negotiated the Peace of Westphalia, which ended the](https://en.wikipedia.org/wiki/Peace_of_Westphalia)\n\n[Thirty Years' War.](https://en.wikipedia.org/wiki/Thirty_Years%27_War) <sup>[19]</sup> [ Its terms ensured Dutch independence from Spain, awarded some autonomy](https://en.wikipedia.org/wiki/Spanish_Empire)\n\n[to the various German princes of the Holy Roman Empire, and granted Sweden seats on the](https://en.wikipedia.org/wiki/Holy_Roman_Empire)\n\n[Imperial Diet and territories controlling the mouths of the Oder, Elbe, and Weser Rivers.](https://en.wikipedia.org/wiki/Weser) <sup>[20]</sup>\n\n[France, however, profited most from the settlement. Austria, ruled by the Habsburg Emperor](https://en.wikipedia.org/wiki/House_of_Habsburg)\n\n[Ferdinand III, ceded all Habsburg lands and claims in Alsace to France and acknowledged her ](https://en.wikipedia.org/wiki/Alsace) *de*\n\n*facto* [ sovereignty over the Three Bishoprics of Metz, Verdun, and Toul.](https://en.wikipedia.org/wiki/Toul) <sup>[21]</sup> Moreover,\n\nmany petty German states sought French protection, eager to emancipate themselves from\n\n[Habsburg domination. This anticipated the formation of the 1658 League of the Rhine,](https://en.wikipedia.org/wiki/League_of_the_Rhine)\n\nwhich further diminished Imperial power.\n\n[As the Thirty Years' War came to an end, a civil war known as the Fronde erupted in](https://en.wikipedia.org/wiki/The_Fronde)\n\nFrance. It effectively checked France's ability to exploit the Peace of Westphalia. Anne and\n\nMazarin had largely pursued the policies of Cardinal Richelieu, augmenting the Crown's\n\npower at the expense of the nobility and the *[Parlements](https://en.wikipedia.org/wiki/Parlement)* . Anne was more concerned with\n\ninternal policy than foreign affairs; she was a very proud queen who insisted on the divine\n\nrights of the King of France. <sup>[22]</sup>\n\nAll this led her to advocate a forceful policy in all matters relating to the King's authority,\n\nin a manner that was much more radical than the one proposed by Mazarin. The Cardinal\n\ndepended totally on Anne's support and had to use all his influence on the Queen to temper\n\nsome of her radical actions. Anne imprisoned any aristocrat or member of parliament who\n\nchallenged her will; her main aim was to transfer to her son an absolute authority in the\n\nmatters of finance and justice. One of the leaders of the Parlement of Paris, whom she had\n\njailed, died in prison. <sup>[23]</sup>\n\nThe *Frondeurs* , political heirs of the disaffected feudal aristocracy, sought to protect their\n\ntraditional feudal privileges from the increasingly centralized royal government.\n\nFurthermore, they believed their traditional influence and authority was being usurped by\n\nthe recently ennobled bureaucrats (the *Noblesse de Robe* , or \"nobility of the robe\"), who\n\nadministered the kingdom and on whom the monarchy increasingly began to rely. This\n\nbelief intensified the nobles' resentment.\n\nIn 1648, Anne and Mazarin attempted to tax members of the *Parlement de Paris* . The\n\nmembers refused to comply and ordered all of the king's earlier financial edicts burned.\n\nBuoyed by the victory of *[Louis, duc d'Enghien](https://en.wikipedia.org/wiki/Louis,_Grand_Cond%C3%A9)* (later known as *le Grand Condé* ) at the\n\n[Battle of Lens, Mazarin, on Queen Anne's insistence, arrested certain members in a show](https://en.wikipedia.org/wiki/Battle_of_Lens)\n\nof force. <sup>[24]</sup> [ The most important arrest, from Anne's point of view, concerned Pierre](https://en.wikipedia.org/wiki/Pierre_Broussel)\n\n[Broussel, one of the most important leaders in the ](https://en.wikipedia.org/wiki/Pierre_Broussel) *Parlement de Paris* .\n\nPeople in France were complaining about the expansion of royal authority, the high rate of\n\ntaxation, and the reduction of the authority of the Parlement de Paris and other regional\n\nrepresentative entities. Paris erupted in rioting as a result, and Anne was forced, under\n\nintense pressure, to free Broussel. Moreover, on the night of 9- 10 February 1651, when\n\nLouis was twelve, a mob of angry Parisians broke into the royal palace and demanded to\n\nsee their king. Led into the royal bed-chamber, they gazed upon Louis, who was feigning\n\nsleep, were appeased, and then quietly departed. <sup>[25]</sup> The threat to the royal family\n\nprompted Anne to flee Paris with the king and his courtiers.\n\n[Shortly thereafter, the conclusion of the Peace of Westphalia allowed Condé's army to](https://en.wikipedia.org/wiki/Peace_of_Westphalia)\n\nreturn to aid Louis and his court. Condé's family was close to Anne at that time, and he\n\nagreed to help her attempt to restore the king's authority. <sup>[26]</sup> The queen's army, headed by\n\n#### **Early acts**",
- "page_start": 2,
- "page_end": 2,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "**Name Birth Death Notes**\n\n* **[By NN, a gardener](https://en.wikipedia.org/wiki/Nomen_nescio)** *\n\nDaughter 1660 unknown She married N de la Queue, a sentry. <sup>[158]</sup>\n\n* **[By Louise de La Vallière (6 August 1644 - 6 June 1710)](https://en.wikipedia.org/wiki/Louise_de_La_Valli%C3%A8re)** *\n\nCharles de La\n\nBaume Le Blanc\n\n19 December\n\n1663\n\n15 July 1665\n\n(aged 1) Not legitimised.\n\nPhilippe de La\n\nBaume Le Blanc\n\n7 January\n\n1665 1666 (aged 1) Not legitimised.\n\n[Marie Anne de](https://en.wikipedia.org/wiki/Marie_Anne_de_Bourbon)\n\n[Bourbon](https://en.wikipedia.org/wiki/Marie_Anne_de_Bourbon)\n\n2 October\n\n1666\n\n3 May 1739\n\n(aged 73) [Legitimised on 14 May 1667. Married Louis Armand I, Prince of Conti.](https://en.wikipedia.org/wiki/Louis_Armand_I,_Prince_of_Conti)\n\n[Louis, Count of](https://en.wikipedia.org/wiki/Louis,_Count_of_Vermandois)\n\n[Vermandois](https://en.wikipedia.org/wiki/Louis,_Count_of_Vermandois)\n\n3 October\n\n1667\n\n18 November\n\n1683 (aged\n\n16)\n\n[Legitimised on 20 February 1669. Held the office of Admiral of France.](https://en.wikipedia.org/wiki/Admiral_of_France)\n\n* **[By Françoise-Athénaïs, marquise de Montespan (5 October 1641 - 27 May 1707)](https://en.wikipedia.org/wiki/Fran%C3%A7oise-Ath%C3%A9na%C3%AFs,_marquise_de_Montespan)** *\n\nLouise Françoise\n\nde Bourbon\n\nat the end of\n\nMarch 1669\n\n23 February\n\n1672 (aged 2)\n\n[Louis Auguste,](https://en.wikipedia.org/wiki/Louis_Auguste,_Duke_of_Maine)\n\n[Duke of Maine](https://en.wikipedia.org/wiki/Louis_Auguste,_Duke_of_Maine)\n\n31 March\n\n1670\n\n14 May 1736\n\n(aged 66)\n\n[Legitimised on 20 December 1673. Held numerous offices, of which: Colonel](https://en.wikipedia.org/wiki/Maison_du_Roi)\n\n[General of the Suisses et Grisons, Governor of Languedoc, General of the](https://en.wikipedia.org/wiki/Languedoc)\n\n[Galleys, and Grand Master of Artillery. Also Duke of Aumale, Count of Eu and](https://en.wikipedia.org/wiki/Grand_Master_of_Artillery)\n\n[Prince of Dombes. Had issue. Founder of the Maine Line. Heir presumptive for](https://en.wikipedia.org/wiki/Heir_presumptive)\n\nseveral days.\n\n[Louis César, Count](https://en.wikipedia.org/wiki/Louis_C%C3%A9sar,_Count_of_Vexin)\n\n[of Vexin](https://en.wikipedia.org/wiki/Louis_C%C3%A9sar,_Count_of_Vexin)\n\n20 June\n\n1672\n\n10 January\n\n1683 (aged\n\n10)\n\nLegitimised on 20 December 1673.\n\n[Louise Françoise](https://en.wikipedia.org/wiki/Louise_Fran%C3%A7oise_de_Bourbon_(1673%E2%80%931743))\n\n[de Bourbon](https://en.wikipedia.org/wiki/Louise_Fran%C3%A7oise_de_Bourbon_(1673%E2%80%931743)) 1 June 1673 16 June 1743\n\n(aged 70)\n\n[Legitimised on 20 December 1673. Married Louis III, Prince of Condé. Had](https://en.wikipedia.org/wiki/Louis_III,_Prince_of_Cond%C3%A9)\n\nissue.\n\n[Louise Marie Anne](https://en.wikipedia.org/wiki/Louise_Marie_Anne_de_Bourbon)\n\n[de Bourbon](https://en.wikipedia.org/wiki/Louise_Marie_Anne_de_Bourbon)\n\n12 November\n\n1674\n\n15 September\n\n1681 (aged 6) Legitimised in January 1676.\n\n[Françoise Marie de](https://en.wikipedia.org/wiki/Fran%C3%A7oise_Marie_de_Bourbon)\n\n[Bourbon](https://en.wikipedia.org/wiki/Fran%C3%A7oise_Marie_de_Bourbon)\n\n9 February\n\n1677\n\n1 February\n\n1749 (aged\n\n72)\n\n[Legitimised in November 1681. Married Philippe II, Duke of Orléans, the Regent](https://en.wikipedia.org/wiki/R%C3%A9gence)\n\n[of France under Louis XV. Had issue.](https://en.wikipedia.org/wiki/R%C3%A9gence)\n\n[Louis Alexandre,](https://en.wikipedia.org/wiki/Louis_Alexandre,_Count_of_Toulouse)\n\n[Count of Toulouse](https://en.wikipedia.org/wiki/Louis_Alexandre,_Count_of_Toulouse) 6 June 1678\n\n1 December\n\n1737 (aged\n\n59)\n\n[Legitimised on 22 November 1681. Held numerous offices, of which: Admiral of](https://en.wikipedia.org/wiki/Admiral_of_France)\n\n[France, Governor of Guyenne, Governor of Brittany, and Grand Huntsman of](https://en.wikipedia.org/wiki/Grand_Huntsman_of_France)\n\n[France. Also Duke of Damville, of Rambouillet and of Penthièvre. Had issue.](https://en.wikipedia.org/wiki/Grand_Huntsman_of_France)\n\n* **[by Claude de Vin, Mademoiselle des Œillets (1637 - 18 May 1687)](https://en.wikipedia.org/wiki/Claude_de_Vin_des_%C5%92illets)** *\n\n[Louise de](https://en.wikipedia.org/wiki/Louise_de_Maisonblanche)\n\n[Maisonblanche](https://en.wikipedia.org/wiki/Louise_de_Maisonblanche)\n\n*c* . 17 June\n\n1676\n\n12 September\n\n1718 (aged\n\n42) In 1696 she married Bernard de Prez, Baron de La Queue. <sup>[159]</sup>\n\n* **[by Angélique de Fontanges (1661 - 28 June 1681)](https://en.wikipedia.org/wiki/Ang%C3%A9lique_de_Fontanges)** *\n\nSon January\n\n1680\n\nJanuary 1680\n\n(stillborn)\n\nDaughter March 1681 March 1681\n\n(stillborn) Her existence is uncertain.\n\n[Charles de Lorme, personal medical doctor to Louis XIV](https://en.wikipedia.org/w/index.php?title=Charles_de_Lorme&action=edit&redlink=1)\n\n[Fundamental laws of the Kingdom of France](https://en.wikipedia.org/wiki/Fundamental_laws_of_the_Kingdom_of_France)\n\n[House of France](https://en.wikipedia.org/wiki/House_of_France)\n\n[Levée (ceremony)](https://en.wikipedia.org/wiki/Lev%C3%A9e_(ceremony))\n\n[List of French monarchs](https://en.wikipedia.org/wiki/List_of_French_monarchs)\n\n[Outline of France](https://en.wikipedia.org/wiki/Outline_of_France)\n\n[Louis XIV style](https://en.wikipedia.org/wiki/Louis_XIV_style)\n\n[Nicolas Fouquet](https://en.wikipedia.org/wiki/Nicolas_Fouquet)\n\n[French forestry Ordinance of 1669](https://en.wikipedia.org/wiki/French_forestry_ordinance_of_1669)\n\n[Potager du Roi](https://en.wikipedia.org/wiki/Potager_du_roi,_Versailles)\n\n### **See also**",
- "page_start": 25,
- "page_end": 25,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "**[Issue](https://en.wikipedia.org/wiki/Issue_(genealogy))**\n\n*more...*\n\n[Louis, Grand Dauphin](https://en.wikipedia.org/wiki/Louis,_Grand_Dauphin)\n\n[Marie Thérèse, Madame](https://en.wikipedia.org/wiki/Marie_Th%C3%A9r%C3%A8se,_Madame_Royale_(1667%E2%80%931672))\n\n[Royale](https://en.wikipedia.org/wiki/Marie_Th%C3%A9r%C3%A8se,_Madame_Royale_(1667%E2%80%931672))\n\n[Philippe Charles, Duke of](https://en.wikipedia.org/wiki/Philippe_Charles,_Duke_of_Anjou)\n\n[Anjou](https://en.wikipedia.org/wiki/Philippe_Charles,_Duke_of_Anjou)\n\n*Illegitimate* :\n\n[Marie Anne, Princess of Conti](https://en.wikipedia.org/wiki/Marie_Anne,_Princess_of_Conti)\n\n[Louis, Count of Vermandois](https://en.wikipedia.org/wiki/Louis,_Count_of_Vermandois)\n\n[Louis Auguste, Duke of Maine](https://en.wikipedia.org/wiki/Louis_Auguste,_Duke_of_Maine)\n\n[Louis César, Count of Vexin](https://en.wikipedia.org/wiki/Louis_C%C3%A9sar,_Count_of_Vexin)\n\n[Louise Françoise, Princess of](https://en.wikipedia.org/wiki/Louise_Fran%C3%A7oise,_Princess_of_Cond%C3%A9)\n\n[Condé](https://en.wikipedia.org/wiki/Louise_Fran%C3%A7oise,_Princess_of_Cond%C3%A9)\n\n[Louise Marie Anne,](https://en.wikipedia.org/wiki/Louise_Marie_Anne_de_Bourbon)\n\n[Mademoiselle de Tours](https://en.wikipedia.org/wiki/Louise_Marie_Anne_de_Bourbon)\n\n[Louise, Baroness of La](https://en.wikipedia.org/wiki/Louise_de_Maisonblanche)\n\n[Queue](https://en.wikipedia.org/wiki/Louise_de_Maisonblanche)\n\n[Françoise Marie, Duchess of](https://en.wikipedia.org/wiki/Fran%C3%A7oise_Marie_de_Bourbon)\n\n[Orléans](https://en.wikipedia.org/wiki/Fran%C3%A7oise_Marie_de_Bourbon)\n\n[Louis Alexandre, Count of](https://en.wikipedia.org/wiki/Louis_Alexandre,_Count_of_Toulouse)\n\n[Toulouse](https://en.wikipedia.org/wiki/Louis_Alexandre,_Count_of_Toulouse)\n\n**Names**\n\nLouis-Dieudonné de France\n\n**[House](https://en.wikipedia.org/wiki/Dynasty)** [Bourbon](https://en.wikipedia.org/wiki/House_of_Bourbon)\n\n**Father** [Louis XIII](https://en.wikipedia.org/wiki/Louis_XIII)\n\n**Mother** [Anne of Austria](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n**Religion** [Catholicism](https://en.wikipedia.org/wiki/Catholic_Church_in_France)\n\n**Signature**\n\nLouis XIV as a young child,\n\nunknown painter\n\n[Louis XIV was born on 5 September 1638 in the Château de Saint-Germain-en-](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye)\n\n[Laye, to Louis XIII and Anne of Austria. He was named Louis Dieudonné](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n(Louis the God-given) <sup>[7]</sup> [ and bore the traditional title of French heirs apparent:](https://en.wikipedia.org/wiki/Heir_apparent)\n\n*[Dauphin](https://en.wikipedia.org/wiki/Dauphin_of_France)* . <sup>[8]</sup> At the time of his birth, his parents had been married for 23 years.\n\n[His mother had experienced four stillbirths between 1619 and 1631. Leading](https://en.wikipedia.org/wiki/Stillbirth)\n\ncontemporaries thus regarded him as a divine gift and his birth a miracle of\n\nGod. <sup>[9]</sup>\n\nLouis's relationship with his mother was uncommonly affectionate for the time.\n\nContemporaries and eyewitnesses claimed that the Queen would spend all her\n\ntime with Louis. <sup>[10]</sup> Both were greatly interested in food and theatre, and it is\n\nhighly likely that Louis developed these interests through his close relationship\n\nwith his mother. This long-lasting and loving relationship can be evidenced by\n\nexcerpts in Louis's journal entries, such as:\n\n\"Nature was responsible for the first knots which tied me to my\n\nmother. But attachments formed later by shared qualities of the\n\nspirit are far more difficult to break than those formed merely by\n\nblood.\" <sup>[11]</sup>\n\nIt was his mother who gave Louis his belief in the absolute and divine power of\n\nhis monarchical rule. <sup>[12]</sup>\n\n[During his childhood, he was taken care of by the governesses Françoise de](https://en.wikipedia.org/wiki/Fran%C3%A7oise_de_Lansac)\n\n[Lansac and Marie-Catherine de Senecey. In 1646, Nicolas V de Villeroy](https://en.wikipedia.org/wiki/Nicolas_de_Neufville_de_Villeroy)\n\nbecame the young king's tutor. Louis XIV became friends with Villeroy's young\n\n[children, particularly François de Villeroy, and divided his time between the](https://en.wikipedia.org/wiki/Fran%C3%A7ois_de_Neufville,_duc_de_Villeroy)\n\n[Palais-Royal and the nearby Hotel de Villeroy.](https://en.wikipedia.org/wiki/Palais-Royal)\n\n[Sensing imminent death in the spring of 1643, King Louis XIII decided to put his affairs in](https://en.wikipedia.org/wiki/Louis_XIII)\n\norder for his four-year-old son Louis XIV. Not trusting the judgement of his Spanish wife\n\n[Queen Anne, who would normally have become the sole regent of France, the king](https://en.wikipedia.org/wiki/Regent)\n\ndecreed that a regency council would rule on his son's behalf, with Anne at its head. <sup>[13]</sup>\n\nLouis XIII died on 14 May 1643. On 18 May <sup>[14]</sup> Queen Anne had her husband's will\n\nannulled by the *[Parlement de Paris](https://en.wikipedia.org/wiki/Parlement)* , a judicial body of nobles and high-ranking clergy, <sup>[15]</sup>\n\nand she became sole regent. She exiled her husband's ministers Chavigny and Bouthilier\n\n[and appointed the Count of Brienne as her minister of foreign affairs.](https://en.wikipedia.org/wiki/Henri-Auguste_de_Lom%C3%A9nie,_comte_de_Brienne) <sup>[16]</sup> Anne kept the\n\ndirection of religious policy strongly in hand until her son's majority in 1661.\n\n[She appointed Cardinal Mazarin as chief minister, giving him the daily administration of](https://en.wikipedia.org/wiki/Cardinal_Mazarin)\n\n[policy. She continued the policies of her late husband and Cardinal Richelieu, despite their](https://en.wikipedia.org/wiki/Cardinal_Richelieu)\n\npersecution of her, in order to win absolute authority in France and victory abroad for her\n\n[son. Anne protected Mazarin by exiling her followers the Duke of Beaufort and Marie de](https://en.wikipedia.org/wiki/Marie_de_Rohan)\n\n[Rohan, who conspired against him in 1643.](https://en.wikipedia.org/wiki/Marie_de_Rohan) <sup>[17]</sup>\n\nThe best example of Anne's loyalty to France was her treatment of one of Richelieu's men,\n\n[the Chancellor Pierre Séguier. Séguier had brusquely interrogated Anne in 1637 (like a](https://en.wikipedia.org/wiki/Pierre_S%C3%A9guier)\n\n\"common criminal\", as she recalled) following the discovery that she was giving military secrets to her father in Spain, and Anne\n\nwas virtually under house arrest for years. By keeping the effective Séguier in his post, Anne sacrificed her own feelings for the\n\ninterests of France and her son Louis.\n\n### **Minority and the** * **Fronde** *\n\n#### **Accession**",
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- "query": "What was one of Louis XIV's most ill-famed decrees?",
- "target_page": 6,
- "target_passage": "One of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of 1685, the Code Noir (black code)",
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- "text": "Engraving of Louis XIV\n\nLouis and his family portrayed as\n\nRoman gods in a 1670 painting by\n\n[Jean Nocret. L to R: Louis's aunt,](https://en.wikipedia.org/wiki/Jean_Nocret)\n\n[Henriette-Marie; his brother,](https://en.wikipedia.org/wiki/Henrietta_Maria_of_France)\n\n[Philippe, duc d'Orléans; the Duke's](https://en.wikipedia.org/wiki/Philippe_I,_Duke_of_Orl%C3%A9ans)\n\n[daughter, Marie Louise d'Orléans,](https://en.wikipedia.org/wiki/Princess_Marie_Louise_of_Orl%C3%A9ans_(1662%E2%80%931689))\n\n[and wife, Henriette-Anne Stuart; the](https://en.wikipedia.org/wiki/Henrietta_Anne_Stuart)\n\n[Queen-mother, Anne of Austria;](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n[three daughters of Gaston](https://en.wikipedia.org/wiki/Gaston,_Duke_of_Orl%C3%A9ans)\n\n[d'Orléans; Louis XIV; the Dauphin](https://en.wikipedia.org/wiki/Gaston,_Duke_of_Orl%C3%A9ans)\n\n[Louis; Queen Marie-Thérèse; ](https://en.wikipedia.org/wiki/Maria_Theresa_of_Spain) *[la](https://en.wikipedia.org/wiki/Anne_Marie_Louise_d%27Orl%C3%A9ans,_Duchess_of_Montpensier)*\n\n*[Grande Mademoiselle](https://en.wikipedia.org/wiki/Anne_Marie_Louise_d%27Orl%C3%A9ans,_Duchess_of_Montpensier)* .\n\nwas persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis\n\nfeared the political concessions which they would demand in return. Only towards the\n\nclose of his reign under the extreme exigency of war, was he able, for the first time in\n\nFrench history, to impose direct taxes on the aristocracy. This was a step toward equality\n\nbefore the law and toward sound public finance, though it was predictably diminished by\n\nconcessions and exemptions won by the insistent efforts of nobles and bourgeois. <sup>[35]</sup>\n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade.\n\n[Colbert's mercantilist administration established new industries and encouraged](https://en.wikipedia.org/wiki/Mercantilism)\n\n[manufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins](https://en.wikipedia.org/wiki/Gobelins_manufactory)\n\n[tapestry manufactory. He invited manufacturers and artisans from all over Europe to](https://en.wikipedia.org/wiki/Gobelins_manufactory)\n\n[France, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He](https://en.wikipedia.org/wiki/Murano)\n\naimed to decrease imports while increasing French exports, hence reducing the net outflow\n\nof precious metals from France.\n\n[Louis instituted reforms in military administration through Michel le Tellier and his son](https://en.wikipedia.org/wiki/Michel_le_Tellier)\n\n[François-Michel le Tellier, successive Marquis de Louvois. They helped to curb the](https://en.wikipedia.org/wiki/Fran%C3%A7ois-Michel_le_Tellier,_Marquis_de_Louvois)\n\nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted\n\nwar at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the\n\nold military aristocracy ( *noblesse d'épée* , nobility of the sword) monopolizing senior military positions and the higher ranks.\n\nLouvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the\n\nsoldiers' material well-being and morale, and even tried to direct campaigns.\n\n[Louis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France](https://en.wikipedia.org/wiki/Great_Ordinances)\n\nwas a patchwork of legal systems, with as many traditional legal regimes as there were\n\n[provinces, and two co-existing legal systems—customary law in the north and Roman civil](https://en.wikipedia.org/wiki/Roman_law)\n\n[law in the south.](https://en.wikipedia.org/wiki/Roman_law) <sup>[36]</sup> The *Grande Ordonnance de Procédure Civile* of 1667, the *Code*\n\n*Louis* [, was a comprehensive legal code imposing a uniform regulation of civil procedure](https://en.wikipedia.org/wiki/Civil_procedure)\n\nthroughout the kingdom. Among other things, it prescribed baptismal, marriage and death\n\nrecords in the state's registers, not the church's, and it strictly regulated the right of the\n\n*Parlements* to remonstrate. <sup>[37]</sup> The *Code Louis* [ later became the basis for the Napoleonic](https://en.wikipedia.org/wiki/Napoleonic_code)\n\n[code, which in turn inspired many modern legal codes.](https://en.wikipedia.org/wiki/Napoleonic_code)\n\nOne of Louis's more infamous decrees was the *Grande Ordonnance sur les Colonies* of\n\n1685, the *[Code Noir](https://en.wikipedia.org/wiki/Code_Noir)* (black code). Although it sanctioned slavery, it attempted to humanise\n\nthe practice by prohibiting the separation of families. Additionally, in the colonies, only\n\nRoman Catholics could own slaves, and these had to be baptised.\n\nLouis ruled through a number of councils:\n\nConseil d'en haut (\"High Council\", concerning the most important matters of\n\nstate)—composed of the king, the crown prince, the controller-general of\n\nfinances, and the secretaries of state in charge of various departments. The\n\nmembers of that council were called ministers of state.\n\nConseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces).\n\nConseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).\n\nConseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an\n\nhonorary post in most cases)—this was one of the few posts in the council available to the high aristocracy. <sup>[38]</sup>\n\n[The death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had](https://en.wikipedia.org/wiki/War_of_Devolution)\n\n[married Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees.](https://en.wikipedia.org/wiki/Treaty_of_the_Pyrenees) <sup>[39]</sup> The marriage\n\ntreaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants. <sup>[39]</sup> Mazarin\n\n#### **Relations with the major colonies**\n\n### **Early wars in the Low Countries**\n\n#### **Spain**",
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- "text": "#### **Louis XIV**\n\n[Portrait by Hyacinthe Rigaud , 1701](https://en.wikipedia.org/wiki/Portrait_of_Louis_XIV)\n\n**[King of France ](https://en.wikipedia.org/wiki/King_of_France)** [(more...)](https://en.wikipedia.org/wiki/Style_of_the_French_sovereign)\n\n**Reign** 14 May 1643 - 1 September\n\n1715\n\n**[Coronation](https://en.wikipedia.org/wiki/Coronation_of_the_French_monarch)** 7 June 1654\n\n[Reims Cathedral](https://en.wikipedia.org/wiki/Reims_Cathedral)\n\n**Predecessor** [Louis XIII](https://en.wikipedia.org/wiki/Louis_XIII)\n\n**Successor** [Louis XV](https://en.wikipedia.org/wiki/Louis_XV)\n\n**Regent** [Anne of Austria (1643- 1651)](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n**[Chief ministers](https://en.wikipedia.org/wiki/Chief_minister_of_France)** * **See list** *\n\n[Cardinal Mazarin](https://en.wikipedia.org/wiki/Cardinal_Mazarin)\n\n(1643- 1661)\n\n[Jean-Baptiste Colbert](https://en.wikipedia.org/wiki/Jean-Baptiste_Colbert)\n\n(1661- 1683)\n\n[The Marquis of Louvois](https://en.wikipedia.org/wiki/Fran%C3%A7ois-Michel_le_Tellier,_Marquis_de_Louvois)\n\n(1683- 1691)\n\n**Born** 5 September 1638\n\n[Château de Saint-Germain-](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye)\n\n[en-Laye, Saint-Germain-en-](https://en.wikipedia.org/wiki/Saint-Germain-en-Laye)\n\n[Laye, France](https://en.wikipedia.org/wiki/Kingdom_of_France)\n\n**Died** 1 September 1715 (aged 76)\n\n[Palace of Versailles,](https://en.wikipedia.org/wiki/Palace_of_Versailles)\n\nVersailles, France\n\n**Burial** 9 September 1715\n\n[Basilica of Saint-Denis](https://en.wikipedia.org/wiki/Basilica_of_Saint-Denis)\n\n**Spouses** [Maria Theresa of Spain](https://en.wikipedia.org/wiki/Maria_Theresa_of_Spain) (m. 1660; died 1683)\n\n[Françoise d'Aubigné,](https://en.wikipedia.org/wiki/Fran%C3%A7oise_d%27Aubign%C3%A9,_Marquise_de_Maintenon)\n\n[Marquise de Maintenon](https://en.wikipedia.org/wiki/Fran%C3%A7oise_d%27Aubign%C3%A9,_Marquise_de_Maintenon)\n\n(private) (m. 1683)\n\n## **Louis XIV**\n\n**Louis XIV** (Louis-Dieudonné; 5 September 1638 - 1 September 1715), also\n\nknown as **Louis the Great** ( *Louis le Grand* ) or the **Sun King** ( *le Roi Soleil* ),\n\n[was King of France from 1643 until his death in 1715. His verified reign of 72](https://en.wikipedia.org/wiki/King_of_France)\n\n[years and 110 days is the longest of any sovereign.](https://en.wikipedia.org/wiki/List_of_longest-reigning_monarchs) <sup>[1][a]</sup> An emblematic\n\n[character of the Age of Absolutism in Europe,](https://en.wikipedia.org/wiki/Absolutism_(European_history)) <sup>[3]</sup> Louis XIV's legacy is widely\n\n[characterized by French colonial expansion, the conclusion of Eighty Years'](https://en.wikipedia.org/wiki/Eighty_Years%27_War)\n\n[War involving the Habsburgs, and his architectural bequest, marked by](https://en.wikipedia.org/wiki/Louis_XIV_style)\n\ncommissioned works of art and buildings. His pageantry, opulent lifestyle and\n\nornate cultivated image earned him enduring admiration. Louis XIV raised\n\n[France to be the exemplar nation-state of the early modern period, and](https://en.wikipedia.org/wiki/Early_modern_period)\n\nestablished a cultural prestige which lasted through the subsequent centuries,\n\nand continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief\n\n[minister Cardinal Mazarin, when the King famously declared that he would](https://en.wikipedia.org/wiki/Cardinal_Mazarin)\n\ntake over the job himself. <sup>[4]</sup> [ An adherent of the divine right of kings, Louis](https://en.wikipedia.org/wiki/Divine_right_of_kings)\n\n[continued his predecessors' work of creating a centralised state governed from](https://en.wikipedia.org/wiki/Centralized_government)\n\n[the capital. He sought to eliminate the remnants of feudalism persisting in parts](https://en.wikipedia.org/wiki/Feudalism)\n\n[of France; by compelling many members of the nobility to reside at his lavish](https://en.wikipedia.org/wiki/French_nobility)\n\n[Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom](https://en.wikipedia.org/wiki/Palace_of_Versailles)\n\n[had participated in the Fronde rebellions during his minority. He thus became](https://en.wikipedia.org/wiki/The_Fronde)\n\none of the most powerful French monarchs and consolidated a system of\n\n[absolute monarchy in France that endured until the French Revolution. Louis](https://en.wikipedia.org/wiki/French_Revolution)\n\n[also enforced uniformity of religion under the Catholic Church. His revocation](https://en.wikipedia.org/wiki/Edict_of_Fontainebleau)\n\n[of the Edict of Nantes abolished the rights of the Huguenot Protestant minority](https://en.wikipedia.org/wiki/Huguenot)\n\n[and subjected them to a wave of dragonnades, effectively forcing Huguenots to](https://en.wikipedia.org/wiki/Dragonnades)\n\nemigrate or convert, virtually destroying the French Protestant community.\n\n[During Louis's long reign, France emerged as the leading European power and](https://en.wikipedia.org/wiki/Great_power)\n\n[regularly made war. A conflict with Spain marked his entire childhood, while](https://en.wikipedia.org/wiki/Franco-Spanish_War_(1635%E2%80%931659))\n\nduring his personal rule, Louis fought three major continental conflicts, each\n\n[against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War,](https://en.wikipedia.org/wiki/Nine_Years%27_War)\n\n[and the War of the Spanish Succession. In addition, France contested shorter](https://en.wikipedia.org/wiki/War_of_the_Spanish_Succession)\n\n[wars such as the War of Devolution and the War of the Reunions. Warfare](https://en.wikipedia.org/wiki/War_of_the_Reunions)\n\ndefined Louis's foreign policy, impelled by his personal ambition for glory and\n\npower: \"a mix of commerce, revenge, and pique\". <sup>[5]</sup> His wars strained France's\n\nresources to the utmost, while in peacetime he concentrated on preparing for\n\nthe next war. He taught his diplomats that their job was to create tactical and\n\nstrategic advantages for the French military. <sup>[6]</sup> Upon his death in 1715,\n\n[Louis XIV left his great-grandson and successor, Louis XV, a powerful but](https://en.wikipedia.org/wiki/Louis_XV)\n\nwar-weary kingdom, in major debt after the War of the Spanish Succession that\n\nhad raged on since 1701.\n\n[Some of his other notable achievements include the construction of the Canal](https://en.wikipedia.org/wiki/Canal_du_Midi)\n\n[du Midi, the patronage of artists, and the founding of the French Academy of](https://en.wikipedia.org/wiki/French_Academy_of_Sciences)\n\n[Sciences.](https://en.wikipedia.org/wiki/French_Academy_of_Sciences)\n\n### **Early years**",
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- "text": "[Royal procession passing the Pont-](https://en.wikipedia.org/wiki/Pont-Neuf)\n\n[Neuf under Louis XIV](https://en.wikipedia.org/wiki/Pont-Neuf)\n\nAlternatively, Louis's critics attribute the social upheaval culminating in the French Revolution to his failure to reform French\n\ninstitutions while the monarchy was still secure. Other scholars counter that there was little reason to reform institutions that\n\nlargely worked well under Louis. They also maintain that events occurring almost 80 years after his death were not reasonably\n\nforeseeable to Louis and that in any case, his successors had sufficient time to initiate reforms of their own. <sup>[135]</sup>\n\n[Louis has often been criticised for his vanity. The memoirist Saint-Simon, who claimed](https://en.wikipedia.org/wiki/Louis_de_Rouvroy,_duc_de_Saint-Simon)\n\nthat Louis slighted him, criticised him thus:\n\nThere was nothing he liked so much as flattery, or, to put it more plainly,\n\nadulation; the coarser and clumsier it was, the more he relished it.\n\n[For his part, Voltaire saw Louis's vanity as the cause for his bellicosity:](https://en.wikipedia.org/wiki/Voltaire)\n\nIt is certain that he passionately wanted glory, rather than the conquests\n\nthemselves. In the acquisition of Alsace and half of Flanders, and of all of\n\nFranche-Comté, what he really liked was the name he made for himself. <sup>[136]</sup>\n\n[Nonetheless, Louis has also received praise. The anti-Bourbon Napoleon described him not only as \"a great king\", but also as \"the](https://en.wikipedia.org/wiki/Napoleon)\n\nonly King of France worthy of the name\". <sup>[137]</sup> [ Leibniz, the German Protestant philosopher, commended him as \"one of the](https://en.wikipedia.org/wiki/Gottfried_Wilhelm_Leibniz)\n\ngreatest kings that ever was\". <sup>[138]</sup> [ And Lord Acton admired him as \"by far the ablest man who was born in modern times on the](https://en.wikipedia.org/wiki/Lord_Acton)\n\nsteps of a throne\". <sup>[139]</sup> The historian and philosopher Voltaire wrote: \"His name can never be pronounced without respect and\n\nwithout summoning the image of an eternally memorable age\". <sup>[140]</sup> Voltaire's history, *[The Age of Louis XIV](https://en.wikipedia.org/wiki/The_Age_of_Louis_XIV)* , named Louis's reign\n\nas not only one of the four great ages in which reason and culture flourished, but the greatest ever. <sup>[141][142]</sup>\n\nNumerous quotes have been attributed to Louis XIV by legend.\n\nThe well-known \"I am the state\" ( *[\"L'État, c'est moi.\"](https://en.wikipedia.org/wiki/L%27%C3%89tat,_c%27est_moi)* ) was reported from at least the late 18th century. <sup>[143]</sup> It was widely repeated\n\n[but also denounced as apocryphal by the early 19th century.](https://en.wikipedia.org/wiki/Apocryphal) <sup>[144][b][145]</sup>\n\n#### **Quotes**",
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- "text": "Louis XIV in 1685, the year he\n\n[revoked the Edict of Nantes](https://en.wikipedia.org/wiki/Edict_of_Nantes)\n\n[Protestant peasants rebelled](https://en.wikipedia.org/wiki/Camisard)\n\nagainst the officially sanctioned\n\n*[dragonnades](https://en.wikipedia.org/wiki/Dragonnades)* (conversions enforced\n\n[by dragoons, labeled \"missionaries](https://en.wikipedia.org/wiki/Dragoon)\n\nin boots\") that followed the Edict of\n\nFontainebleau.\n\nrewarded converts to Catholicism. <sup>[68]</sup> This discrimination did not encounter much\n\nProtestant resistance, and a steady conversion of Protestants occurred, especially among\n\nthe noble elites.\n\nIn 1681, Louis dramatically increased his persecution of Protestants. The principle of *cuius*\n\n*regio, eius religio* generally also meant that subjects who refused to convert could\n\nemigrate, but Louis banned emigration and effectively insisted that all Protestants must be\n\nconverted. Secondly, following the proposal of René de Marillac and the Marquis of\n\n[Louvois, he began quartering dragoons in Protestant homes. Although this was within his](https://en.wikipedia.org/wiki/Dragoon)\n\nlegal rights, the *dragonnades* inflicted severe financial strain on Protestants and atrocious\n\nabuse. Between 300,000 and 400,000 Huguenots converted, as this entailed financial\n\nrewards and exemption from the *[dragonnades](https://en.wikipedia.org/wiki/Dragonnades)* . <sup>[69]</sup>\n\n[On 15 October 1685, Louis issued the Edict of](https://en.wikipedia.org/wiki/Edict_of_Fontainebleau)\n\n[Fontainebleau, which cited the redundancy of](https://en.wikipedia.org/wiki/Edict_of_Fontainebleau)\n\nprivileges for Protestants given their scarcity after\n\nthe extensive conversions. The Edict of\n\nFontainebleau revoked the Edict of Nantes and\n\nrepealed all the privileges that arose therefrom. <sup>[4]</sup>\n\nBy his edict, Louis no longer tolerated the existence\n\nof Protestant groups, pastors, or churches in France.\n\nNo further churches were to be constructed, and those already existing were to be\n\ndemolished. Pastors could choose either exile or secular life. Those Protestants who had\n\n[resisted conversion were now to be baptised forcibly into the established church.](https://en.wikipedia.org/wiki/Forced_conversion) <sup>[70]</sup>\n\nHistorians have debated Louis's reasons for issuing the Edict of Fontainebleau. He may\n\n[have been seeking to placate Pope Innocent XI, with whom relations were tense and whose](https://en.wikipedia.org/wiki/Pope_Innocent_XI)\n\n[aid was necessary to determine the outcome of a succession crisis in the Electorate of](https://en.wikipedia.org/wiki/Electorate_of_Cologne)\n\n[Cologne. He may also have acted to upstage Emperor Leopold I and regain international](https://en.wikipedia.org/wiki/Leopold_I,_Holy_Roman_Emperor)\n\nprestige after the latter defeated the Turks without Louis's help. Otherwise, he may simply\n\n[have desired to end the remaining divisions in French society dating to the Wars of Religion by fulfilling his coronation oath to](https://en.wikipedia.org/wiki/Coronation_of_the_French_monarch)\n\neradicate heresy. <sup>[71][72]</sup>\n\nMany historians have condemned the Edict of Fontainebleau as gravely harmful to France. <sup>[73]</sup> In support, they cite the emigration\n\nof about 200,000 highly skilled Huguenots (roughly one quarter of the Protestant population, or 1% of the French population)\n\nwho defied royal decrees and fled France for various Protestant states, weakening the French economy and enriching that of\n\nProtestant states. On the other hand, some historians view this as an exaggeration. They argue that most of France's preeminent\n\nProtestant businessmen and industrialists converted to Catholicism and remained. <sup>[74]</sup>\n\nWhat is certain is that the reaction to the Edict was mixed. Even while French Catholic leaders exulted, Pope Innocent XI still\n\nargued with Louis over Gallicanism and criticized the use of violence. Protestants across Europe were horrified at the treatment of\n\ntheir co-religionists, but most Catholics in France applauded the move. Nonetheless, it is indisputable that Louis's public image in\n\nmost of Europe, especially in Protestant regions, was dealt a severe blow.\n\n[In the end, however, despite renewed tensions with the Camisards of south-central France at the end of his reign, Louis may have](https://en.wikipedia.org/wiki/Camisard)\n\nhelped ensure that his successor would experience fewer instances of the religion-based disturbances that had plagued his\n\n[forebears. French society would sufficiently change by the time of his descendant, Louis XVI, to welcome tolerance in the form](https://en.wikipedia.org/wiki/Louis_XVI_of_France)\n\n[of the 1787 Edict of Versailles, also known as the Edict of Tolerance. This restored to non-Catholics their civil rights and the](https://en.wikipedia.org/wiki/Edict_of_Tolerance)\n\nfreedom to worship openly. <sup>[75]</sup> [ With the advent of the French Revolution in 1789, Protestants were granted equal rights with their](https://en.wikipedia.org/wiki/French_Revolution)\n\nRoman Catholic counterparts.\n\n### **Nine Years' War**\n\n#### **Causes and conduct of the war**",
- "page_start": 10,
- "page_end": 10,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "Louis XIV\n\nexperiences during the *Fronde* , when men of high birth readily took up the rebel cause against their king, who was actually the\n\nkinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French\n\nRevolution about a century later.\n\nUnder Louis, France was the leading European power, and most wars pivoted around its\n\naggressiveness. No European state exceeded it in population, and no one could match its\n\nwealth, central location, and very strong professional army. It had largely avoided the\n\ndevastation of the Thirty Years' War. Its weaknesses included an inefficient financial\n\nsystem that was hard-pressed to pay for its military adventures, and the tendency of most\n\nother powers to gang up against it.\n\n[During Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine](https://en.wikipedia.org/wiki/Nine_Years%27_War)\n\n[Years' War, and the War of the Spanish Succession. There were also two lesser conflicts:](https://en.wikipedia.org/wiki/War_of_the_Spanish_Succession)\n\n[the War of Devolution and the War of the Reunions.](https://en.wikipedia.org/wiki/War_of_the_Reunions) <sup>[64]</sup> The wars were very expensive but\n\ndefined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by\n\na mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to\n\nenhance his glory. In peacetime, he concentrated on preparing for the next war. He taught\n\nhis diplomats that their job was to create tactical and strategic advantages for the French\n\nmilitary. <sup>[6]</sup> By 1695, France retained much of its dominance but had lost control of the seas\n\nto England and Holland, and most countries, both Protestant and Catholic, were in alliance\n\n[against it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned](https://en.wikipedia.org/wiki/S%C3%A9bastien_Le_Prestre_de_Vauban)\n\nLouis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that\n\nFrance fight back by licensing French merchant ships to privateer and seize enemy\n\nmerchant ships while avoiding its navies:\n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in\n\nEurope, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies\n\nin the East and West Indies; and Holland with all its possessions in the four corners of the world where it has\n\ngreat establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness,\n\nDenmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states\n\nsecretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting\n\nand covering their trade. <sup>[65]</sup>\n\nVauban was pessimistic about France's so-called friends and allies:\n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England\n\n[James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all\n\nin Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of\n\npeace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they\n\nsupport it by making war against us in concert with the other powers, and they keep it going by means of the\n\nmoney that they pay every year to... Allies.... We must therefore fall back on privateering as the method of\n\nconducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more\n\nso since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many\n\ngood officers for the King, and in a short time force his enemies to sue for peace. <sup>[66]</sup>\n\n[Louis decided to persecute Protestants and revoke the 1598 Edict of Nantes, which awarded Huguenots political and religious](https://en.wikipedia.org/wiki/Edict_of_Nantes)\n\nfreedom. He saw the persistence of Protestantism as a disgraceful reminder of royal powerlessness. After all, the Edict was the\n\n[pragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in](https://en.wikipedia.org/wiki/French_Wars_of_Religion)\n\nLouis's thinking was the prevailing contemporary European principle to assure socio-political stability, *[cuius regio, eius religio](https://en.wikipedia.org/wiki/Cuius_regio,_eius_religio)*\n\n(\"whose realm, his religion\"), the idea that the religion of the ruler should be the religion of the realm (as originally confirmed in\n\n[central Europe in the Peace of Augsburg of 1555).](https://en.wikipedia.org/wiki/Peace_of_Augsburg) <sup>[67]</sup>\n\n[Responding to petitions, Louis initially excluded Protestants from office, constrained the meeting of synods, closed churches](https://en.wikipedia.org/wiki/Synods)\n\noutside of Edict-stipulated areas, banned Protestant outdoor preachers, and prohibited domestic Protestant migration. He also\n\ndisallowed Protestant-Catholic intermarriages to which third parties objected, encouraged missions to the Protestants, and\n\n#### **France as the pivot of warfare**\n\n### **Edict of Fontainebleau**",
- "page_start": 9,
- "page_end": 9,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "Félix, Joël. \"'The most difficult financial matter that has ever presented itself': paper money and the financing of\n\nwarfare under Louis XIV.\" *Financial History Review* [ 25.1 (2018): 43- 70 online (http://centaur.reading.ac.uk/72452/](http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf)\n\n[2/The%20most%20difficult%20financial%20matter%20FH.pdf) Archived (https://web.archive.org/web/2021022610](https://web.archive.org/web/20210226104833/http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf)\n\n[4833/http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf) 26](https://web.archive.org/web/20210226104833/http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf)\n\n[February 2021 at the Wayback Machine.](https://en.wikipedia.org/wiki/Wayback_Machine)\n\nGoubert, Pierre (197). *Louis XIV and Twenty Million Frenchmen* [. social history from Annales School. ISBN 978-0-](https://en.wikipedia.org/wiki/Special:BookSources/978-0-3947-1751-7)\n\n[3947-1751-7.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-3947-1751-7)\n\nJones, Colin. *The Great Nation: France from Louis XIV to Napoleon (1715- 1799)* (2002)\n\nKlaits, Joseph. *Printed propaganda under Louis XIV: absolute monarchy and public opinion* (Princeton University\n\nPress, 2015).\n\n[Le Roy Ladurie, Emmanuel. ](https://en.wikipedia.org/wiki/Le_Roy_Ladurie,_Emmanuel) *The Ancien Régime: A History of France 1610- 1774* (1999), survey by leader of the\n\n[Annales School ISBN 0631211969](https://en.wikipedia.org/wiki/Special:BookSources/0631211969)\n\nLewis, W. H. *The Splendid Century: Life in the France of Louis XIV* [ (1953) ISBN 0881339210](https://en.wikipedia.org/wiki/Special:BookSources/0881339210)\n\n[Mitford, Nancy (1966). ](https://en.wikipedia.org/wiki/Nancy_Mitford) *The Sun King: Louis XIV at Versailles* [ (2012 ed.). New York Review of Books. ISBN 978-1-](https://en.wikipedia.org/wiki/Special:BookSources/978-1-5901-7491-3)\n\n[5901-7491-3.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-5901-7491-3)\n\nPrest, Julia, and Guy Rowlands, eds. *The Third Reign of Louis XIV, c. 1682- 1715* (Taylor & Francis, 2016).\n\nRothkrug, Lionel. *Opposition to Louis XIV: The Political and Social Origins of French Enlightenment* (Princeton\n\nUniversity Press, 2015).\n\nRowlands, Guy. *The Dynastic State and the Army under Louis XIV: Royal Service and Private Interest, 1661- 1701*\n\n(2002)\n\nRubin, David Lee, ed. *Sun King: The Ascendancy of French Culture during the Reign of Louis XIV* . Washington:\n\nFolger Books and Cranbury: Associated University Presses, 1992.\n\n[Rule, John C., ](https://en.wikipedia.org/wiki/John_C._Rule) *Louis XIV and the craft of kingship* 1969.\n\nShennan, J. H. *Louis XIV* (1993)\n\nThompson, Ian. *The Sun King's Garden: Louis XIV, André Le Nôtre And the Creation of the Gardens of Versailles* .\n\n[London: Bloomsbury Publishing, 2006 ISBN 1-5823-4631-3](https://en.wikipedia.org/wiki/Special:BookSources/1-5823-4631-3)\n\nTreasure, Geoffrey. *The Making of Modern Europe, 1648- 1780* (3rd ed. 2003). pp. 230- 296.\n\nWilkinson, Rich. *Louis XIV* [ (Routledge, 2007). ISBN 978-0-4153-5815-6](https://en.wikipedia.org/wiki/Special:BookSources/978-0-4153-5815-6)\n\nCénat, Jean-Philippe. *Le roi stratège: Louis XIV et la direction de la guerre, 1661- 1715* (Presses universitaires de\n\nRennes, 2019).\n\nCroix, Alain. \"Vingt millions de Français et Louis XIV.\" *Revue dhistoire moderne contemporaine* 2 (2020): 27- 46.\n\nEngerand, Fernand, editor (1899). (in French) *Inventaire des tableaux du Roy rédigé en 1709 et 1710 par Nicolas*\n\n*Bailly* [. Paris: Ernest Leroux. Copy (http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) Archived (https://we](https://web.archive.org/web/20160307153902/http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image)\n\n[b.archive.org/web/20160307153902/http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) 7 March 2016 at](https://web.archive.org/web/20160307153902/http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image)\n\n[the Wayback Machine at Gallica.](https://en.wikipedia.org/wiki/Wayback_Machine)\n\nRanum, Orest, ed. (1972). *The Century of Louis XIV* [ (http://www.palgrave.com/in/book/9781349004997). Archived](https://web.archive.org/web/20180207182952/https://www.palgrave.com/in/book/9781349004997)\n\n[(https://web.archive.org/web/20180207182952/https://www.palgrave.com/in/book/9781349004997) from the](https://web.archive.org/web/20180207182952/https://www.palgrave.com/in/book/9781349004997)\n\noriginal on 7 February 2018. Retrieved 7 July 2017. [{{cite book}}](https://en.wikipedia.org/wiki/Template:Cite_book) : |work= [ ignored (help)](https://en.wikipedia.org/wiki/Help:CS1_errors#periodical_ignored)\n\n[Works by or about Louis XIV (https://archive.org/search.php?query=%28+%22Louis+XIV%22+OR+%22Louis+the](https://archive.org/search.php?query=%28+%22Louis+XIV%22+OR+%22Louis+the+Great%22+OR+%22Sun+King%22+OR+%28%221638-1715%22+AND+Louis%29+%29)\n\n[+Great%22+OR+%22Sun+King%22+OR+%28%221638-1715%22+AND+Louis%29+%29) at the Internet Archive](https://en.wikipedia.org/wiki/Internet_Archive)\n\n[Works by Louis XIV (https://librivox.org/author/9631) at LibriVox (public domain audiobooks) ](https://en.wikipedia.org/wiki/LibriVox)\n\n[Louis XIV (http://www.history.com/topics/louis-xiv) Archived (https://web.archive.org/web/20170622232619/http://w](https://web.archive.org/web/20170622232619/http://www.history.com/topics/louis-xiv)\n\n[ww.history.com/topics/louis-xiv) 22 June 2017 at the Wayback Machine at ](https://en.wikipedia.org/wiki/Wayback_Machine) *History.com*\n\n[Full text of marriage contract (https://web.archive.org/web/20070616071522/http://www.smae.diplomatie.gouv.fr/ch](https://web.archive.org/web/20070616071522/http://www.smae.diplomatie.gouv.fr/choiseul/ressource/pdf/D16590004.pdf)\n\n[oiseul/ressource/pdf/D16590004.pdf), France National Archives transcription (in French)](https://web.archive.org/web/20070616071522/http://www.smae.diplomatie.gouv.fr/choiseul/ressource/pdf/D16590004.pdf)\n\n*[Le Siècle de Louis XIV](https://en.wikisource.org/wiki/fr:Le_Si%C3%A8cle_de_Louis_XIV)* [ by Voltaire, 1751, hosted by French Wikisource](https://en.wikipedia.org/wiki/Voltaire)\n\n[Retrieved from \"https://en.wikipedia.org/w/index.php?title=Louis_XIV&oldid=1267574624\"](https://en.wikipedia.org/w/index.php?title=Louis_XIV&oldid=1267574624)\n\n### **External links**",
- "page_start": 33,
- "page_end": 33,
- "source_file": "wikipedia5.pdf"
- },
- {
- "text": "**[Issue](https://en.wikipedia.org/wiki/Issue_(genealogy))**\n\n*more...*\n\n[Louis, Grand Dauphin](https://en.wikipedia.org/wiki/Louis,_Grand_Dauphin)\n\n[Marie Thérèse, Madame](https://en.wikipedia.org/wiki/Marie_Th%C3%A9r%C3%A8se,_Madame_Royale_(1667%E2%80%931672))\n\n[Royale](https://en.wikipedia.org/wiki/Marie_Th%C3%A9r%C3%A8se,_Madame_Royale_(1667%E2%80%931672))\n\n[Philippe Charles, Duke of](https://en.wikipedia.org/wiki/Philippe_Charles,_Duke_of_Anjou)\n\n[Anjou](https://en.wikipedia.org/wiki/Philippe_Charles,_Duke_of_Anjou)\n\n*Illegitimate* :\n\n[Marie Anne, Princess of Conti](https://en.wikipedia.org/wiki/Marie_Anne,_Princess_of_Conti)\n\n[Louis, Count of Vermandois](https://en.wikipedia.org/wiki/Louis,_Count_of_Vermandois)\n\n[Louis Auguste, Duke of Maine](https://en.wikipedia.org/wiki/Louis_Auguste,_Duke_of_Maine)\n\n[Louis César, Count of Vexin](https://en.wikipedia.org/wiki/Louis_C%C3%A9sar,_Count_of_Vexin)\n\n[Louise Françoise, Princess of](https://en.wikipedia.org/wiki/Louise_Fran%C3%A7oise,_Princess_of_Cond%C3%A9)\n\n[Condé](https://en.wikipedia.org/wiki/Louise_Fran%C3%A7oise,_Princess_of_Cond%C3%A9)\n\n[Louise Marie Anne,](https://en.wikipedia.org/wiki/Louise_Marie_Anne_de_Bourbon)\n\n[Mademoiselle de Tours](https://en.wikipedia.org/wiki/Louise_Marie_Anne_de_Bourbon)\n\n[Louise, Baroness of La](https://en.wikipedia.org/wiki/Louise_de_Maisonblanche)\n\n[Queue](https://en.wikipedia.org/wiki/Louise_de_Maisonblanche)\n\n[Françoise Marie, Duchess of](https://en.wikipedia.org/wiki/Fran%C3%A7oise_Marie_de_Bourbon)\n\n[Orléans](https://en.wikipedia.org/wiki/Fran%C3%A7oise_Marie_de_Bourbon)\n\n[Louis Alexandre, Count of](https://en.wikipedia.org/wiki/Louis_Alexandre,_Count_of_Toulouse)\n\n[Toulouse](https://en.wikipedia.org/wiki/Louis_Alexandre,_Count_of_Toulouse)\n\n**Names**\n\nLouis-Dieudonné de France\n\n**[House](https://en.wikipedia.org/wiki/Dynasty)** [Bourbon](https://en.wikipedia.org/wiki/House_of_Bourbon)\n\n**Father** [Louis XIII](https://en.wikipedia.org/wiki/Louis_XIII)\n\n**Mother** [Anne of Austria](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n**Religion** [Catholicism](https://en.wikipedia.org/wiki/Catholic_Church_in_France)\n\n**Signature**\n\nLouis XIV as a young child,\n\nunknown painter\n\n[Louis XIV was born on 5 September 1638 in the Château de Saint-Germain-en-](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye)\n\n[Laye, to Louis XIII and Anne of Austria. He was named Louis Dieudonné](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n(Louis the God-given) <sup>[7]</sup> [ and bore the traditional title of French heirs apparent:](https://en.wikipedia.org/wiki/Heir_apparent)\n\n*[Dauphin](https://en.wikipedia.org/wiki/Dauphin_of_France)* . <sup>[8]</sup> At the time of his birth, his parents had been married for 23 years.\n\n[His mother had experienced four stillbirths between 1619 and 1631. Leading](https://en.wikipedia.org/wiki/Stillbirth)\n\ncontemporaries thus regarded him as a divine gift and his birth a miracle of\n\nGod. <sup>[9]</sup>\n\nLouis's relationship with his mother was uncommonly affectionate for the time.\n\nContemporaries and eyewitnesses claimed that the Queen would spend all her\n\ntime with Louis. <sup>[10]</sup> Both were greatly interested in food and theatre, and it is\n\nhighly likely that Louis developed these interests through his close relationship\n\nwith his mother. This long-lasting and loving relationship can be evidenced by\n\nexcerpts in Louis's journal entries, such as:\n\n\"Nature was responsible for the first knots which tied me to my\n\nmother. But attachments formed later by shared qualities of the\n\nspirit are far more difficult to break than those formed merely by\n\nblood.\" <sup>[11]</sup>\n\nIt was his mother who gave Louis his belief in the absolute and divine power of\n\nhis monarchical rule. <sup>[12]</sup>\n\n[During his childhood, he was taken care of by the governesses Françoise de](https://en.wikipedia.org/wiki/Fran%C3%A7oise_de_Lansac)\n\n[Lansac and Marie-Catherine de Senecey. In 1646, Nicolas V de Villeroy](https://en.wikipedia.org/wiki/Nicolas_de_Neufville_de_Villeroy)\n\nbecame the young king's tutor. Louis XIV became friends with Villeroy's young\n\n[children, particularly François de Villeroy, and divided his time between the](https://en.wikipedia.org/wiki/Fran%C3%A7ois_de_Neufville,_duc_de_Villeroy)\n\n[Palais-Royal and the nearby Hotel de Villeroy.](https://en.wikipedia.org/wiki/Palais-Royal)\n\n[Sensing imminent death in the spring of 1643, King Louis XIII decided to put his affairs in](https://en.wikipedia.org/wiki/Louis_XIII)\n\norder for his four-year-old son Louis XIV. Not trusting the judgement of his Spanish wife\n\n[Queen Anne, who would normally have become the sole regent of France, the king](https://en.wikipedia.org/wiki/Regent)\n\ndecreed that a regency council would rule on his son's behalf, with Anne at its head. <sup>[13]</sup>\n\nLouis XIII died on 14 May 1643. On 18 May <sup>[14]</sup> Queen Anne had her husband's will\n\nannulled by the *[Parlement de Paris](https://en.wikipedia.org/wiki/Parlement)* , a judicial body of nobles and high-ranking clergy, <sup>[15]</sup>\n\nand she became sole regent. She exiled her husband's ministers Chavigny and Bouthilier\n\n[and appointed the Count of Brienne as her minister of foreign affairs.](https://en.wikipedia.org/wiki/Henri-Auguste_de_Lom%C3%A9nie,_comte_de_Brienne) <sup>[16]</sup> Anne kept the\n\ndirection of religious policy strongly in hand until her son's majority in 1661.\n\n[She appointed Cardinal Mazarin as chief minister, giving him the daily administration of](https://en.wikipedia.org/wiki/Cardinal_Mazarin)\n\n[policy. She continued the policies of her late husband and Cardinal Richelieu, despite their](https://en.wikipedia.org/wiki/Cardinal_Richelieu)\n\npersecution of her, in order to win absolute authority in France and victory abroad for her\n\n[son. Anne protected Mazarin by exiling her followers the Duke of Beaufort and Marie de](https://en.wikipedia.org/wiki/Marie_de_Rohan)\n\n[Rohan, who conspired against him in 1643.](https://en.wikipedia.org/wiki/Marie_de_Rohan) <sup>[17]</sup>\n\nThe best example of Anne's loyalty to France was her treatment of one of Richelieu's men,\n\n[the Chancellor Pierre Séguier. Séguier had brusquely interrogated Anne in 1637 (like a](https://en.wikipedia.org/wiki/Pierre_S%C3%A9guier)\n\n\"common criminal\", as she recalled) following the discovery that she was giving military secrets to her father in Spain, and Anne\n\nwas virtually under house arrest for years. By keeping the effective Séguier in his post, Anne sacrificed her own feelings for the\n\ninterests of France and her son Louis.\n\n### **Minority and the** * **Fronde** *\n\n#### **Accession**",
- "page_start": 1,
- "page_end": 1,
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- },
- {
- "text": "| Silver coin of Louis XIV, dated 1674 | Silver coin of Louis XIV, dated 1674 |\n|:---|:---|\n| | |\n| Obverse. The Latin inscription is LVDOVICVS XIIII D[EI] GRA[TIA] (\"Louis XIV, by the grace of God\"). | Reverse. The Latin inscription is FRAN[CIÆ] ET NAVARRÆ REX 1674 (\"King of France and of Navarre, 1674\"). |\n\n[The Persian embassy to Louis XIV](https://en.wikipedia.org/wiki/Persian_embassy_to_Louis_XIV)\n\n[sent by Soltan Hoseyn in 1715.](https://en.wikipedia.org/wiki/Soltan_Hoseyn)\n\n*Ambassade de Perse auprès de*\n\n*Louis XIV* [, studio of Antoine Coypel.](https://en.wikipedia.org/wiki/Antoine_Coypel)\n\n[The French were nevertheless forced to retreat from most of the Dutch Republic, which deeply shocked Louis; he retreated to St](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye)\n\n[Germain for a time, where no one, except a few intimates, was allowed to disturb him.](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye) <sup>[47]</sup> French military advantages allowed\n\nthem however to hold their ground in Alsace and the Spanish Netherlands while retaking Franche-Comté. By 1678, mutual\n\n[exhaustion led to the Treaty of Nijmegen, which was generally settled in France's favour and allowed Louis to intervene in the](https://en.wikipedia.org/wiki/Treaty_of_Nijmegen)\n\n[Scanian War. Despite the military defeat, his ally Sweden regained much of what it had lost under the 1679 treaties of Saint-](https://en.wikipedia.org/wiki/Treaty_of_Saint-Germain-en-Laye_(1679))\n\n[Germain-en-Laye, Fontainebleau and Lund imposed on Denmark- Norway and Brandenburg.](https://en.wikipedia.org/wiki/Denmark%E2%80%93Norway) <sup>[48]</sup> Yet Louis's two primary goals,\n\nthe destruction of the Dutch Republic and the conquest of the Spanish Netherlands, had failed. <sup>[49]</sup>\n\nLouis was at the height of his power, but at the cost of uniting his opponents; this increased as he continued his expansion. In\n\n[1679, he dismissed his foreign minister Simon Arnauld, marquis de Pomponne, because he was seen as having compromised too](https://en.wikipedia.org/wiki/Simon_Arnauld,_marquis_de_Pomponne)\n\nmuch with the allies. Louis maintained the strength of his army, but in his next series of territorial claims avoided using military\n\nforce alone. Rather, he combined it with legal pretexts in his efforts to augment the boundaries of his kingdom. Contemporary\n\n[treaties were intentionally phrased ambiguously. Louis established the Chambers of Reunion to determine the full extent of his](https://en.wikipedia.org/wiki/Chambers_of_Reunion)\n\nrights and obligations under those treaties.\n\n[Cities and territories, such as Luxembourg and Casale, were prized for their strategic](https://en.wikipedia.org/wiki/Casale_Monferrato)\n\npositions on the frontier and access to important waterways. Louis also sought\n\n[Strasbourg, an important strategic crossing on the left bank of the Rhine and theretofore](https://en.wikipedia.org/wiki/Strasbourg)\n\n[a Free Imperial City of the Holy Roman Empire, annexing it and other territories in](https://en.wikipedia.org/wiki/Holy_Roman_Empire)\n\n1681. Although a part of Alsace, Strasbourg was not part of Habsburg-ruled Alsace and\n\nwas thus not ceded to France in the Peace of Westphalia.\n\n[Following these annexations, Spain declared war, precipitating the War of the Reunions.](https://en.wikipedia.org/wiki/War_of_the_Reunions)\n\nHowever, the Spanish were rapidly defeated because the Emperor (distracted by the\n\n[Great Turkish War) abandoned them, and the Dutch only supported them minimally. By](https://en.wikipedia.org/wiki/Great_Turkish_War)\n\n[the Truce of Ratisbon, in 1684, Spain was forced to acquiesce in the French occupation](https://en.wikipedia.org/wiki/Truce_of_Ratisbon)\n\nof most of the conquered territories, for 20 years. <sup>[50]</sup>\n\nLouis's policy of the *Réunions* may have raised France to its greatest size and power\n\nduring his reign, but it alienated much of Europe. This poor public opinion was\n\ncompounded by French actions off the Barbary Coast and at Genoa. First, Louis had\n\n[Algiers and Tripoli, two Barbary pirate strongholds, bombarded to obtain a favourable treaty and the liberation of Christian](https://en.wikipedia.org/wiki/Tripoli,_Libya)\n\n[slaves. Next, in 1684, a punitive mission was launched against Genoa in retaliation for its support for Spain in previous wars.](https://en.wikipedia.org/wiki/Genoa)\n\n[Although the Genoese submitted, and the Doge led an official mission of apology to Versailles, France gained a reputation for](https://en.wikipedia.org/wiki/Doge_of_Genoa)\n\n[brutality and arrogance. European apprehension at growing French might and the realisation of the extent of the dragonnades'](https://en.wikipedia.org/wiki/Dragonnades)\n\neffect (discussed below) led many states to abandon their alliances with France. <sup>[51]</sup> Accordingly, by the late 1680s, France became\n\nincreasingly isolated in Europe.\n\n[French colonies multiplied in Africa, the Americas, and Asia during Louis's reign, and](https://en.wikipedia.org/wiki/French_colonial_empire)\n\n[French explorers made important discoveries in North America. In 1673, Louis Jolliet and](https://en.wikipedia.org/wiki/Louis_Jolliet)\n\n[Jacques Marquette discovered the Mississippi River. In 1682, René-Robert Cavelier, Sieur](https://en.wikipedia.org/wiki/Ren%C3%A9-Robert_Cavelier,_Sieur_de_La_Salle)\n\n[de La Salle, followed the Mississippi to the Gulf of Mexico and claimed the vast](https://en.wikipedia.org/wiki/Gulf_of_Mexico)\n\nMississippi basin in Louis's name, calling it *[Louisiane](https://en.wikipedia.org/wiki/Louisiana_(New_France))* . French trading posts were also\n\n[established in India, at Chandernagore and Pondicherry, and in the Indian Ocean at Île](https://en.wikipedia.org/wiki/R%C3%A9union)\n\n[Bourbon. Throughout these regions, Louis and Colbert embarked on an extensive program](https://en.wikipedia.org/wiki/R%C3%A9union)\n\nof architecture and urbanism meant to reflect the styles of Versailles and Paris and the\n\n'gloire' of the realm. <sup>[52]</sup>\n\n[Meanwhile, diplomatic relations were initiated with distant countries. In 1669, Suleiman](https://en.wikipedia.org/wiki/Suleiman_Aga)\n\n[Aga led an Ottoman embassy to revive the old Franco-Ottoman alliance.](https://en.wikipedia.org/wiki/Franco-Ottoman_alliance) <sup>[53]</sup> Then, in 1682,\n\n[after the reception of the Moroccan embassy of Mohammed Tenim in France, Moulay Ismail, Sultan of Morocco, allowed French](https://en.wikipedia.org/wiki/Ismail_Ibn_Sharif)\n\nconsular and commercial establishments in his country. <sup>[54]</sup> [ In 1699, Louis once again received a Moroccan ambassador, Abdallah](https://en.wikipedia.org/wiki/Abdallah_bin_Aisha)\n\n[bin Aisha, and in 1715, he received a Persian embassy led by Mohammad Reza Beg.](https://en.wikipedia.org/wiki/Mohammad_Reza_Beg)\n\n[From farther afield, Siam dispatched an embassy in 1684, reciprocated by the French magnificently the next year under](https://en.wikipedia.org/wiki/Siamese_embassy_to_France_(1686))\n\n[Alexandre, Chevalier de Chaumont. This, in turn, was succeeded by another Siamese embassy under Kosa Pan, superbly received](https://en.wikipedia.org/wiki/Kosa_Pan)\n\n[at Versailles in 1686. Louis then sent another embassy in 1687, under Simon de la Loubère, and French influence grew at the](https://en.wikipedia.org/wiki/Simon_de_la_Loub%C3%A8re)\n\n#### **Non-European relations and the colonies**",
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- "text": "[Siamese embassy of King Narai to](https://en.wikipedia.org/wiki/Siamese_embassy_to_France_(1686))\n\n[Louis XIV in 1686, led by Kosa Pan.](https://en.wikipedia.org/wiki/Kosa_Pan)\n\nEngraving by Nicolas Larmessin.\n\nPortrait of Louis XIV (gray pastel on\n\n[paper by Charles Le Brun, 1667,](https://en.wikipedia.org/wiki/Charles_Le_Brun)\n\n[Louvre Museum)](https://en.wikipedia.org/wiki/Louvre)\n\n[Louis receiving the Doge of Genoa](https://en.wikipedia.org/wiki/Doge_of_Genoa)\n\n[at Versailles on 15 May 1685,](https://en.wikipedia.org/wiki/Palace_of_Versailles)\n\n[following the Bombardment of](https://en.wikipedia.org/wiki/Bombardment_of_Genoa)\n\n[Genoa. (](https://en.wikipedia.org/wiki/Bombardment_of_Genoa) *Reparation faite à*\n\n*Louis XIV par le Doge de Gênes. 15*\n\n*mai 1685* [ by Claude Guy Halle,](https://en.wikipedia.org/wiki/Claude_Guy_Halle)\n\nVersailles.)\n\n[Siamese court, which granted Mergui as a naval base to France. However, the death of](https://en.wikipedia.org/wiki/Mergui)\n\n[Narai, King of Ayutthaya, the execution of his pro-French minister Constantine Phaulkon,](https://en.wikipedia.org/wiki/Constantine_Phaulkon)\n\n[and the siege of Bangkok in 1688 ended this era of French influence.](https://en.wikipedia.org/wiki/Siege_of_Bangkok) <sup>[55]</sup>\n\n[France also attempted to participate actively in Jesuit missions to China. To break the](https://en.wikipedia.org/wiki/Jesuit_missions_in_China)\n\n[Portuguese dominance there, Louis sent Jesuit missionaries to the court of the Kangxi](https://en.wikipedia.org/wiki/Kangxi_Emperor)\n\n[Emperor in 1685: Jean de Fontaney, Joachim Bouvet, Jean-François Gerbillon, Louis Le](https://en.wikipedia.org/wiki/Louis_Le_Comte)\n\n[Comte, and Claude de Visdelou.](https://en.wikipedia.org/wiki/Claude_de_Visdelou) <sup>[56]</sup> [ Louis also received a Chinese Jesuit, Michael Shen](https://en.wikipedia.org/wiki/Michael_Shen_Fu-Tsung)\n\n[Fu-Tsung, at Versailles in 1684.](https://en.wikipedia.org/wiki/Michael_Shen_Fu-Tsung) <sup>[57]</sup> [ Furthermore, Louis's librarian and translator Arcadio](https://en.wikipedia.org/wiki/Arcadio_Huang)\n\n[Huang was Chinese.](https://en.wikipedia.org/wiki/Arcadio_Huang) <sup>[58][59]</sup>\n\nBy the early 1680s, Louis had greatly augmented French influence in the world.\n\nDomestically, he successfully increased the influence of the crown and its authority over\n\nthe church and aristocracy, thus consolidating absolute monarchy in France.\n\n[Louis initially supported traditional Gallicanism, which limited papal authority in France,](https://en.wikipedia.org/wiki/Pope)\n\n[and convened an Assembly of the French clergy in November 1681. Before its dissolution](https://en.wikipedia.org/wiki/Assembly_of_the_French_clergy)\n\n[eight months later, the Assembly had accepted the Declaration of the Clergy of France,](https://en.wikipedia.org/wiki/Declaration_of_the_Clergy_of_France)\n\nwhich increased royal authority at the expense of papal power. Without royal approval,\n\nbishops could not leave France, and appeals could not be made to the pope. Additionally,\n\ngovernment officials could not be excommunicated for acts committed in pursuance of\n\ntheir duties. Although the king could not make ecclesiastical law, all papal regulations\n\nwithout royal assent were invalid in France. Unsurprisingly, the Pope repudiated the\n\nDeclaration. <sup>[4]</sup>\n\nBy attaching nobles to his court at Versailles, Louis\n\nachieved increased control over the French\n\n[aristocracy. According to historian Philip Mansel,](https://en.wikipedia.org/wiki/Philip_Mansel)\n\nthe king turned the palace into:\n\nan irresistible combination of marriage market, employment agency and\n\nentertainment capital of aristocratic Europe, boasting the best theatre, opera,\n\nmusic, gambling, sex and (most important) hunting. <sup>[60]</sup>\n\nApartments were built to house those willing to pay court to the king. <sup>[61]</sup> However, the\n\npensions and privileges necessary to live in a style appropriate to their rank were only\n\npossible by waiting constantly on Louis. <sup>[62]</sup> For this purpose, an elaborate court ritual was\n\ncreated wherein the king became the centre of attention and was observed throughout the\n\nday by the public. With his excellent memory, Louis could then see who attended him at\n\ncourt and who was absent, facilitating the subsequent distribution of favours and positions.\n\nAnother tool Louis used to control his nobility was censorship, which often involved the opening of letters to discern their\n\nauthor's opinion of the government and king. <sup>[61]</sup> Moreover, by entertaining, impressing, and domesticating them with extravagant\n\nluxury and other distractions, Louis not only cultivated public opinion of him, but he also ensured the aristocracy remained under\n\nhis scrutiny.\n\n[Louis's extravagance at Versailles extended far beyond the scope of elaborate court rituals. He took delivery of an African](https://en.wikipedia.org/wiki/African_elephant)\n\n[elephant as a gift from the king of Portugal.](https://en.wikipedia.org/wiki/African_elephant) <sup>[63]</sup> He encouraged leading nobles to live at Versailles. This, along with the prohibition\n\nof private armies, prevented them from passing time on their own estates and in their regional power bases, from which they\n\nhistorically waged local wars and plotted resistance to royal authority. Louis thus compelled and seduced the old military\n\naristocracy (the \"nobility of the sword\") into becoming his ceremonial courtiers, further weakening their power. In their place, he\n\nraised commoners or the more recently ennobled bureaucratic aristocracy (the \"nobility of the robe\"). He judged that royal\n\nauthority thrived more surely by filling high executive and administrative positions with these men because they could be more\n\neasily dismissed than nobles of ancient lineage and entrenched influence. It is believed that Louis's policies were rooted in his\n\n### **Height of power**\n\n#### **Centralisation of power**",
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- "text": "Royal\n\nMonogram\n\nMembers of the *[Académie des](https://en.wikipedia.org/wiki/French_Academy_of_Sciences)*\n\n*[sciences](https://en.wikipedia.org/wiki/French_Academy_of_Sciences)* with Louis in 1667; in the\n\n[background appears the new Paris](https://en.wikipedia.org/wiki/Paris_Observatory)\n\n[Observatory.](https://en.wikipedia.org/wiki/Paris_Observatory)\n\nimportant both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's\n\nforeign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish\n\nthrone would ultimately be delivered to the House of Bourbon. <sup>[32]</sup>\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of\n\nMazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring\n\nthat he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government\n\nof my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers]\n\nwill assist me with your counsels when I ask for them. I request and order you to seal no orders except by my\n\ncommand . . . I order you not to sign anything, not even a passport . . . without my command; to render\n\naccount to me personally each day and to favor no one\". <sup>[33]</sup> Capitalizing on the widespread public yearning\n\nfor peace and order after decades of foreign and civil strife, the young king consolidated central political\n\nauthority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent,\n\n[the historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of](https://en.wikipedia.org/wiki/Fran%C3%A7ois-Ren%C3%A9_de_Chateaubriand)\n\nLouis\". <sup>[34]</sup>\n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on\n\n[bankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in](https://en.wikipedia.org/wiki/Controller-General_of_Finances)\n\n[1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances.](https://en.wikipedia.org/wiki/Superintendent_of_Finances)\n\nAlthough Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's\n\n[after him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le-](https://en.wikipedia.org/wiki/Vaux-le-Vicomte)\n\n[Vicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds.](https://en.wikipedia.org/wiki/Embezzlement)\n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the\n\n[remote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the ](https://en.wikipedia.org/wiki/Belle_%C3%8Ele) *Parlement* found him guilty\n\nand sentenced him to exile; and finally Louis altered the sentence to life imprisonment.\n\nFouquet's downfall gave Colbert a free hand to reduce the national debt through more\n\nefficient taxation. The principal taxes included the *aides* and *douanes* [ (both customs](https://en.wikipedia.org/wiki/Customs)\n\n[duties), the ](https://en.wikipedia.org/wiki/Customs) *[gabelle](https://en.wikipedia.org/wiki/Gabelle)* (salt tax), and the *[taille](https://en.wikipedia.org/wiki/Taille)* (land tax). The *taille* was reduced at first, and\n\ncertain tax-collection contracts were auctioned instead of being sold privately to a\n\nfavoured few. Financial officials were required to keep regular accounts, revising\n\ninventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income\n\nfrom the royal domain reached the king. Reform had to overcome vested interests: the\n\n*taille* was collected by officers of the Crown who had purchased their post at a high price,\n\nand punishment of abuses necessarily lowered the value of the purchase. Nevertheless,\n\nColbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666,\n\nwith interest on the debt decreasing from 52 million to 24 million livres. The *taille* was\n\nreduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation\n\nprogressed from 26 million to 55 million. The revenues of the royal domain were raised from 80,000 livres in 1661 to 5.5 million\n\nin 1671. In 1661, the receipts were equivalent to 26 million British pounds, of which 10 million reached the treasury. The\n\n[expenditure was around 18 million pounds, leaving a deficit of 8 million. In 1667, the net receipts had risen to 20 million pounds](https://en.wikipedia.org/wiki/Pounds_sterling)\n\n[sterling, while expenditure had fallen to 11 million, leaving a surplus of 9 million pounds.](https://en.wikipedia.org/wiki/Pounds_sterling)\n\nMoney was the essential support of the reorganized and enlarged army, the panoply of Versailles, and the growing civil\n\nadministration. Finance had always been the weakness of the French monarchy: tax collection was costly and inefficient; direct\n\ntaxes dwindled as they passed through the hands of many intermediate officials; and indirect taxes were collected by private\n\ncontractors called tax farmers who made a handsome profit. The state coffers leaked at every joint.\n\nThe main weakness arose from an old bargain between the French crown and nobility: the king might raise taxes on the nation\n\nwithout consent if only he exempted the nobility. Only the \"unprivileged\" classes paid direct taxes, which came to mean the\n\npeasants only, as most bourgeois finagled exemptions in one way or another. The system laid the whole burden of state expenses\n\n[on the backs of the poor and powerless. After 1700, with the support of Louis's pious secret wife Madame de Maintenon, the king](https://en.wikipedia.org/wiki/Madame_de_Maintenon)\n\n### **Personal reign and reforms**\n\n#### **Coming of age and early reforms**",
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- "source_file": "wikipedia5.pdf",
- "query": "What did Louis XIV do to avoid the Spanish War of Succession in 1698?",
- "target_page": 13,
- "target_passage": "In an attempt to avoid war, Louis signed the Treaty of the Hague with William III of England in 1698. This agreement divided Spain's Italian territories between Louis's son le Grand Dauphin and Archduke Charles, with the rest of the empire awarded to Joseph Ferdinand.",
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- "text": "Louis XIV\n\nexperiences during the *Fronde* , when men of high birth readily took up the rebel cause against their king, who was actually the\n\nkinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French\n\nRevolution about a century later.\n\nUnder Louis, France was the leading European power, and most wars pivoted around its\n\naggressiveness. No European state exceeded it in population, and no one could match its\n\nwealth, central location, and very strong professional army. It had largely avoided the\n\ndevastation of the Thirty Years' War. Its weaknesses included an inefficient financial\n\nsystem that was hard-pressed to pay for its military adventures, and the tendency of most\n\nother powers to gang up against it.\n\n[During Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine](https://en.wikipedia.org/wiki/Nine_Years%27_War)\n\n[Years' War, and the War of the Spanish Succession. There were also two lesser conflicts:](https://en.wikipedia.org/wiki/War_of_the_Spanish_Succession)\n\n[the War of Devolution and the War of the Reunions.](https://en.wikipedia.org/wiki/War_of_the_Reunions) <sup>[64]</sup> The wars were very expensive but\n\ndefined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by\n\na mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to\n\nenhance his glory. In peacetime, he concentrated on preparing for the next war. He taught\n\nhis diplomats that their job was to create tactical and strategic advantages for the French\n\nmilitary. <sup>[6]</sup> By 1695, France retained much of its dominance but had lost control of the seas\n\nto England and Holland, and most countries, both Protestant and Catholic, were in alliance\n\n[against it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned](https://en.wikipedia.org/wiki/S%C3%A9bastien_Le_Prestre_de_Vauban)\n\nLouis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that\n\nFrance fight back by licensing French merchant ships to privateer and seize enemy\n\nmerchant ships while avoiding its navies:\n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in\n\nEurope, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies\n\nin the East and West Indies; and Holland with all its possessions in the four corners of the world where it has\n\ngreat establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness,\n\nDenmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states\n\nsecretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting\n\nand covering their trade. <sup>[65]</sup>\n\nVauban was pessimistic about France's so-called friends and allies:\n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England\n\n[James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all\n\nin Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of\n\npeace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they\n\nsupport it by making war against us in concert with the other powers, and they keep it going by means of the\n\nmoney that they pay every year to... Allies.... We must therefore fall back on privateering as the method of\n\nconducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more\n\nso since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many\n\ngood officers for the King, and in a short time force his enemies to sue for peace. <sup>[66]</sup>\n\n[Louis decided to persecute Protestants and revoke the 1598 Edict of Nantes, which awarded Huguenots political and religious](https://en.wikipedia.org/wiki/Edict_of_Nantes)\n\nfreedom. He saw the persistence of Protestantism as a disgraceful reminder of royal powerlessness. After all, the Edict was the\n\n[pragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in](https://en.wikipedia.org/wiki/French_Wars_of_Religion)\n\nLouis's thinking was the prevailing contemporary European principle to assure socio-political stability, *[cuius regio, eius religio](https://en.wikipedia.org/wiki/Cuius_regio,_eius_religio)*\n\n(\"whose realm, his religion\"), the idea that the religion of the ruler should be the religion of the realm (as originally confirmed in\n\n[central Europe in the Peace of Augsburg of 1555).](https://en.wikipedia.org/wiki/Peace_of_Augsburg) <sup>[67]</sup>\n\n[Responding to petitions, Louis initially excluded Protestants from office, constrained the meeting of synods, closed churches](https://en.wikipedia.org/wiki/Synods)\n\noutside of Edict-stipulated areas, banned Protestant outdoor preachers, and prohibited domestic Protestant migration. He also\n\ndisallowed Protestant-Catholic intermarriages to which third parties objected, encouraged missions to the Protestants, and\n\n#### **France as the pivot of warfare**\n\n### **Edict of Fontainebleau**",
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- {
- "text": "Louis XIV in 1670,\n\n[engraved portrait by Robert](https://en.wikipedia.org/wiki/Robert_Nanteuil)\n\n[Nanteuil](https://en.wikipedia.org/wiki/Robert_Nanteuil)\n\nThe future Philip V being introduced\n\nas King of Spain by his grandfather,\n\nLouis XIV\n\n[The Battle of Tolhuis, Louis XIV crosses](https://en.wikipedia.org/wiki/Battle_of_Tolhuis)\n\n[the Lower Rhine at Lobith on 12 June](https://en.wikipedia.org/wiki/Lower_Rhine)\n\n[1672; Rijksmuseum Amsterdam](https://en.wikipedia.org/wiki/Rijksmuseum)\n\n[Louis XIV, 1670, by Claude](https://en.wikipedia.org/wiki/Claude_Lef%C3%A8bvre)\n\n[Lefèbvre](https://en.wikipedia.org/wiki/Claude_Lef%C3%A8bvre)\n\n[and Lionne, however, made the renunciation conditional on](https://en.wikipedia.org/wiki/Hugues_de_Lionne)\n\n[the full payment of a Spanish dowry of 500,000 écus.](https://en.wikipedia.org/wiki/%C3%89cu) <sup>[40]</sup>\n\nThe dowry was never paid and would later play a part\n\n[persuading his maternal first cousin Charles II of Spain to](https://en.wikipedia.org/wiki/Charles_II_of_Spain)\n\n[leave his empire to Philip, Duke of Anjou (later Philip V of](https://en.wikipedia.org/wiki/Philip_V_of_Spain)\n\n[Spain), the grandson of Louis XIV and Maria Theresa.](https://en.wikipedia.org/wiki/Philip_V_of_Spain)\n\n[The War of Devolution did not focus on the payment of the](https://en.wikipedia.org/wiki/War_of_Devolution)\n\ndowry; rather, the lack of payment was what Louis XIV\n\nused as a pretext for nullifying Maria Theresa's\n\nrenunciation of her claims, allowing the land to \"devolve\"\n\n[to him. In Brabant (the location of the land in dispute),](https://en.wikipedia.org/wiki/Duchy_of_Brabant)\n\nchildren of first marriages traditionally were not\n\ndisadvantaged by their parents' remarriages and still\n\ninherited property. Louis's wife was Philip IV's daughter by\n\nhis first marriage, while the new king of Spain, Charles II, was his son by a subsequent\n\nmarriage. Thus, Brabant allegedly \"devolved\" to Maria Theresa, justifying France to attack\n\n[the Spanish Netherlands.](https://en.wikipedia.org/wiki/Spanish_Netherlands)\n\n[During the Eighty Years' War with Spain, France supported the Dutch Republic as part](https://en.wikipedia.org/wiki/Dutch_Republic)\n\n[of a general policy of opposing Habsburg power. Johan de Witt, Dutch Grand](https://en.wikipedia.org/wiki/Grand_Pensionary)\n\n[Pensionary from 1653 to 1672, viewed this as crucial for Dutch security and a](https://en.wikipedia.org/wiki/Grand_Pensionary)\n\n[counterweight against his domestic Orangist opponents. Louis provided support in the](https://en.wikipedia.org/wiki/Prince_of_Orange)\n\n[1665-1667 Second Anglo-Dutch War but used the opportunity to launch the War of](https://en.wikipedia.org/wiki/War_of_Devolution)\n\n[Devolution in 1667. This captured Franche-Comté and much of the Spanish](https://en.wikipedia.org/wiki/Spanish_Netherlands)\n\n[Netherlands; French expansion in this area was a direct threat to Dutch economic](https://en.wikipedia.org/wiki/Spanish_Netherlands)\n\ninterests. <sup>[41]</sup>\n\n[The Dutch opened talks with Charles II of England on a common diplomatic front](https://en.wikipedia.org/wiki/Charles_II_of_England)\n\n[against France, leading to the Triple Alliance, between England, the Dutch and](https://en.wikipedia.org/wiki/Triple_Alliance_(1668))\n\n[Sweden. The threat of an escalation and a secret treaty to divide Spanish possessions](https://en.wikipedia.org/wiki/Swedish_Empire)\n\n[with Emperor Leopold, the other major claimant to the throne of Spain, led Louis to relinquish many of his gains in the 1668](https://en.wikipedia.org/wiki/Leopold_I,_Holy_Roman_Emperor)\n\n[Treaty of Aix-la-Chapelle.](https://en.wikipedia.org/wiki/Treaty_of_Aix-la-Chapelle_(1668)) <sup>[42]</sup>\n\n[Louis placed little reliance on his agreement with Leopold and as it was now clear French and Dutch aims were in direct conflict,](https://en.wikipedia.org/wiki/Leopold_I,_Holy_Roman_Emperor)\n\n[he decided to first defeat the Republic, then seize the Spanish Netherlands. This required breaking up the Triple Alliance; he paid](https://en.wikipedia.org/wiki/Dutch_Republic)\n\n[Sweden to remain neutral and signed the 1670 Secret Treaty of Dover with Charles, an Anglo-French alliance against the Dutch](https://en.wikipedia.org/wiki/Secret_Treaty_of_Dover)\n\n[Republic. In May 1672, France invaded the Republic, supported by Münster and the Electorate of Cologne.](https://en.wikipedia.org/wiki/Electorate_of_Cologne) <sup>[43]</sup>\n\n[Rapid French advance led to a coup that toppled De Witt and brought William III to power.](https://en.wikipedia.org/wiki/William_III_of_England)\n\n[Leopold viewed French expansion into the Rhineland as an increasing threat, especially after](https://en.wikipedia.org/wiki/Leopold_I,_Holy_Roman_Emperor)\n\n[they seized the strategic Duchy of Lorraine in 1670. The prospect of Dutch defeat led Leopold](https://en.wikipedia.org/wiki/Duchy_of_Lorraine)\n\n[to an alliance with Brandenburg-Prussia on 23 June, followed by another with the Republic on](https://en.wikipedia.org/wiki/Brandenburg-Prussia)\n\n25th. <sup>[44]</sup> [ Although Brandenburg was forced out of the war by the June 1673 Treaty of Vossem,](https://en.wikipedia.org/wiki/Treaty_of_Vossem_(1673))\n\n[in August an anti-French alliance was formed by the Dutch, Spain, Emperor Leopold and the](https://en.wikipedia.org/wiki/Spanish_Empire)\n\n[Duke of Lorraine.](https://en.wikipedia.org/wiki/Charles_IV,_Duke_of_Lorraine) <sup>[45]</sup>\n\nThe French alliance was deeply unpopular in England, and only more so after the\n\n[disappointing battles against Michiel de Ruyter's fleet. Charles II of England made peace with](https://en.wikipedia.org/wiki/Michiel_de_Ruyter)\n\n[the Dutch in the February 1674 Treaty of Westminster. However, French armies held](https://en.wikipedia.org/wiki/Treaty_of_Westminster_(1674))\n\nsignificant advantages over their opponents; an undivided command, talented generals like\n\n[Turenne, Condé and Luxembourg and vastly superior logistics. Reforms introduced by](https://en.wikipedia.org/wiki/Fran%C3%A7ois-Henri_de_Montmorency,_duc_de_Luxembourg)\n\n[Louvois, the Secretary of War, helped maintain large field armies that could be mobilised](https://en.wikipedia.org/wiki/Secretary_of_War)\n\nmuch more quickly, allowing them to mount offensives in early spring before their opponents\n\nwere ready. <sup>[46]</sup>\n\n#### **Relations with the Dutch**",
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- {
- "text": "[Battle of Fleurus, 1690](https://en.wikipedia.org/wiki/Battle_of_Fleurus_(1690))\n\nLouis in 1690\n\n[Louis XIV at the siege of](https://en.wikipedia.org/wiki/Siege_of_Namur_(1692))\n\n[Namur (1692)](https://en.wikipedia.org/wiki/Siege_of_Namur_(1692))\n\n[The Nine Years' War, which lasted from 1688 to 1697, initiated a period of decline in](https://en.wikipedia.org/wiki/Nine_Years%27_War)\n\n[Louis's political and diplomatic fortunes. It arose from two events in the Rhineland. First,](https://en.wikipedia.org/wiki/Rhineland)\n\n[in 1685, the Elector Palatine Charles II died. All that remained of his immediate family](https://en.wikipedia.org/wiki/Charles_II,_Elector_Palatine)\n\n[was Louis's sister-in-law, Elizabeth Charlotte. German law ostensibly barred her from](https://en.wikipedia.org/wiki/Elizabeth_Charlotte_of_the_Palatinate)\n\nsucceeding to her brother's lands and electoral dignity, but it was unclear enough for\n\narguments in favour of Elizabeth Charlotte to have a chance of success. Conversely, the\n\nprincess was demonstrably entitled to a division of the family's personal property. Louis\n\npressed her claims to land and chattels, hoping the latter, at least, would be given to her. <sup>[76]</sup>\n\n[Then, in 1688, Maximilian Henry of Bavaria, Archbishop of Cologne, an ally of France,](https://en.wikipedia.org/wiki/Archbishop_of_Cologne)\n\n[died. The archbishopric had traditionally been held by the Wittelsbachs of Bavaria, but the](https://en.wikipedia.org/wiki/Bavaria)\n\n[Bavarian claimant to replace Maximilian Henry, Prince Joseph Clemens of Bavaria, was at](https://en.wikipedia.org/wiki/Joseph_Clemens_of_Bavaria)\n\nthat time not more than 17 years old and not even ordained. Louis sought instead to install\n\n[his own candidate, Wilhelm Egon von Fürstenberg, to ensure the key Rhenish state](https://en.wikipedia.org/wiki/Wilhelm_Egon_von_F%C3%BCrstenberg)\n\nremained an ally. <sup>[77]</sup>\n\nIn light of his foreign and domestic policies during the early 1680s, which were perceived\n\nas aggressive, Louis's actions, fostered by the succession crises of the late 1680s, created\n\n[concern and alarm in much of Europe. This led to the formation of the 1686 League of](https://en.wikipedia.org/wiki/Grand_Alliance_(League_of_Augsburg))\n\n[Augsburg by the Holy Roman Emperor, Spain, Sweden, Saxony, and Bavaria. Their stated](https://en.wikipedia.org/wiki/Saxony)\n\nintention was to return France to at least the borders agreed to in the Treaty of\n\nNijmegen. <sup>[78]</sup> Emperor Leopold I's persistent refusal to convert the Truce of Ratisbon into\n\na permanent treaty fed Louis's fears that the Emperor would turn on France and attack the\n\nReunions after settling his affairs in the Balkans. <sup>[79]</sup>\n\n[Another event Louis found threatening was England's Glorious Revolution of 1688.](https://en.wikipedia.org/wiki/Glorious_Revolution)\n\n[Although King James II was Catholic, his two Anglican daughters, Mary and Anne,](https://en.wikipedia.org/wiki/Anne,_Queen_of_Great_Britain)\n\n[ensured the English people a Protestant succession. But when James II's son James Francis](https://en.wikipedia.org/wiki/James_Francis_Edward_Stuart)\n\n[Edward Stuart was born, he took precedence in succession over his sisters. This seemed to](https://en.wikipedia.org/wiki/James_Francis_Edward_Stuart)\n\nherald an era of Catholic monarchs in England. Protestant lords called on the Dutch Prince\n\n[William III of Orange, grandson of Charles I of England, to come to their aid. He sailed for England with troops despite Louis's](https://en.wikipedia.org/wiki/Charles_I_of_England)\n\nwarning that France would regard it as a provocation. Witnessing numerous desertions and defections, even among those closest\n\nto him, James II fled England. Parliament declared the throne vacant, and offered it to James's daughter Mary II and his son-in-\n\nlaw and nephew William. Vehemently anti-French, William (now William III of England) pushed his new kingdoms into war, thus\n\n[transforming the League of Augsburg into the Grand Alliance. Before this happened, Louis expected William's expedition to](https://en.wikipedia.org/wiki/Grand_Alliance_(League_of_Augsburg))\n\nEngland to absorb his energies and those of his allies, so he dispatched troops to the Rhineland after the expiry of his ultimatum to\n\nthe German princes requiring confirmation of the Truce of Ratisbon and acceptance of his demands about the succession crises.\n\nThis military manoeuvre was also intended to protect his eastern provinces from Imperial invasion by depriving the enemy army\n\n[of sustenance, thus explaining the preemptive scorched earth policy pursued in much of southwestern Germany (the \"Devastation](https://en.wikipedia.org/wiki/Scorched_earth)\n\nof the Palatinate\"). <sup>[80]</sup>\n\nFrench armies were generally victorious throughout the war because of Imperial commitments in\n\nthe Balkans, French logistical superiority, and the quality of French generals such as Condé's\n\n[famous pupil, François Henri de Montmorency-Bouteville, duc de Luxembourg.](https://en.wikipedia.org/wiki/Fran%C3%A7ois_Henri_de_Montmorency-Bouteville,_duc_de_Luxembourg) <sup>[81]</sup> He triumphed\n\n[at the Battles of Fleurus in 1690, Steenkerque in 1692, and Landen in 1693, although, the battles](https://en.wikipedia.org/wiki/Battle_of_Landen)\n\nproved to be of little of strategic consequence, <sup>[82][83]</sup> mostly due to the nature of late 17th-century\n\nwarfare. <sup>[84]</sup>\n\n[Although an attempt to restore James II failed at the Battle of the Boyne in 1690, France](https://en.wikipedia.org/wiki/Battle_of_the_Boyne)\n\naccumulated a string of victories from Flanders in the north, Germany in the east, and Italy and\n\nSpain in the south, to the high seas and the colonies. Louis personally supervised the captures of\n\n[Mons in 1691 and Namur in 1692. Luxembourg gave France the defensive line of the Sambre by](https://en.wikipedia.org/wiki/Sambre)\n\n[capturing Charleroi in 1693. France also overran most of the Duchy of Savoy after the battles of](https://en.wikipedia.org/wiki/Duchy_of_Savoy)\n\n[Marsaglia and Staffarde in 1693. While naval stalemate ensued after the French victory at the](https://en.wikipedia.org/wiki/Battle_of_Staffarda)\n\n[Battle of Beachy Head in 1690 and the Allied victory at Barfleur-La Hougue in 1692, the Battle of](https://en.wikipedia.org/wiki/Battle_of_Torroella)\n\n[Torroella in 1694 exposed Catalonia to French invasion, culminating in the capture of Barcelona.](https://en.wikipedia.org/wiki/Barcelona)\n\n[The Dutch captured Pondichéry in 1693, but a 1697 French raid on the Spanish treasure port of Cartagena, Spain, yielded a](https://en.wikipedia.org/wiki/Port_of_Cartagena)\n\nfortune of 10,000,000 livres.",
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- {
- "text": "[Philip V of Spain](https://en.wikipedia.org/wiki/Philip_V_of_Spain)\n\nLouis in 1701\n\nsucceeded to his father's throne. <sup>[90]</sup> The signatories, however, omitted to consult the ruler\n\nof these lands, and Charles II was passionately opposed to the dismemberment of his\n\nempire. In 1699, he re-confirmed his 1693 will that named Joseph Ferdinand as his sole\n\nsuccessor. <sup>[91]</sup>\n\nSix months later, Joseph Ferdinand died. Therefore, in 1700, Louis and William III\n\n[concluded a fresh partitioning agreement, the Treaty of London. This allocated Spain, the](https://en.wikipedia.org/wiki/Treaty_of_London_(1700))\n\nLow Countries, and the Spanish colonies to the Archduke. The Dauphin would receive all\n\nof Spain's Italian territories. <sup>[92]</sup> Charles II acknowledged that his empire could only remain\n\nundivided by bequeathing it entirely to a Frenchman or an Austrian. Under pressure from\n\n[his German wife, Maria Anna of Neuburg, Charles II named Archduke Charles as his sole](https://en.wikipedia.org/wiki/Maria_Anna_of_Neuburg)\n\nheir.\n\nOn his deathbed in 1700, Charles II of Spain\n\nunexpectedly changed his will. The clear\n\ndemonstration of French military superiority for\n\nmany decades before this time, the pro-French\n\n[faction at the court of Spain, and even Pope](https://en.wikipedia.org/wiki/Pope_Innocent_XII)\n\n[Innocent XII convinced him that France was more likely to preserve his empire intact. He](https://en.wikipedia.org/wiki/Pope_Innocent_XII)\n\nthus offered the entire empire to the Dauphin's second son Philip, Duke of Anjou, provided\n\nit remained undivided. Anjou was not in the direct line of French succession, thus his\n\naccession would not cause a Franco-Spanish union. <sup>[92]</sup> If Anjou refused, the throne would\n\n[be offered to his younger brother Charles, Duke of Berry. If the Duke of Berry declined it,](https://en.wikipedia.org/wiki/Charles,_Duke_of_Berry_(1686%E2%80%931714))\n\n[it would go to Archduke Charles, then to the distantly related House of Savoy if Charles](https://en.wikipedia.org/wiki/House_of_Savoy)\n\ndeclined it. <sup>[93]</sup>\n\nLouis was confronted with a difficult choice. He could agree to a partition of the Spanish\n\npossessions and avoid a general war, or accept Charles II's will and alienate much of\n\nEurope. He may initially have been inclined to abide by the partition treaties, but the\n\nDauphin's insistence persuaded him otherwise. <sup>[94]</sup> Moreover, Louis's foreign minister,\n\n[Jean-Baptiste Colbert, marquis de Torcy, pointed out that war with the Emperor would](https://en.wikipedia.org/wiki/Jean-Baptiste_Colbert,_marquis_de_Torcy)\n\nalmost certainly ensue whether Louis accepted the partition treaties or Charles II's will. He\n\nemphasised that, should it come to war, William III was unlikely to stand by France since\n\nhe \"made a treaty to avoid war and did not intend to go to war to implement the treaty\". <sup>[91]</sup> Indeed, in the event of war, it might be\n\npreferable to be already in control of the disputed lands. Eventually, therefore, Louis decided to accept Charles II's will. Philip,\n\nDuke of Anjou, thus became Philip V, King of Spain.\n\nMost European rulers accepted Philip as king, some reluctantly. Depending on one's views of the war's inevitability, Louis acted\n\nreasonably or arrogantly. <sup>[95]</sup> He confirmed that Philip V retained his French rights despite his new Spanish position. Admittedly,\n\nhe may only have been hypothesising a theoretical eventuality and not attempting a Franco-Spanish union. But his actions were\n\ncertainly not read as disinterested. Moreover, Louis sent troops to the Spanish Netherlands to evict Dutch garrisons and secure\n\nDutch recognition of Philip V. In 1701, Philip transferred the *[asiento](https://en.wikipedia.org/wiki/Asiento_de_Negros)* (the right to supply slaves to Spanish colonies) to France, as\n\n[a sign of the two nations' growing connections. As tensions mounted, Louis decided to acknowledge James Stuart, the son of](https://en.wikipedia.org/wiki/James_Francis_Edward_Stuart)\n\nJames II, as King of England, Scotland and Ireland on the latter's death, infuriating William III. These actions enraged Britain and\n\nthe Dutch Republic. <sup>[96]</sup> With the Holy Roman Emperor and the petty German states, they formed another Grand Alliance and\n\ndeclared war on France in 1702. French diplomacy secured Bavaria, Portugal, and Savoy as Franco-Spanish allies. <sup>[97]</sup>\n\n[Even before war was officially declared, hostilities began with Imperial aggression in Italy. Once finally declared, the War of the](https://en.wikipedia.org/wiki/War_of_the_Spanish_Succession)\n\n[Spanish Succession lasted almost until Louis's death, at great cost to him and France.](https://en.wikipedia.org/wiki/War_of_the_Spanish_Succession)\n\n[The war began with French successes, but the talents of John Churchill, 1st Duke of Marlborough, and Eugene of Savoy checked](https://en.wikipedia.org/wiki/Eugene_of_Savoy)\n\nthese victories and broke the myth of French invincibility. The duo allowed the Palatinate and Austria to occupy Bavaria after\n\n[their victory at the Battle of Blenheim. Maximilian II Emanuel, Elector of Bavaria, had to flee to the Spanish Netherlands. The](https://en.wikipedia.org/wiki/Maximilian_II_Emanuel,_Elector_of_Bavaria)\n\n#### **Acceptance of the will of Charles II and consequences**\n\n#### **Commencement of fighting**",
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- },
- {
- "text": "Marshal de Luxembourg\n\n[In July 1695, the city of Namur, occupied for three years by the French, was besieged by an allied](https://en.wikipedia.org/wiki/Siege_of_Namur_(1695))\n\narmy led by William III. Louis XIV ordered the surprise destruction of a Flemish city to divert the\n\n[attention of these troops. This led to the bombardment of Brussels, in which more than 4,000](https://en.wikipedia.org/wiki/Bombardment_of_Brussels_(1695))\n\nbuildings were destroyed, including the entire city centre. The strategy failed, as Namur fell three\n\n[weeks later, but harmed Louis XIV's reputation: a century later, Napoleon deemed the](https://en.wikipedia.org/wiki/Napoleon)\n\nbombardment \"as barbarous as it was useless\". <sup>[85]</sup>\n\nPeace was broached by Sweden in 1690. By 1692, both sides evidently wanted peace, and secret\n\nbilateral talks began, but to no avail. <sup>[86]</sup> Louis tried to break up the alliance against him by dealing\n\n[with individual opponents but did not achieve his aim until 1696 when the Savoyards agreed to the](https://en.wikipedia.org/wiki/Duchy_of_Savoy)\n\nTreaty of Turin and switched sides. Thereafter, members of the League of Augsburg rushed to the\n\n[peace table, and negotiations for a general peace began in earnest, culminating in the Peace of](https://en.wikipedia.org/wiki/Peace_of_Ryswick)\n\n[Ryswick of 1697.](https://en.wikipedia.org/wiki/Peace_of_Ryswick) <sup>[87]</sup>\n\n[The Peace of Ryswick ended the War of the League of Augsburg and disbanded the Grand Alliance. By manipulating their](https://en.wikipedia.org/wiki/Peace_of_Ryswick)\n\nrivalries and suspicions, Louis divided his enemies and broke their power.\n\nThe treaty yielded many benefits for France. Louis secured permanent French sovereignty over all of Alsace, including\n\n[Strasbourg, and established the Rhine as the Franco-German border (as it is to this day). Pondichéry and Acadia were returned to](https://en.wikipedia.org/wiki/Acadia)\n\nFrance, and Louis's *de facto* [ possession of Saint-Domingue was recognised as lawful. However, he returned Catalonia and most of](https://en.wikipedia.org/wiki/Catalonia)\n\nthe Reunions.\n\nFrench military superiority might have allowed him to press for more advantageous terms. Thus, his generosity to Spain with\n\n[regard to Catalonia has been read as a concession to foster pro-French sentiment and may ultimately have induced King Charles II](https://en.wikipedia.org/wiki/Charles_II_of_Spain)\n\n[to name Louis's grandson Philip, Duke of Anjou, heir to the Spanish throne.](https://en.wikipedia.org/wiki/Philip_V_of_Spain) <sup>[88]</sup> In exchange for financial compensation, France\n\n[renounced its interests in the Electorate of Cologne and the Palatinate. Lorraine, which had been occupied by the French since](https://en.wikipedia.org/wiki/Lorraine_(duchy))\n\n[1670, was returned to its rightful Duke Leopold, albeit with a right of way to the French military. William and Mary were](https://en.wikipedia.org/wiki/Leopold,_Duke_of_Lorraine)\n\nrecognised as joint sovereigns of the British Isles, and Louis withdrew support for James II. The Dutch were given the right to\n\ngarrison forts in the Spanish Netherlands that acted as a protective barrier against possible French aggression. Though in some\n\nrespects the Treaty of Ryswick may appear a diplomatic defeat for Louis since he failed to place client rulers in control of the\n\nPalatinate or the Electorate of Cologne, he did fulfil many of the aims laid down in his 1688 ultimatum. <sup>[89]</sup> In any case, peace in\n\n1697 was desirable to Louis, since France was exhausted from the costs of the war.\n\nBy the time of the Peace of Ryswick, the Spanish succession had been a source of concern to European leaders for well over forty\n\n[years. King Charles II ruled a vast empire comprising Spain, Naples, Sicily, Milan, the Spanish Netherlands, and numerous](https://en.wikipedia.org/wiki/Kingdom_of_Sicily)\n\n[Spanish colonies. He produced no children, however, and consequently had no direct heirs.](https://en.wikipedia.org/wiki/Spanish_Empire)\n\nThe principal claimants to the throne of Spain belonged to the ruling families of France and Austria. The French claim derived\n\n[from Louis XIV's mother Anne of Austria (the older sister of Philip IV of Spain) and his wife Maria Theresa (Philip IV's eldest](https://en.wikipedia.org/wiki/Philip_IV_of_Spain)\n\n[daughter). Based on the laws of primogeniture, France had the better claim as it originated from the eldest daughters in two](https://en.wikipedia.org/wiki/Primogeniture)\n\ngenerations. However, their renunciation of succession rights complicated matters. In the case of Maria Theresa, nonetheless, the\n\nrenunciation was considered null and void owing to Spain's breach of her marriage contract with Louis. In contrast, no\n\n[renunciations tainted the claims of Emperor Leopold I's son Charles, Archduke of Austria, who was a grandson of Philip III's](https://en.wikipedia.org/wiki/Philip_III_of_Spain)\n\n[youngest daughter Maria Anna. The English and Dutch feared that a French or Austrian-born Spanish king would threaten the](https://en.wikipedia.org/wiki/Maria_Anna_of_Spain)\n\n[balance of power and thus preferred the Bavarian Prince Joseph Ferdinand, a grandson of Leopold I through his first wife](https://en.wikipedia.org/wiki/Joseph_Ferdinand_of_Bavaria_(1692-1699))\n\n[Margaret Theresa of Spain (the younger daughter of Philip IV).](https://en.wikipedia.org/wiki/Margaret_Theresa_of_Spain)\n\n[In an attempt to avoid war, Louis signed the Treaty of the Hague with William III of England in 1698. This agreement divided](https://en.wikipedia.org/wiki/Treaty_of_The_Hague_(1698))\n\nSpain's Italian territories between Louis's son *le Grand Dauphin* and Archduke Charles, with the rest of the empire awarded to\n\nJoseph Ferdinand. William III consented to permitting the Dauphin's new territories to become part of France when the latter\n\n#### **Peace of Ryswick**\n\n### **War of the Spanish Succession**\n\n#### **Causes and build-up to the war**",
- "page_start": 12,
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- {
- "text": "The Franco-Spanish army led by the\n\n[Duke of Berwick defeated decisively](https://en.wikipedia.org/wiki/James_FitzJames,_1st_Duke_of_Berwick)\n\nthe Alliance forces of Portugal,\n\nEngland, and the Dutch Republic at\n\n[the Battle of Almansa.](https://en.wikipedia.org/wiki/Battle_of_Almansa)\n\n[The Battle of Ramillies where the](https://en.wikipedia.org/wiki/Battle_of_Ramillies)\n\nFrench fought the Dutch and British,\n\n23 May 1706\n\n[Louis XIV depicted on a Louis d'or in](https://en.wikipedia.org/wiki/Louis_d%27or)\n\n1709\n\nMap of France after the death of\n\nLouis XIV\n\n[impact of this victory won the support of Portugal and Savoy. Later, the Battle of Ramillies](https://en.wikipedia.org/wiki/Battle_of_Ramillies)\n\n[delivered the Low Countries to the Allies, and the Battle of Turin forced Louis to evacuate](https://en.wikipedia.org/wiki/Battle_of_Turin)\n\n[Italy, leaving it open to Allied forces. Marlborough and Eugene met again at the Battle of](https://en.wikipedia.org/wiki/Battle_of_Oudenarde)\n\n[Oudenarde, which enabled them to invade France.](https://en.wikipedia.org/wiki/Battle_of_Oudenarde)\n\n[France established contact with Francis II Rákóczi and promised support if he took up the](https://en.wikipedia.org/wiki/Francis_II_R%C3%A1k%C3%B3czi)\n\n[cause of Hungarian independence.](https://en.wikipedia.org/wiki/R%C3%A1k%C3%B3czi%27s_War_of_Independence)\n\nDefeats, famine, and mounting debt greatly weakened France. Between 1693 and 1710,\n\nover two million people died in two famines, made worse as foraging armies seized food\n\nsupplies from the villages. <sup>[98]</sup> In desperation, Louis ordered a disastrous invasion of the\n\n[English island of Guernsey in the autumn of 1704 with the aim of raiding their successful](https://en.wikipedia.org/wiki/Guernsey)\n\nharvest. By the winter of 1708- 09, he was willing to accept peace at nearly any cost. He\n\nagreed that the entire Spanish empire should be surrendered to Archduke Charles, and also\n\nconsented to return to the frontiers of the Peace of Westphalia, giving up all the territories\n\nhe had acquired over 60 years. But he could not promise that Philip V would accept these\n\nterms, so the Allies demanded that Louis single-handedly attack his grandson to force\n\nthese terms on him. If he could not achieve this within the year, the war would resume.\n\nLouis would not accept these terms. <sup>[99]</sup>\n\nThe final phases of the War of the Spanish Succession demonstrated that the Allies could\n\nnot maintain Archduke Charles in Spain just as surely as France could not retain the entire\n\nSpanish inheritance for Philip V. The Allies were definitively expelled from central Spain\n\n[by the Franco-Spanish victories at the Battles of Villaviciosa and Brihuega in 1710.](https://en.wikipedia.org/wiki/Battle_of_Brihuega)\n\nFrench forces elsewhere remained obdurate despite their defeats. The Allies suffered a\n\n[Pyrrhic victory at the Battle of Malplaquet with 21,000 casualties, twice that of the](https://en.wikipedia.org/wiki/Battle_of_Malplaquet)\n\nFrench. <sup>[100]</sup> Eventually, France recovered its military pride with the decisive victory at\n\n[Denain in 1712.](https://en.wikipedia.org/wiki/Battle_of_Denain)\n\nFrench military successes near the end of the war took place against the background of a\n\nchanged political situation in Austria. In 1705, Emperor Leopold I died. His elder son and\n\n[successor, Joseph I, followed him in 1711. His heir was none other than Archduke Charles,](https://en.wikipedia.org/wiki/Joseph_I,_Holy_Roman_Emperor)\n\nwho secured control of all of his brother's Austrian landholdings. If the Spanish empire\n\nthen fell to him, it would have resurrected a domain as vast as Holy Roman Emperor\n\n[Charles V's in the 16th century. To the maritime powers of Great Britain and the Dutch](https://en.wikipedia.org/wiki/Charles_V,_Holy_Roman_Emperor)\n\nRepublic, this would have been as undesirable as a Franco-Spanish union. <sup>[101]</sup>\n\nAs a result of the fresh British perspective on the European balance of power, Anglo-\n\n[French talks began, culminating in the 1713 Peace of Utrecht between Louis, Philip V of](https://en.wikipedia.org/wiki/Philip_V_of_Spain)\n\n[Spain, Anne of Great Britain, and the Dutch Republic. In 1714, after losing Landau and](https://en.wikipedia.org/wiki/Landau)\n\n[Freiburg, the Holy Roman Emperor also made peace with France in the Treaties of Rastatt](https://en.wikipedia.org/wiki/Treaty_of_Rastatt)\n\n[and Baden.](https://en.wikipedia.org/wiki/Treaty_of_Baden_(1714))\n\nIn the general settlement, Philip V retained Spain and its colonies, while Austria received\n\n[the Spanish Netherlands and divided Spanish Italy with Savoy. Britain kept Gibraltar and](https://en.wikipedia.org/wiki/Gibraltar)\n\n[Menorca. Louis agreed to withdraw his support for James Stuart, son of James II and](https://en.wikipedia.org/wiki/Menorca)\n\n[pretender to the thrones of Great Britain and Ireland, and ceded Newfoundland, Rupert's](https://en.wikipedia.org/wiki/Rupert%27s_Land)\n\n[Land, and Acadia in the Americas to Anne. Britain gained the most from the treaty, but the](https://en.wikipedia.org/wiki/Acadia)\n\nfinal terms were much more favourable to France than those being discussed in peace\n\n#### **Turning point**\n\n#### **Conclusion of peace**",
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- "text": "#### **Louis XIV**\n\n[Portrait by Hyacinthe Rigaud , 1701](https://en.wikipedia.org/wiki/Portrait_of_Louis_XIV)\n\n**[King of France ](https://en.wikipedia.org/wiki/King_of_France)** [(more...)](https://en.wikipedia.org/wiki/Style_of_the_French_sovereign)\n\n**Reign** 14 May 1643 - 1 September\n\n1715\n\n**[Coronation](https://en.wikipedia.org/wiki/Coronation_of_the_French_monarch)** 7 June 1654\n\n[Reims Cathedral](https://en.wikipedia.org/wiki/Reims_Cathedral)\n\n**Predecessor** [Louis XIII](https://en.wikipedia.org/wiki/Louis_XIII)\n\n**Successor** [Louis XV](https://en.wikipedia.org/wiki/Louis_XV)\n\n**Regent** [Anne of Austria (1643- 1651)](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n**[Chief ministers](https://en.wikipedia.org/wiki/Chief_minister_of_France)** * **See list** *\n\n[Cardinal Mazarin](https://en.wikipedia.org/wiki/Cardinal_Mazarin)\n\n(1643- 1661)\n\n[Jean-Baptiste Colbert](https://en.wikipedia.org/wiki/Jean-Baptiste_Colbert)\n\n(1661- 1683)\n\n[The Marquis of Louvois](https://en.wikipedia.org/wiki/Fran%C3%A7ois-Michel_le_Tellier,_Marquis_de_Louvois)\n\n(1683- 1691)\n\n**Born** 5 September 1638\n\n[Château de Saint-Germain-](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye)\n\n[en-Laye, Saint-Germain-en-](https://en.wikipedia.org/wiki/Saint-Germain-en-Laye)\n\n[Laye, France](https://en.wikipedia.org/wiki/Kingdom_of_France)\n\n**Died** 1 September 1715 (aged 76)\n\n[Palace of Versailles,](https://en.wikipedia.org/wiki/Palace_of_Versailles)\n\nVersailles, France\n\n**Burial** 9 September 1715\n\n[Basilica of Saint-Denis](https://en.wikipedia.org/wiki/Basilica_of_Saint-Denis)\n\n**Spouses** [Maria Theresa of Spain](https://en.wikipedia.org/wiki/Maria_Theresa_of_Spain) (m. 1660; died 1683)\n\n[Françoise d'Aubigné,](https://en.wikipedia.org/wiki/Fran%C3%A7oise_d%27Aubign%C3%A9,_Marquise_de_Maintenon)\n\n[Marquise de Maintenon](https://en.wikipedia.org/wiki/Fran%C3%A7oise_d%27Aubign%C3%A9,_Marquise_de_Maintenon)\n\n(private) (m. 1683)\n\n## **Louis XIV**\n\n**Louis XIV** (Louis-Dieudonné; 5 September 1638 - 1 September 1715), also\n\nknown as **Louis the Great** ( *Louis le Grand* ) or the **Sun King** ( *le Roi Soleil* ),\n\n[was King of France from 1643 until his death in 1715. His verified reign of 72](https://en.wikipedia.org/wiki/King_of_France)\n\n[years and 110 days is the longest of any sovereign.](https://en.wikipedia.org/wiki/List_of_longest-reigning_monarchs) <sup>[1][a]</sup> An emblematic\n\n[character of the Age of Absolutism in Europe,](https://en.wikipedia.org/wiki/Absolutism_(European_history)) <sup>[3]</sup> Louis XIV's legacy is widely\n\n[characterized by French colonial expansion, the conclusion of Eighty Years'](https://en.wikipedia.org/wiki/Eighty_Years%27_War)\n\n[War involving the Habsburgs, and his architectural bequest, marked by](https://en.wikipedia.org/wiki/Louis_XIV_style)\n\ncommissioned works of art and buildings. His pageantry, opulent lifestyle and\n\nornate cultivated image earned him enduring admiration. Louis XIV raised\n\n[France to be the exemplar nation-state of the early modern period, and](https://en.wikipedia.org/wiki/Early_modern_period)\n\nestablished a cultural prestige which lasted through the subsequent centuries,\n\nand continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief\n\n[minister Cardinal Mazarin, when the King famously declared that he would](https://en.wikipedia.org/wiki/Cardinal_Mazarin)\n\ntake over the job himself. <sup>[4]</sup> [ An adherent of the divine right of kings, Louis](https://en.wikipedia.org/wiki/Divine_right_of_kings)\n\n[continued his predecessors' work of creating a centralised state governed from](https://en.wikipedia.org/wiki/Centralized_government)\n\n[the capital. He sought to eliminate the remnants of feudalism persisting in parts](https://en.wikipedia.org/wiki/Feudalism)\n\n[of France; by compelling many members of the nobility to reside at his lavish](https://en.wikipedia.org/wiki/French_nobility)\n\n[Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom](https://en.wikipedia.org/wiki/Palace_of_Versailles)\n\n[had participated in the Fronde rebellions during his minority. He thus became](https://en.wikipedia.org/wiki/The_Fronde)\n\none of the most powerful French monarchs and consolidated a system of\n\n[absolute monarchy in France that endured until the French Revolution. Louis](https://en.wikipedia.org/wiki/French_Revolution)\n\n[also enforced uniformity of religion under the Catholic Church. His revocation](https://en.wikipedia.org/wiki/Edict_of_Fontainebleau)\n\n[of the Edict of Nantes abolished the rights of the Huguenot Protestant minority](https://en.wikipedia.org/wiki/Huguenot)\n\n[and subjected them to a wave of dragonnades, effectively forcing Huguenots to](https://en.wikipedia.org/wiki/Dragonnades)\n\nemigrate or convert, virtually destroying the French Protestant community.\n\n[During Louis's long reign, France emerged as the leading European power and](https://en.wikipedia.org/wiki/Great_power)\n\n[regularly made war. A conflict with Spain marked his entire childhood, while](https://en.wikipedia.org/wiki/Franco-Spanish_War_(1635%E2%80%931659))\n\nduring his personal rule, Louis fought three major continental conflicts, each\n\n[against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War,](https://en.wikipedia.org/wiki/Nine_Years%27_War)\n\n[and the War of the Spanish Succession. In addition, France contested shorter](https://en.wikipedia.org/wiki/War_of_the_Spanish_Succession)\n\n[wars such as the War of Devolution and the War of the Reunions. Warfare](https://en.wikipedia.org/wiki/War_of_the_Reunions)\n\ndefined Louis's foreign policy, impelled by his personal ambition for glory and\n\npower: \"a mix of commerce, revenge, and pique\". <sup>[5]</sup> His wars strained France's\n\nresources to the utmost, while in peacetime he concentrated on preparing for\n\nthe next war. He taught his diplomats that their job was to create tactical and\n\nstrategic advantages for the French military. <sup>[6]</sup> Upon his death in 1715,\n\n[Louis XIV left his great-grandson and successor, Louis XV, a powerful but](https://en.wikipedia.org/wiki/Louis_XV)\n\nwar-weary kingdom, in major debt after the War of the Spanish Succession that\n\nhad raged on since 1701.\n\n[Some of his other notable achievements include the construction of the Canal](https://en.wikipedia.org/wiki/Canal_du_Midi)\n\n[du Midi, the patronage of artists, and the founding of the French Academy of](https://en.wikipedia.org/wiki/French_Academy_of_Sciences)\n\n[Sciences.](https://en.wikipedia.org/wiki/French_Academy_of_Sciences)\n\n### **Early years**",
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- {
- "text": "Engraving of Louis XIV\n\nLouis and his family portrayed as\n\nRoman gods in a 1670 painting by\n\n[Jean Nocret. L to R: Louis's aunt,](https://en.wikipedia.org/wiki/Jean_Nocret)\n\n[Henriette-Marie; his brother,](https://en.wikipedia.org/wiki/Henrietta_Maria_of_France)\n\n[Philippe, duc d'Orléans; the Duke's](https://en.wikipedia.org/wiki/Philippe_I,_Duke_of_Orl%C3%A9ans)\n\n[daughter, Marie Louise d'Orléans,](https://en.wikipedia.org/wiki/Princess_Marie_Louise_of_Orl%C3%A9ans_(1662%E2%80%931689))\n\n[and wife, Henriette-Anne Stuart; the](https://en.wikipedia.org/wiki/Henrietta_Anne_Stuart)\n\n[Queen-mother, Anne of Austria;](https://en.wikipedia.org/wiki/Anne_of_Austria)\n\n[three daughters of Gaston](https://en.wikipedia.org/wiki/Gaston,_Duke_of_Orl%C3%A9ans)\n\n[d'Orléans; Louis XIV; the Dauphin](https://en.wikipedia.org/wiki/Gaston,_Duke_of_Orl%C3%A9ans)\n\n[Louis; Queen Marie-Thérèse; ](https://en.wikipedia.org/wiki/Maria_Theresa_of_Spain) *[la](https://en.wikipedia.org/wiki/Anne_Marie_Louise_d%27Orl%C3%A9ans,_Duchess_of_Montpensier)*\n\n*[Grande Mademoiselle](https://en.wikipedia.org/wiki/Anne_Marie_Louise_d%27Orl%C3%A9ans,_Duchess_of_Montpensier)* .\n\nwas persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis\n\nfeared the political concessions which they would demand in return. Only towards the\n\nclose of his reign under the extreme exigency of war, was he able, for the first time in\n\nFrench history, to impose direct taxes on the aristocracy. This was a step toward equality\n\nbefore the law and toward sound public finance, though it was predictably diminished by\n\nconcessions and exemptions won by the insistent efforts of nobles and bourgeois. <sup>[35]</sup>\n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade.\n\n[Colbert's mercantilist administration established new industries and encouraged](https://en.wikipedia.org/wiki/Mercantilism)\n\n[manufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins](https://en.wikipedia.org/wiki/Gobelins_manufactory)\n\n[tapestry manufactory. He invited manufacturers and artisans from all over Europe to](https://en.wikipedia.org/wiki/Gobelins_manufactory)\n\n[France, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He](https://en.wikipedia.org/wiki/Murano)\n\naimed to decrease imports while increasing French exports, hence reducing the net outflow\n\nof precious metals from France.\n\n[Louis instituted reforms in military administration through Michel le Tellier and his son](https://en.wikipedia.org/wiki/Michel_le_Tellier)\n\n[François-Michel le Tellier, successive Marquis de Louvois. They helped to curb the](https://en.wikipedia.org/wiki/Fran%C3%A7ois-Michel_le_Tellier,_Marquis_de_Louvois)\n\nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted\n\nwar at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the\n\nold military aristocracy ( *noblesse d'épée* , nobility of the sword) monopolizing senior military positions and the higher ranks.\n\nLouvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the\n\nsoldiers' material well-being and morale, and even tried to direct campaigns.\n\n[Louis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France](https://en.wikipedia.org/wiki/Great_Ordinances)\n\nwas a patchwork of legal systems, with as many traditional legal regimes as there were\n\n[provinces, and two co-existing legal systems—customary law in the north and Roman civil](https://en.wikipedia.org/wiki/Roman_law)\n\n[law in the south.](https://en.wikipedia.org/wiki/Roman_law) <sup>[36]</sup> The *Grande Ordonnance de Procédure Civile* of 1667, the *Code*\n\n*Louis* [, was a comprehensive legal code imposing a uniform regulation of civil procedure](https://en.wikipedia.org/wiki/Civil_procedure)\n\nthroughout the kingdom. Among other things, it prescribed baptismal, marriage and death\n\nrecords in the state's registers, not the church's, and it strictly regulated the right of the\n\n*Parlements* to remonstrate. <sup>[37]</sup> The *Code Louis* [ later became the basis for the Napoleonic](https://en.wikipedia.org/wiki/Napoleonic_code)\n\n[code, which in turn inspired many modern legal codes.](https://en.wikipedia.org/wiki/Napoleonic_code)\n\nOne of Louis's more infamous decrees was the *Grande Ordonnance sur les Colonies* of\n\n1685, the *[Code Noir](https://en.wikipedia.org/wiki/Code_Noir)* (black code). Although it sanctioned slavery, it attempted to humanise\n\nthe practice by prohibiting the separation of families. Additionally, in the colonies, only\n\nRoman Catholics could own slaves, and these had to be baptised.\n\nLouis ruled through a number of councils:\n\nConseil d'en haut (\"High Council\", concerning the most important matters of\n\nstate)—composed of the king, the crown prince, the controller-general of\n\nfinances, and the secretaries of state in charge of various departments. The\n\nmembers of that council were called ministers of state.\n\nConseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces).\n\nConseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).\n\nConseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an\n\nhonorary post in most cases)—this was one of the few posts in the council available to the high aristocracy. <sup>[38]</sup>\n\n[The death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had](https://en.wikipedia.org/wiki/War_of_Devolution)\n\n[married Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees.](https://en.wikipedia.org/wiki/Treaty_of_the_Pyrenees) <sup>[39]</sup> The marriage\n\ntreaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants. <sup>[39]</sup> Mazarin\n\n#### **Relations with the major colonies**\n\n### **Early wars in the Low Countries**\n\n#### **Spain**",
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- "text": "| Silver coin of Louis XIV, dated 1674 | Silver coin of Louis XIV, dated 1674 |\n|:---|:---|\n| | |\n| Obverse. The Latin inscription is LVDOVICVS XIIII D[EI] GRA[TIA] (\"Louis XIV, by the grace of God\"). | Reverse. The Latin inscription is FRAN[CIÆ] ET NAVARRÆ REX 1674 (\"King of France and of Navarre, 1674\"). |\n\n[The Persian embassy to Louis XIV](https://en.wikipedia.org/wiki/Persian_embassy_to_Louis_XIV)\n\n[sent by Soltan Hoseyn in 1715.](https://en.wikipedia.org/wiki/Soltan_Hoseyn)\n\n*Ambassade de Perse auprès de*\n\n*Louis XIV* [, studio of Antoine Coypel.](https://en.wikipedia.org/wiki/Antoine_Coypel)\n\n[The French were nevertheless forced to retreat from most of the Dutch Republic, which deeply shocked Louis; he retreated to St](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye)\n\n[Germain for a time, where no one, except a few intimates, was allowed to disturb him.](https://en.wikipedia.org/wiki/Ch%C3%A2teau_de_Saint-Germain-en-Laye) <sup>[47]</sup> French military advantages allowed\n\nthem however to hold their ground in Alsace and the Spanish Netherlands while retaking Franche-Comté. By 1678, mutual\n\n[exhaustion led to the Treaty of Nijmegen, which was generally settled in France's favour and allowed Louis to intervene in the](https://en.wikipedia.org/wiki/Treaty_of_Nijmegen)\n\n[Scanian War. Despite the military defeat, his ally Sweden regained much of what it had lost under the 1679 treaties of Saint-](https://en.wikipedia.org/wiki/Treaty_of_Saint-Germain-en-Laye_(1679))\n\n[Germain-en-Laye, Fontainebleau and Lund imposed on Denmark- Norway and Brandenburg.](https://en.wikipedia.org/wiki/Denmark%E2%80%93Norway) <sup>[48]</sup> Yet Louis's two primary goals,\n\nthe destruction of the Dutch Republic and the conquest of the Spanish Netherlands, had failed. <sup>[49]</sup>\n\nLouis was at the height of his power, but at the cost of uniting his opponents; this increased as he continued his expansion. In\n\n[1679, he dismissed his foreign minister Simon Arnauld, marquis de Pomponne, because he was seen as having compromised too](https://en.wikipedia.org/wiki/Simon_Arnauld,_marquis_de_Pomponne)\n\nmuch with the allies. Louis maintained the strength of his army, but in his next series of territorial claims avoided using military\n\nforce alone. Rather, he combined it with legal pretexts in his efforts to augment the boundaries of his kingdom. Contemporary\n\n[treaties were intentionally phrased ambiguously. Louis established the Chambers of Reunion to determine the full extent of his](https://en.wikipedia.org/wiki/Chambers_of_Reunion)\n\nrights and obligations under those treaties.\n\n[Cities and territories, such as Luxembourg and Casale, were prized for their strategic](https://en.wikipedia.org/wiki/Casale_Monferrato)\n\npositions on the frontier and access to important waterways. Louis also sought\n\n[Strasbourg, an important strategic crossing on the left bank of the Rhine and theretofore](https://en.wikipedia.org/wiki/Strasbourg)\n\n[a Free Imperial City of the Holy Roman Empire, annexing it and other territories in](https://en.wikipedia.org/wiki/Holy_Roman_Empire)\n\n1681. Although a part of Alsace, Strasbourg was not part of Habsburg-ruled Alsace and\n\nwas thus not ceded to France in the Peace of Westphalia.\n\n[Following these annexations, Spain declared war, precipitating the War of the Reunions.](https://en.wikipedia.org/wiki/War_of_the_Reunions)\n\nHowever, the Spanish were rapidly defeated because the Emperor (distracted by the\n\n[Great Turkish War) abandoned them, and the Dutch only supported them minimally. By](https://en.wikipedia.org/wiki/Great_Turkish_War)\n\n[the Truce of Ratisbon, in 1684, Spain was forced to acquiesce in the French occupation](https://en.wikipedia.org/wiki/Truce_of_Ratisbon)\n\nof most of the conquered territories, for 20 years. <sup>[50]</sup>\n\nLouis's policy of the *Réunions* may have raised France to its greatest size and power\n\nduring his reign, but it alienated much of Europe. This poor public opinion was\n\ncompounded by French actions off the Barbary Coast and at Genoa. First, Louis had\n\n[Algiers and Tripoli, two Barbary pirate strongholds, bombarded to obtain a favourable treaty and the liberation of Christian](https://en.wikipedia.org/wiki/Tripoli,_Libya)\n\n[slaves. Next, in 1684, a punitive mission was launched against Genoa in retaliation for its support for Spain in previous wars.](https://en.wikipedia.org/wiki/Genoa)\n\n[Although the Genoese submitted, and the Doge led an official mission of apology to Versailles, France gained a reputation for](https://en.wikipedia.org/wiki/Doge_of_Genoa)\n\n[brutality and arrogance. European apprehension at growing French might and the realisation of the extent of the dragonnades'](https://en.wikipedia.org/wiki/Dragonnades)\n\neffect (discussed below) led many states to abandon their alliances with France. <sup>[51]</sup> Accordingly, by the late 1680s, France became\n\nincreasingly isolated in Europe.\n\n[French colonies multiplied in Africa, the Americas, and Asia during Louis's reign, and](https://en.wikipedia.org/wiki/French_colonial_empire)\n\n[French explorers made important discoveries in North America. In 1673, Louis Jolliet and](https://en.wikipedia.org/wiki/Louis_Jolliet)\n\n[Jacques Marquette discovered the Mississippi River. In 1682, René-Robert Cavelier, Sieur](https://en.wikipedia.org/wiki/Ren%C3%A9-Robert_Cavelier,_Sieur_de_La_Salle)\n\n[de La Salle, followed the Mississippi to the Gulf of Mexico and claimed the vast](https://en.wikipedia.org/wiki/Gulf_of_Mexico)\n\nMississippi basin in Louis's name, calling it *[Louisiane](https://en.wikipedia.org/wiki/Louisiana_(New_France))* . French trading posts were also\n\n[established in India, at Chandernagore and Pondicherry, and in the Indian Ocean at Île](https://en.wikipedia.org/wiki/R%C3%A9union)\n\n[Bourbon. Throughout these regions, Louis and Colbert embarked on an extensive program](https://en.wikipedia.org/wiki/R%C3%A9union)\n\nof architecture and urbanism meant to reflect the styles of Versailles and Paris and the\n\n'gloire' of the realm. <sup>[52]</sup>\n\n[Meanwhile, diplomatic relations were initiated with distant countries. In 1669, Suleiman](https://en.wikipedia.org/wiki/Suleiman_Aga)\n\n[Aga led an Ottoman embassy to revive the old Franco-Ottoman alliance.](https://en.wikipedia.org/wiki/Franco-Ottoman_alliance) <sup>[53]</sup> Then, in 1682,\n\n[after the reception of the Moroccan embassy of Mohammed Tenim in France, Moulay Ismail, Sultan of Morocco, allowed French](https://en.wikipedia.org/wiki/Ismail_Ibn_Sharif)\n\nconsular and commercial establishments in his country. <sup>[54]</sup> [ In 1699, Louis once again received a Moroccan ambassador, Abdallah](https://en.wikipedia.org/wiki/Abdallah_bin_Aisha)\n\n[bin Aisha, and in 1715, he received a Persian embassy led by Mohammad Reza Beg.](https://en.wikipedia.org/wiki/Mohammad_Reza_Beg)\n\n[From farther afield, Siam dispatched an embassy in 1684, reciprocated by the French magnificently the next year under](https://en.wikipedia.org/wiki/Siamese_embassy_to_France_(1686))\n\n[Alexandre, Chevalier de Chaumont. This, in turn, was succeeded by another Siamese embassy under Kosa Pan, superbly received](https://en.wikipedia.org/wiki/Kosa_Pan)\n\n[at Versailles in 1686. Louis then sent another embassy in 1687, under Simon de la Loubère, and French influence grew at the](https://en.wikipedia.org/wiki/Simon_de_la_Loub%C3%A8re)\n\n#### **Non-European relations and the colonies**",
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- "text": "Territorial expansion of France\n\nunder Louis XIV (1643- 1715) is\n\ndepicted in orange.\n\n[illegitimate son Louis-Auguste de Bourbon, Duke of Maine.](https://en.wikipedia.org/wiki/Louis-Auguste_de_Bourbon,_Duke_of_Maine) <sup>[129]</sup> Orléans, however, had Louis's will annulled by the *Parlement of*\n\n*Paris* [ after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of](https://en.wikipedia.org/wiki/Louis-Alexandre_de_Bourbon,_comte_de_Toulouse)\n\n[the rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges.](https://en.wikipedia.org/wiki/Prince_du_Sang) <sup>[130]</sup>\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson,\n\nPhilip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish\n\n[Succession, which lasted for 13 years after the death of Charles II of Spain in 1700.](https://en.wikipedia.org/wiki/Charles_II_of_Spain) <sup>[131]</sup>\n\n*[Louis XIII (1601- 1643)](https://en.wikipedia.org/wiki/Louis_XIII)*\n\n[ ](https://en.wikipedia.org/wiki/File:Simple_gold_crown.svg) **Louis XIV** *(1638- 1715)*\n\n*[Louis, Grand Dauphin (1661- 1711)](https://en.wikipedia.org/wiki/Louis,_Grand_Dauphin)*\n\n*[Louis, Duke of Burgundy (1682- 1712)](https://en.wikipedia.org/wiki/Louis,_Duke_of_Burgundy)*\n\n*[Louis, Duke of Brittany (1707- 1712)](https://en.wikipedia.org/wiki/Louis,_Duke_of_Brittany_(1707%E2%80%931712))*\n\n**(1)** [ Louis, Duke of Anjou (1710- 1774)](https://en.wikipedia.org/wiki/Louis_XV)\n\n[Philip V of Spain (1683- 1746)](https://en.wikipedia.org/wiki/Philip_V_of_Spain)\n\n*[Charles, Duke of Berry (1686- 1714)](https://en.wikipedia.org/wiki/Charles,_Duke_of_Berry_(1686%E2%80%931714))*\n\n*[Philippe I, Duke of Orléans (1640- 1701)](https://en.wikipedia.org/wiki/Philippe_I,_Duke_of_Orl%C3%A9ans)*\n\n**(2)** [ Philippe II, Duke of Orléans (1674- 1723)](https://en.wikipedia.org/wiki/Philippe_II,_Duke_of_Orl%C3%A9ans)\n\n**(3)** [ Louis, Duke of Chartres (1703- 1752)](https://en.wikipedia.org/wiki/Louis,_Duke_of_Orl%C3%A9ans_(1703%E2%80%931752))\n\n[Further down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of](https://en.wikipedia.org/wiki/Cadet_branch)\n\n[the House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin](https://en.wikipedia.org/wiki/Second_cousin)\n\n[of French King Louis XIII (the father of Louis XIV) in the male line.](https://en.wikipedia.org/wiki/Male_line)\n\n[According to Philippe de Courcillon's ](https://en.wikipedia.org/wiki/Philippe_de_Courcillon) *Journal* , Louis on his deathbed advised his heir with these words:\n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for\n\nvanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the\n\nburdens of your subjects. <sup>[132]</sup>\n\nSome historians point out that it was a customary demonstration of piety in those days to\n\nexaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed\n\ndeclarations in assessing his accomplishments. Rather, they focus on military and\n\ndiplomatic successes, such as how he placed a French prince on the Spanish throne. This,\n\nthey contend, ended the threat of an aggressive Spain that historically interfered in\n\ndomestic French politics. These historians also emphasise the effect of Louis's wars in\n\nexpanding France's boundaries and creating more defensible frontiers that preserved\n\nFrance from invasion until the Revolution. <sup>[132]</sup>\n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his]\n\nsubjects.\" For example, he patronised the arts, encouraged industry, fostered trade and\n\ncommerce, and sponsored the founding of an overseas empire. Moreover, the significant\n\nreduction in civil wars and aristocratic rebellions during his reign are seen by these\n\nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised\n\nFrance and marked the birth of the modern French state. They regard the political and military victories as well as numerous\n\ncultural achievements as how Louis helped raise France to a preeminent position in Europe. <sup>[133]</sup> Europe came to admire France\n\nfor its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values,\n\ngoods, and deportment. French became the universal language of the European elite.\n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted\n\nFrance. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting\n\n[evidence, they cite the literature of the time, such as the social commentary in Montesquieu's ](https://en.wikipedia.org/wiki/Montesquieu) *[Persian Letters](https://en.wikipedia.org/wiki/Persian_Letters)* . <sup>[134]</sup>\n\n##### **Line of succession in 1715**\n\n### **Legacy**\n\n#### **Reputation**",
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- "query": "Does nerve transection or crushing affect small afferents within the dorsal root ganglion in the same way?",
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- "target_passage": "Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.",
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- "text": "cell death and apoptosis with more than 10 genes were\n\nexamined. Filtered count data of expressed and nondifferentially\n\nexpressed genes were used as a background.\n\n2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgD <sup>CreERT2</sup> ;Ai32 and\n\nCalca <sup>CreERT2</sup> ;Ai32 mice . 1 week after dosing with tamoxifen and\n\nenzymatically digested at 37˚˚C for 80 minutes in dispase type II\n\n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously. <sup>63</sup> Mechanically dissoci-\n\nated cells were plated onto laminin/poly-D-lysine (R&D Systems,\n\nMinneapolis, MN) treated coverslips in complete Neurobasal Plus\n\nmedium (Neurobasal Plus media supplemented with 2% (vol/vol)\n\nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic- antimycotic\n\n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth\n\nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech,\n\nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor\n\n(GDNF, PeproTech) were added to the media under some\n\nconditions. Cytosine b -D-arabinofuranoside (4 m M) was added to\n\nthe media for 24 hours the day after plating to reduce the\n\nproliferation of nonneuronal cells. Media was refreshed 3 times\n\nper week thereafter. Cultures were fixed for 10 minutes at room\n\ntemperature with 4% paraformaldehyde and subsequently\n\nprocessed by immunocytochemistry (described earlier).\n\n2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified,\n\nand P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7. <sup>15</sup> A quantitative Venn diagram was created using BioVenn. <sup>25</sup> All\n\nother statistical analyses were performed in Prism 10 (GraphPad\n\nSoftware, Inc, Boston, MA) or R using paired t tests or 1- or 2-way\n\nRM ANOVAs (repeated measures analysis of variance), where\n\nappropriate. Normality was assessed by the Shapiro- Wilk test. If\n\nthe main analysis of variance effect was significant, <sup>ˇ</sup> S´ıd ´ak or\n\nTukey multiple comparisons tests were performed. To compare\n\npopulation distributions of soma cross-sectional area or volume,\n\nKolmogorov- Smirnov tests were performed.\n\n3. Results\n\n3.1. Peripheral nerve injury induces a loss of small neurons\n\nfrom the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve\n\ninjury, we generated the Avil <sup>FlpO</sup> ;Atf3 <sup>CreERT2</sup> ;RC::FLTG mouse\n\nline in which na¨ıve and axotomized sensory neurons were\n\ndifferentially labelled. In this mouse line, all neurons express\n\ntdTomato (Flp-dependent) in the na¨ıve state and switch to\n\nexpressing green fluorescent protein (GFP) upon axonal damage\n\nand concurrent tamoxifen treatment (Flp- and Cre-dependent)\n\n( Figs. 1A and B ). Following pilot experiments to optimize\n\ntamoxifen dosing regimen, this approach was both highly efficient\n\nand specific (with the caveat that it was necessary to wait for\n\nseveral days after nerve injury for Cre-induced GFP expression):\n\n14 days after SNI trans surgery, GFP was expressed by 99.1 6\n\n0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we\n\nobserved GFP in only 4.6 6 0.7% of contralateral DRG neurons\n\n[(Figs. S2A- D, http://links.lww.com/PAIN/C84). We then used](http://links.lww.com/PAIN/C84)\n\na stereological approach to quantify the total number of neurons\n\nin L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNI trans, as\n\nwell as contralateral to injury. One week after SNI trans , we\n\nobserved 7809 6 153 neurons per DRG; this was not significantly\n\ndifferent to the number of neurons in the contralateral DRG\n\n(7917 6 349), whereas cell number approximately halved by\n\n8 weeks postinjury to 3963 6 410 neurons per DRG ( Fig. 1C ).\n\nSeparating analysis into intact vs axotomized afferents revealed\n\nthat only axotomized afferents were lost, with no difference\n\nobserved in numbers of intact afferents ( Fig. 1D ). Between 1 and\n\n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the\n\nnumber of GFP 1 neurons. This loss of injured afferents resulted\n\nin a loss of neuron-containing (ie, excluding white matter regions)\n\nDRG volume ( Fig. 1E ), but not neuron density ( Fig. 1F ). Cell loss\n\npredominantly occurred between 1 and 2 weeks postinjury and\n\nstabilized after this timepoint. Population distributions of the\n\ncross-sectional area of nucleated, tdTomato-expressing cell\n\nprofiles were not significantly different at 1 vs 8 weeks post-\n\nSNI trans , in contrast to GFP-expressing/injured afferents, in which\n\na loss of a population of small afferents at 8 weeks postinjury was\n\nobserved ( Fig. 1G ).\n\nSNI trans resulted in a mixed population of axotomized and intact\n\nafferents within the L4 DRG. Therefore, we developed an approach\n\nto restrict our analysis to axotomized afferents, without relying on\n\ntransgenic labelling, and used this as a complementary approach to\n\nconfirm our findings. We injected the neuronal tracer FB into the\n\nglabrous, tibial innervation territory of both hindpaws 1 week before\n\ncommon peroneal and tibial transection (SNI trans ) or crush (SNI crush )\n\nsurgeries ( Figs. 2A and B ). FastBlue-uptake was complete across\n\n[neurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/](http://links.lww.com/PAIN/C84)\n\n[C84), so this approach allowed us to profile a sample of the](http://links.lww.com/PAIN/C84)\n\naxotomized afferents. Both SNI trans ( Fig. 2C ) and SNI crush ( Fig. 2D )\n\ninjuries resulted in a rightward shift in population distributions of the\n\ncross-sectional area of nucleated, FB-labelled DRG neurons when\n\ncompared with contralateral DRG, consistent with a loss of small\n\nafferents post- nerve injury.\n\nAs a third complementary approach, we applied semiauto-\n\nmated volumetric analyses of nuclei size following tissue clearing.\n\nIn this study, whole DRGs were cleared 4 weeks after SNI trans for\n\nnuclei counting in “complete” tissue ( Figs. 2E- H ). Nuclei were labelled by TDP-43, in line with the study by West et al., <sup>67</sup> and\n\nwere quantified using Imaris software ( Fig. 2F , Video 1). We\n\nobserved a slight but significant rightward shift in nuclear spot\n\nvolume population distribution 4 weeks after SNI trans ( Fig. 2G ). In\n\naddition, there was a significant reduction in the number of small\n\nbut not medium or large nuclear spots, in support of a loss of\n\nsmall-diameter neuron populations ( Fig. 2H ).\n\nTogether, our data derived from several different experimental\n\napproaches show that a population of small-diameter afferents\n\nare lost following peripheral nerve injury.\n\n3.2. Spared nerve crush or transection results in death of\n\nMrgprd-expressing neurons\n\nTo date, determining cell loss among specific populations of\n\nafferent neurons has proved challenging due to the down-\n\nregulation of subpopulation-specific marker genes following axonal transection. <sup>37,44</sup> To overcome this issue, we took\n\nadvantage of transgenic strategies to label populations in\n\na manner that persisted after injury. Owing to the bias for the\n\nloss of small neurons and the known loss of IB4-binding central terminals postinjury, <sup>36</sup> we initially focused on nonpeptidergic nociceptive neurons. We used MrgD <sup>ChR2-YFP</sup> mice to identify\n\nneurons belonging to the largest of the 3 classes of non- peptidergic nociceptors, NP1. <sup>55,59</sup> To determine whether these\n\nneurons are lost following nerve injury, we used a stereological method to quantify L4 DRG MrgD-YFP <sup>1</sup> (yellow fluorescent",
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- "text": "3.3. Spared nerve injury induces a loss of Trpm8 <sup>1</sup> and calcitonin gene-related peptide <sup>1</sup> but not myelinated dorsal\n\nroot ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully\n\naccount for the degree of total neuron loss that we observed.\n\nTherefore, we studied a range of other subpopulations, both\n\nsmall and large in diameter, for their vulnerability to injury-\n\ninduced loss. To investigate potential loss of Trpm8 <sup>1</sup> (cold- sensitive), calcitonin gene-related peptide <sup>1</sup> (CGRP) (peptider-\n\ngic), and myelinated subpopulations of DRG neurons following\n\nnerve injury, we applied our FB-labelling approach in Trpm8 <sup>FlpO</sup> ;\n\nRC::FLTG (FlpO-dependent tdTom expression), Calca <sup>CreERT2</sup> ;\n\nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP\n\nmice, respectively ( Figs. 4A- D ). Trpm8-tdTom was expressed\n\nFigure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous\n\ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNI trans or SNI crush surgery. (B) Representative image of FB labelling and NeuN\n\nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3- m m intervals through the entirety of a 30- m m-thick tissue section. Scale bar 5\n\n100 m m. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNI trans (C) or SNI crush injury (D)\n\nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov- Smirnov tests of cumulative distributions; SNI trans : D 5 0.25, P ,\n\n0.001; n 5 183 or 191 neurons from 3 mice; SNI crush : D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG\n\nvolumetric analyses after SNI trans . (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot\n\ndetection feature. Scale bar 5 100 m m. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNI trans . Kolmogorov- Smirnov tests of\n\ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size,\n\nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F 2,14 5 8.26, P 5 0.004; n 5 4 to 5 mice; <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests:**\nP , 0.01. ANOVA,\n\nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures. Figure 3. Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgD <sup>ChR2-YFP</sup> L4",
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- "text": "Research Paper PAIN 165 (2024) 2863- 2876\n\n### Peripheral nerve injury results in a biased loss of\n\n### sensory neuron subpopulations\n\n#### Andrew H. Cooper <sup>a</sup> , Allison M. Barry <sup>b</sup> , Paschalina Chrysostomidou <sup>a</sup> , Romane Lolignier <sup>a</sup> , Jinyi Wang <sup>a</sup> ,\n\n#### Magdalena Redondo Canales <sup>a</sup> , Heather F. Titterton <sup>a</sup> , David L. Bennett <sup>b</sup> , Greg A. Weir <sup>a,</sup> *\n\nAbstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability\n\nof discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury\n\nhas recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label\n\nmolecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared\n\nnerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron\n\nloss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of\n\nMrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%)\n\nfollowing sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic\n\nnociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG\n\nneuron subpopulations can survive axotomy, with implications for our understanding of nerve injury- induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly\n\nand functionally heterogeneous population. Under normal\n\nconditions, this diversity contributes to the ability of the\n\nsomatosensory nervous system to detect a myriad of sensory\n\nstimuli that result in the perceptions of touch, temperature,\n\nitch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability, <sup>57</sup> which is a key pathological driver of neuropathic pain. <sup>20,63</sup> Concomitant\n\nmolecular changes in discrete subpopulations also occur,\n\nand these have recently been comprehensively described in single-cell <sup>37,44</sup> and subpopulation-specific sequencing stud- ies. <sup>3</sup> These studies describe a transient and generalized\n\nreduction in the expression of subpopulation-specific genes\n\nfollowing nerve injury. <sup>3,37,44</sup>\n\nIn addition to molecular changes, there is a rich literature\n\ndescribing the frank loss of DRG neurons following traumatic\n\nnerve injury in experimental rodent models. <sup>24,50,53,56</sup> Some\n\nstudies have suggested that neuron loss occurs in certain patient cohorts, <sup>48,66</sup> but this is yet to be definitively demonstrated in\n\nhumans. In rodents, most studies support a preferential loss of small cells that give rise to unmyelinated fibers <sup>53</sup> but some contrasting studies describe the preferential loss of large cells <sup>6</sup> or loss of cells of all sizes. <sup>46</sup> Variation is evident across studies in\n\nterms of experimental species, age, type of injury, and quantification methods. <sup>56</sup> Shi et al. <sup>50</sup> used stereological counting\n\nmethods to identify a 54% loss of DRG neuron number 4 weeks\n\nafter “mid-thigh” sciatic nerve transection in C57BL/6 mice.\n\nEstimates for the degree of loss following commonly used nerve\n\ninjury paradigms (eg, spared nerve injury [SNI] and sciatic nerve\n\ncrush) are not available and because of the neurochemical\n\nchanges following injury and the loss of subpopulation marker gene expression, <sup>5,44,50</sup> the vulnerability of molecularly defined\n\nsubpopulations has not been characterized. Moreover, more\n\nrecent studies have cast doubt on the extent or even presence of\n\nDRG neuron death following nerve injury. One study which\n\ndeveloped a deep learning approach to assess rat DRG cellular\n\nplasticity found no loss of neurons up to 2 weeks post-SNI, <sup>49</sup>\n\nwhile another observed no loss of genetically labelled damaged\n\nDRG neurons 2 months after sciatic nerve crush. <sup>44</sup>\n\nThe issue of whether neuron loss occurs, and if so, in what\n\nsubpopulations, is important. It will likely have implications for our\n\nunderstanding of reinnervation and functional recovery in patients.\n\nFurthermore, better insight will provide critical context for those\n\ninvestigating the plasticity that occurs following nerve injury and\n\nmay inform therapeutic targeting of sensory neuron populations.\n\nAn expanding repertoire of transgenic recombinase driver lines\n\nnow makes it possible to permanently label DRG neuron\n\nsubpopulations and study their fate in rodent nerve injury paradigms.\n\nThe aim of this study was to use this technology to characterize\n\nSponsorships or competing interests that may be relevant to content are disclosed\n\nat the end of this article.\n\na School of Psychology and Neuroscience, University of Glasgow, Glasgow, United Kingdom, <sup>b</sup> Nuffield Department of Clinical Neurosciences, University of\n\nOxford, Oxford, United Kingdom\n\n*Corresponding author. Address: School of Psychology and Neuroscience,\n\nUniversity of Glasgow, Glasgow G12 8QQ, United Kingdom. Tel.: 1 44 (0) 141 330\n\n[7023. E-mail address: gregory.weir@glasgow.ac.uk (G.A. Weir).](mailto:gregory.weir@glasgow.ac.uk)\n\nSupplemental digital content is available for this article. Direct URL citations appear\n\nin the printed text and are provided in the HTML and PDF versions of this article on\n\n[the journal’s Web site (www.painjournalonline.com).](http://www.painjournalonline.com)\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf\n\nof the International Association for the Study of Pain. This is an open access article\n\n[distributed under the Creative Commons Attribution License 4.0 (CCBY), which](http://creativecommons.org/licenses/by/4.0/)\n\npermits unrestricted use, distribution, and reproduction in any medium, provided the\n\noriginal work is properly cited.\n\n[http://dx.doi.org/10.1097/j.pain.0000000000003321](http://dx.doi.org/10.1097/j.pain.0000000000003321)\n\nDecember 2024 · Volume 165 · Number 12 www.painjournalonline.com 2863",
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- "text": "[30] Liang Z, Hore Z, Harley P, Uchenna Stanley F, Michrowska A, Dahiya M,\n\nLa Russa F, Jager SE, Villa-Hernandez S, Denk F. A transcriptional\n\ntoolbox for exploring peripheral neuroimmune interactions. PAIN 2020;\n\n161:2089- 106.\n\n[31] Love MI, Huber W, Anders S. Moderated estimation of fold change and\n\ndispersion for RNA-seq data with DESeq2. Genome Biol 2014;15:550.\n\n[32] Madisen L, Mao T, Koch H, Zhuo J, Berenyi A, Fujisawa S, Hsu YWA,\n\nGarcia AJ, Gu X, Zanella S, Kidney J, Gu H, Mao Y, Hooks BM, Boyden\n\nES, Buzs ´aki G, Ramirez JM, Jones AR, Svoboda K, Han X, Turner EE,\n\nZeng H. A toolbox of Cre-dependent optogenetic transgenic mice for\n\nlight-induced activation and silencing. Nat Neurosci 2012;15:793- 802.\n\n[33] Madisen L, Zwingman TA, Sunkin SM, Oh SW, Zariwala HA, Gu H, Ng LL,\n\nPalmiter RD, Hawrylycz MJ, Jones AR, Lein ES, Zeng H. A robust and\n\nhigh-throughput Cre reporting and characterization system for the whole\n\nmouse brain. Nat Neurosci 2010;13:133- 40.\n\n[34] McCoy ES, Taylor-Blake B, Street SE, Pribisko AL, Zheng J, Zylka MJ.\n\nPeptidergic CGRP a primary sensory neurons encode heat and itch and\n\ntonically suppress sensitivity to cold. Neuron 2013;78:138- 51.\n\n[35] McKay Hart A, Brannstrom T, Wiberg M, Terenghi G. Primary sensory\n\nneurons and satellite cells after peripheral axotomy in the adult rat:\n\ntimecourse of cell death and elimination. Exp Brain Res 2002;142:308- 18.\n\n[36] Molander C, Wang H, Rivero-Meli ´an C, Grant G. Early decline and late\n\nrestoration of spinal cord binding and transganglionic transport of\n\nisolectin B4 from Griffonia simplicifolia I after peripheral nerve\n\ntransection or crush. Restor Neurol Neurosci 1996;10:123- 33.\n\n[37] Nguyen MQ, Le Pichon CE, Ryba N. Stereotyped transcriptomic\n\ntransformation of somatosensory neurons in response to injury. Elife\n\n2019;8:e49679.\n\n[38] Oliveira ALR. Apoptosis of sensory neurons and satellite cells after sciatic\n\nnerve transection in C57BL/6J mice. Braz J Med Biol Res 2001;34:\n\n375- 80.\n\n[39] Olson W, Abdus-Saboor I, Cui L, Burdge J, Raabe T, Ma M, Luo W.\n\nSparse genetic tracing reveals regionally specific functional organization\n\nof mammalian nociceptors. Elife 2017;6:e29507.\n\n[40] Plummer NW, Evsyukova IY, Robertson SD, de Marchena J, Tucker CJ,\n\nJensen P. Expanding the power of recombinase-based labeling to\n\nuncover cellular diversity. Development 2015;142:4385- 93.\n\n[41] Prescott SA, Ratt ´e S. Pain processing by spinal microcircuits: afferent\n\ncombinatorics. Curr Opin Neurobiol 2012;22:631- 9.\n\n[42] Qi L, Iskols M, Shi D, Reddy P, Walker C, Lezgiyeva K, Voisin T, Pawlak M,\n\nKuchroo VK, Chiu I, Ginty DD, Sharma N. A DRG genetic toolkit reveals\n\nmolecular, morphological, and functional diversity of somatosensory\n\nneuron subtypes. bioRxiv 2023.2023.04.22.537932.\n\n[43] Reid AJ, Mantovani C, Shawcross SG, Terenghi G, Wiberg M. Phenotype\n\nof distinct primary sensory afferent subpopulations and caspase-3\n\nexpression following axotomy. Histochem Cell Biol 2011;136:71- 8.\n\n[44] Renthal W, Tochitsky I, Yang L, Cheng YC, Li E, Kawaguchi R,\n\nGeschwind DH, Woolf CJ. Transcriptional reprogramming of distinct\n\nperipheral sensory neuron subtypes after axonal injury. Neuron 2020;\n\n108:128- 44.e9.\n\n[45] Schindelin J, Arganda-Carreras I, Frise E, Kaynig V, Longair M, Pietzsch\n\nT, Preibisch S, Rueden C, Saalfeld S, Schmid B, Tinevez J-Y, White DJ,\n\nHartenstein V, Eliceiri K, Tomancak P, Cardona A. Fiji: an open-source\n\nplatform for biological-image analysis. Nat Methods 2012;9:676- 82.\n\n[46] Schmalbruch H. Loss of sensory neurons after sciatic nerve section in the\n\nrat. Anat Rec 1987;219:323- 9.\n\n[47] Schmitz C, Hof PR. Design-based stereology in neuroscience.\n\nNeuroscience 2005;130:813- 31.\n\n[48] Schulte A, Degenbeck J, Aue A, Schindeh ¨utte M, Schlott F, Schneider M,\n\nMonoranu CM, Bohnert M, Pham M, Antoniadis G, Blum R, Rittner HL.\n\nHuman dorsal root ganglia after plexus injury: either preservation or loss of\n\nthe multicellular unit. bioRxiv 2023.02.06.526934.\n\n[49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue\n\nA. Unbiased analysis of the dorsal root ganglion after peripheral nerve\n\ninjury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN\n\n2023;164:728- 40.\n\n[50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H ¨okfelt T. Effect of\n\nperipheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J\n\nmouse: marked changes both in cell numbers and neuropeptide\n\nexpression. Neuroscience 2001;105:249- 63.\n\n[51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional\n\ncharacterization of pulmonary neuroendocrine cells in lung development,\n\ninjury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531- 6.\n\n[52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of\n\nGDNF in the uninjured DRG exerts analgesic effects on neuropathic pain\n\nfollowing segmental spinal nerve ligation in mice. J Pain 2011;12:\n\n1130- 1139.\n\n[53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root\n\nganglion cells after transection of the rat sciatic nerve. J Comp Neurol\n\n2000;422:172- 80.\n\n[54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons:\n\ndiagnosis and prevention. J Hand Surg Eur Vol 2011;36:730- 4.\n\n[55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, Hjerling-\n\nLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S,\n\nErnfors P. Unbiased classification of sensory neuron types by large-scale\n\nsingle-cell RNA sequencing. Nat Neurosci 2015;18:145- 53.\n\n[56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on\n\nnumber and volume of dorsal root ganglion cell bodies. J Comp Neurol\n\n1997;388:307- 12.\n\n[57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from\n\na neuroma. Nature 1974;248:740- 43.\n\n[58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang\n\nY, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation\n\nof MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33:\n\n1360- 73.\n\n[59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons\n\ninnervate most known classes of substantia gelatinosa neurons.\n\nJ Neurosci 2009;29:13202- 9.\n\n[60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial\n\ncell line-derived neurotrophic factor normalizes neurochemical\n\nchanges in injured dorsal root ganglion neurons and prevents the\n\nexpression of experimental neuropathic pain. Neuroscience 2003;\n\n121:815- 24.\n\n[61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan\n\nfluorescent protein (CFP) expressing cells in the retina of Thy1-CFP\n\ntransgenic mice before and after optic nerve injury. Neurosci Lett 2010;\n\n468:110- 4.\n\n[62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM,\n\nAdelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR.\n\nMrgprdCre lineage neurons mediate optogenetic allodynia through an\n\nemergent polysynaptic circuit. PAIN 2021;162:2120- 31.\n\n[63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB,\n\nBennett DL. Using an engineered glutamate-gated chloride channel to\n\nsilence sensory neurons and treat neuropathic pain at the source. Brain\n\n2017;140:2570- 85.\n\n[64] Welin D, Novikova LN, Wiberg M, Kellerth JO, Novikov LN. Survival and\n\nregeneration of cutaneous and muscular afferent neurons after peripheral\n\nnerve injury in adult rats. Exp Brain Res 2008;186:315- 23.\n\n[65] West CA, Davies KA, Hart AM, Wiberg M, Williams SR, Terenghi G.\n\nVolumetric magnetic resonance imaging of dorsal root ganglia for the\n\nobjective quantitative assessment of neuron death after peripheral nerve\n\ninjury. Exp Neurol 2007;203:22- 33.\n\n[66] West CA, Ljungberg C, Wiberg M, Hart A. Sensory neuron death after\n\nupper limb nerve injury and protective effect of repair: clinical evaluation\n\nusing volumetric magnetic resonance imaging of dorsal root ganglia.\n\nNeurosurgery 2013;73:632- 40.\n\n[67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological\n\nautomated analysis of biological structures. bioRxiv 2020:648337.\n\n[68] Wiberg R, Novikova LN, Kingham PJ. Evaluation of apoptotic pathways in\n\ndorsal root ganglion neurons following peripheral nerve injury.\n\nNeuroreport 2018;29:779- 85.\n\n[69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum\n\nAI. Dorsal root ganglion macrophages contribute to both the initiation and\n\npersistence of neuropathic pain. Nat Commun 2020;11:264.\n\n[70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia\n\ngelatinosa mediate interaction of signals from primary afferents. J Physiol\n\n2010;588:2065- 75.",
- "page_start": 13,
- "page_end": 13,
- "source_file": "pubmed2.pdf"
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- "text": "an industrial partnership grant from the BBSRC and AstraZeneca.\n\nThe remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.-\n\n[A.W.—gregory.weir@glasgow.ac.uk. Further information and](mailto:gregory.weir@glasgow.ac.uk)\n\nrequests for reagents and/or reagents used in this study should\n\nalso be directed to G.A.W., and we will endeavour to fulfil these.\n\nAcknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp\n\ntransgenic mouse line and Prof Andrew Todd and Dr David\n\nHughes for their critical feedback on the manuscript. Neuron and\n\nganglion illustrations in Figure 1 [ and S1 (http://links.lww.com/](http://links.lww.com/PAIN/C84)\n\n[PAIN/C84) were adapted from images provided by Servier](http://links.lww.com/PAIN/C84)\n\nMedical Art, licensed under CC BY 4.0. The research was funded\n\nby an MRC Fellowship grant awarded to GAW. (MR/T01072X/1)\n\nand a Tenovus Scotland Pilot Grant awarded to AHC and GAW\n\n(S22-17). This work was also funded by the Wellcome Trust (DPhil\n\nscholarship to AMB, 215145/Z/18/Z) and a Wellcome Investiga-\n\ntor Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/\n\nT020113/1), and with funding from the MRC and Versus Arthritis\n\nto the PAINSTORM consortium as part of the Advanced Pain\n\nDiscovery Platform (MR/W002388/1). AMB further received\n\na GTC MSDTC Scholarship.\n\nSupplemental digital content\n\nSupplemental digital content associated with this article can be\n\n[found online at http://links.lww.com/PAIN/C84.](http://links.lww.com/PAIN/C84)\n\nSupplemental video content\n\nVideo content associated with this article can be found on the\n\nPAIN Web site.\n\nArticle history:\n\nReceived 14 November 2023\n\nReceived in revised form 11 April 2024\n\nAccepted 25 May 2024\n\nAvailable online 15 August 2024\n\nReferences\n\n[1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman\n\nAL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O’Neill TG, Zhuo J,\n\nTsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M,\n\nDymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. The cellular and\n\nsynaptic architecture of the mechanosensory dorsal horn. Cell 2017;168:\n\n295- 310.e19.\n\n[2] Bailey AL, Ribeiro-Da-Silva A. 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Exp Brain Res\n\n2002;145:182- 9.\n\n[23] Hu G, Huang K, Hu Y, Du G, Xue Z, Zhu X, Fan G. Single-cell RNA-seq\n\nreveals distinct injury responses in different types of DRG sensory\n\nneurons. Sci Rep 2016;6:31851.\n\n[24] Hu P, McLachlan EM. Selective reactions of cutaneous and muscle\n\nafferent neurons to peripheral nerve transection in rats. J Neurosci 2003;\n\n23:10559- 67.\n\n[25] Hulsen T, de Vlieg J, Alkema W. BioVenn—a web application for the\n\ncomparison and visualization of biological lists using area-proportional\n\nVenn diagrams. BMC Genomics 2008;9:488.\n\n[26] King T, Vera-Portocarrero L, Gutierrez T, Vanderah TW, Dussor G, Lai J,\n\nFields HL, Porreca F. Unmasking the tonic-aversive state in neuropathic\n\npain. Nat Neurosci 2009;12:1364- 6.\n\n[27] Leibovich H, Buzaglo N, Tsuriel S, Peretz L, Caspi Y, Katz B, Lev S,\n\nLichtstein D, Binshtok AM. Abnormal reinnervation of denervated areas\n\nfollowing nerve injury facilitates neuropathic pain. Cells 2020;9:1007.\n\n[28] Li H, Handsaker B, Wysoker A, Fennell T, Ruan J, Homer N, Marth G,\n\nAbecasis G, Durbin R; 1000 Genome Project Data Processing Subgroup.\n\nThe sequence alignment/map format and SAMtools. Bioinformatics\n\n2009;25:2078- 9.\n\n[29] Li L, Zhou XF. Pericellular Griffonia simplicifolia I isolectin B4-binding ring\n\nstructures in the dorsal root ganglia following peripheral nerve injury in\n\nrats. J Comp Neurol 2001;439:259- 74.",
- "page_start": 12,
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- "text": "[injury (Fig. S6A- C, http://links.lww.com/PAIN/C84), indicating](http://links.lww.com/PAIN/C84)\n\nthat any loss of neurons within specific neuronal subpopulations\n\nwas not biased towards soma size. Collectively, these data show\n\nthat unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm8 <sup>1</sup> and CGRP <sup>1</sup> subpopulations,\n\nbut no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic\n\nnociceptors, we re-analyzed a previous population-specific\n\ntranscriptomic dataset of mouse DRG neurons following nerve\n\ninjury for potential upregulation of cell death pathways (Fig. S7, [http://links.lww.com/PAIN/C84).](http://links.lww.com/PAIN/C84) <sup>3</sup> We found that early after injury\n\n(3 days post-SNI trans ), nonpeptidergic (MrgD <sup>CreERT2</sup> -expressing)\n\nneurons showed enhanced enrichment of GO terms associated\n\nwith apoptosis, in contrast to a broad population of nociceptors\n\n(labelled with Scn10a <sup>CreERT2</sup> ), peptidergic nociceptors (Calca-\n\nCreERT2 ), C-LTMRs (Th CreERT2 ), and A b -RA (rapidly adapting) and\n\nA d -LTMRs (A d /A b -LTMR, Ntrk2 <sup>CreERT2</sup> ;Advillin <sup>FlpO</sup> ), in which\n\nthere was less or no enrichment of cell death pathways. By\n\n4 weeks, only C-LTMR and A d /A b -LTMR subtypes show any\n\noverrepresentation of cell death pathways (in the populations\n\nstudied). Both injury-specific and apoptotic signatures in non-\n\npeptidergic neurons were no longer significantly enriched,\n\nconsistent with a loss of axotomized nonpeptidergic afferents\n\nby this late timepoint postinjury. These data suggest that\n\napoptotic pathways are upregulated acutely after injury in a cell-\n\ntype-specific manner.\n\n3.4. Mrgprd dorsal root ganglion neurons are sensitive to\n\nloss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support\n\nunderlies neuronal loss, which is supported by the observation\n\nthat exogenous GDNF treatment at the time of injury, or shortly\n\nafter, rescues the loss of IB4-binding central terminals posttransection. <sup>5</sup> We sought to use the DRG neurons from\n\nMrgD <sup>CreERT2</sup> ;Ai32 mice to test this postulate and establish an\n\nin vitro platform capable of probing the molecular basis of loss,\n\nwith axonal transection during isolation providing a correlate\n\nfor in vivo nerve injury ( Figs. 5A- E ). Twenty-four hours after\n\nplating, YFP was expressed by 16.3 6 1.3% of DRG neurons,\n\nwhich was reduced to 11.8 6 1.7% after 28 days of culture in\n\nthe presence of exogenous GFs, NGF and GDNF ( Fig. 5F ).\n\nHowever, in the absence of GFs, YFP <sup>1</sup> neurons only\n\naccounted for 1.7 6 0.6% of neurons after 28 days,\n\naccompanied by an apparent reduction in the overall number\n\nof neurons within the culture, despite all conditions being seeded at the same initial density ( Figs. 5C and F ). YFP <sup>1</sup> cell\n\nloss was partially rescued by the presence of GDNF, but not\n\nNGF alone, in the culture media ( Figs. 5D- F ). These results\n\ncontrasted with experiments using neurons derived from\n\nCalca <sup>CreERT2</sup> ;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP <sup>1</sup> after 28 days\n\nin culture, regardless of exogenous GF addition ( Figs. 5G- L ).\n\nCollectively, these data support the use of DRG cultures to\n\nprobe the mechanisms underlying selective loss of sensory\n\nneurons following nerve injury and suggest a role for trophic\n\nsupport, particularly by GDNF signaling, in preventing the loss\n\nof nonpeptidergic nociceptors.\n\n4. Discussion\n\nWe present data herein to support the hypothesis that\n\ntraumatic nerve injury in rodents leads to a profound loss of\n\nsmall-diameter DRG neurons. Taking advantage of newly\n\ndeveloped transgenic recombinase driver lines, we have\n\nshown that loss is biased across molecularly defined\n\nsubpopulations. Nonpeptidergic nociceptive neurons are\n\nparticularly susceptible to loss, with almost all Mrgprd <sup>1</sup>\n\naxotomized afferents lost following an unrepaired transection\n\ninjury (SNI trans ) and roughly half lost following a model which\n\ncontrastingly allows for nerve regenerations (SNI crush ).\n\nFinally, we have observed that the vulnerability of Mrgprd <sup>1</sup>\n\nneurons extends to the in vitro setting and provide data to\n\nsupport the hypothesis that loss is driven by a lack of\n\nneurotrophic support following injury.\n\n4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic\n\ninjury has been addressed by several groups over the last few\n\ndecades. Despite contrasting findings on the extent, timing, and\n\nform that loss takes, most studies have observed frank loss of DRG neurons. <sup>6,38,46,53</sup> However, more recent studies using\n\nrecombinase driver lines and novel machine-learning approaches have cast doubt on this consensus. <sup>44,49</sup> Our data strongly\n\nsupport the loss hypothesis and suggest that approximately 60%\n\nof axotomized afferents die within 2 weeks of SNI. The\n\ndiscrepancy between our findings and other recent studies may\n\nbe partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al. <sup>49</sup> developed\n\na novel machine-learning approach and found no reduction in\n\nneuron density across serial sections of rat DRG following SNI,\n\nand they inferred from this that frank loss did not occur. Our\n\nresults are congruous, in that we also observed no reduction in\n\nneuron density. However, we found a substantial loss in the total\n\nneuron-containing volume of injured DRG, which underlies our\n\ncontrasting conclusion of frank loss. Of note, morphological\n\nvolumetric analysis and MRI have also previously demonstrated\n\nvolume loss in both rodent and human DRG following nerve injury. <sup>35,65,66</sup> These findings occur despite a major increase of nonneuronal cells in the injured DRG <sup>30</sup> and support the notion\n\nthat the total DRG neuron number is decreased.\n\n4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined\n\nsubpopulations was challenging before the advent of recombi-\n\nnase driver lines, a consensus emerged that small-diameter\n\nneurons are more vulnerable to nerve injury- induced loss. <sup>50,53</sup>\n\nOur data support this consensus and extend it to reveal that while\n\nthere is a generalized partial loss of C-fiber populations including\n\nCGRP- and Trpm8-expressing neurons, Mrgprd-expressing\n\nneurons are particularly sensitive to loss. This selective vulnera-\n\nbility has been hinted at previously by the stark reduction in the\n\nnumber of DRG neurons and their central terminals that bind IB4\n\nand express canonical markers such as the P2X 3 receptor following nerve injury. <sup>5,8,29,36</sup> Type 1a glomeruli are also reduced\n\nin lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding. <sup>2</sup> However, it was not clear\n\nwhether these data represented phenotypic changes in non-\n\npeptidergic nociceptors or frank loss of neurons. We describe\n\nneuron loss that is delayed (occurring . 7 days postinjury) with\n\nrespect to histochemical and structural changes (occurring 1-\n\n5 days postinjury <sup>2,29</sup> ), suggesting that these changes precede\n\nand are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous\n\nwith recent subpopulation bulk RNA-seq data, which found that",
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- "text": "neuron loss after nerve injury and to test the hypothesis that loss is\n\nnot equally distributed across molecular populations.\n\n2. Methods\n\n2.1. Animals\n\nMice were housed in groups in humidity- and temperature-controlled\n\nrooms with free access to food and water, on a 12-hour light- dark\n\ncycle, and with environmental enrichment. Animal procedures were\n\nperformed under a UK Home Office Project Licence and in\n\naccordance with the UK Home Office (Scientific Procedures) Act\n\n(1986). All studies were approved by the Ethical Review Process\n\nApplicationsPaneloftheUniversityofGlasgoworOxfordandconform\n\nto the ARRIVE guidelines. Experiments were performed on adult male\n\nandfemalemiceaged7to16weeksatthestartoftheexperiments.All\n\nexperimental cohorts contained a mix of male and female mice, apart\n\nfrom the cohort of Mrgprd <sup>CreERT2</sup> ;Ai32 mice that underwent SNI crush\n\nsurgery, which was exclusively female. Details of transgenic lines are\n\nprovided in Table 1 . Tamoxifen was administered by i.p. injection of\n\n20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil\n\n(doses described in Table 1 ). There were 2 instances where animals\n\nwere excluded from data analysis: One (cyan fluorescent protein)\n\nThy1-CFP died of unknown causes not related to the procedure and\n\nbefore the experimental endpoint, and one MrgD <sup>CreERT2</sup> ;Ai32\n\nexhibited no fluorophore expression and was therefore deemed to\n\nhave been incorrectly genotyped. Group sizes were based on the\n\nextent of neuronal loss 28d following sciatic nerve transection identified by Shi et al. <sup>50</sup> Given a 5 0.05, power 5 0.8, and an effect\n\nsize of 4.81, power analysis projects that a group size of 3 mice would\n\nbe needed.\n\n2.2. Spared nerve transection and crush surgeries\n\nSpared nerve injury (transection of the common peroneal and\n\ntibial branches of the sciatic nerve; SNI trans ) and common\n\nperoneal and tibial crush injury (SNI crush ), in which nerve axons\n\nwere severed but the epineurium remained intact, were performed as previously described. <sup>12</sup> Anesthesia was induced\n\nwith 3% to 5% isoflurane and then maintained at 1.5% to 2% as\n\nrequired. Analgesia, consisting of carprofen (10 mg/kg) and\n\nbuprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg)\n\nand local bupivacaine (2 mg/kg) (Oxford) was provided perioper-\n\natively. The left hindpaw was secured with tape in hip abduction,\n\nand the operative field (lateral surface of the thigh) was shaved.\n\nOphthalmic ointment was applied to the eyes, and the shaved\n\narea was swabbed with chlorhexidine solution. A longitudinal\n\nincision was made in the skin at the lateral mid-thigh. Using blunt\n\ndissection, an opening was made through the biceps femoris,\n\nexposing the sciatic nerve and the 3 peripheral branches (sural,\n\ntibial, and common peroneal nerves). For SNI trans , the common\n\nperoneal and tibial nerves were ligated using a 6-0 Vicryl suture\n\n(Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture\n\nwas removed using spring scissors. For SNI crush , the exposed\n\ntibial and common peroneal nerves were clamped using a pair of\n\nfine hemostats (Fine Science Tools, Heidelberg, Germany) closed\n\nto their second clip, leaving the nerve branches intact but\n\ntranslucent. The muscle was closed with one 6-0 Vicryl suture\n\n(Ethicon), and the skin incision was closed with one 10 mm\n\nwound clip (Alzet, Cupertino, CA). Animals were monitored daily\n\nfor self-mutilation, and no animals required sacrifice due to tissue\n\ndamage.\n\nTable 1\n\nTransgenic lines used in the study.\n\nUsed name Full name Putative population Ref Source Tamoxifen regime\n\nAtf3 <sup>CreERT2</sup> Atf3 <sup>tm1.1(cre/ERT2)Msra</sup> Axotomised afferents 13 Gift: Dr Franziska Denk 50 mg/kg on days 0, 3, and 7 after surgery\n\nAvil <sup>FlpO</sup> Avil <sup>tm1(flpo)Ddg</sup> Sensory neurons 1 Gift: Prof David Ginty N.A.\n\nMrgD <sup>CreERT2</sup> Mrgprd <sup>tm1.1(cre/ERT2)Wql</sup> Major class of nonpeptidergic\n\nneurons\n\n39 The Jackson Laboratory (RRID:\n\nIMSR_JAX:031286)\n\nGeneral: 1x 50 mg/kg in adulthood, ( . 1 week\n\nbefore experiment)\n\n3D volumetric analysis: 5x i.p. (0.5 mg/animal/\n\nday), beginning between P10 and P17\n\nMrgD <sup>ChR2-</sup>\n\nYFP\n\nMrgprd <sup>tm4.1(COP4)Mjz</sup> Major class of nonpeptidergic\n\nneurons\n\n59 Mutant Mouse Resource & Research\n\nCenters (RRID:MMRRC_036112-UNC)\n\nN.A.\n\nCalca <sup>CreERT2</sup> Calca <sup>tm1.1(cre/ERT2)Ptch</sup> Peptidergic neurons 51 Gift: Prof Pao-Tien Chuang 1x 75 mg/kg in adulthood ( . 1 week before\n\nexperiment)\n\nTrpm8 <sup>FlpO</sup> Cold afferents 4 Gift: Dr Mark Hoon N.A.\n\nThy1-CFP B6.Cg-Tg(Thy1-CFP)\n\n23Jrs/J\n\nSample of myelinated afferents 16 The Jackson Laboratory (RRID:\n\nIMSR_JAX:003710)\n\nN.A.\n\nTh <sup>CreERT2</sup> Th <sup>tm1.1(cre/ERT2)Ddg</sup> /J C low threshold\n\nmechanoreceptors\n\n1 Gift: Prof David Ginty; The Jackson\n\nLaboratory (RRID:IMSR_JAX:025614)\n\n1x 50 mg/kg in adulthood ( . 2 weeks before\n\nexperiment)\n\nRC::FLTG B6.Cg- Gt(ROSA)\n\n26Sor <sup>tm1.3(CAG-tdTomato,-</sup>\n\nEGFP)Pjen /J\n\nFlp-mediated tdTomato;\n\nCre 1 Flp-mediated GFP\n\nexpression\n\n40 The Jackson Laboratory (RRID:\n\nIMSR_JAX:026932)\n\nN.A.\n\nAi14 B6.Cg- Gt(ROSA)\n\n26Sor <sup>tm14(CAG-tdTomato)Hze</sup> /\n\nJ\n\nCre-mediated tdTomato\n\nexpression\n\n33 The Jackson Laboratory (RRID:\n\nIMSR_JAX:007914)\n\nN.A.\n\nAi32 B6.Cg- Gt(ROSA)\n\n26Sor <sup>tm32(CAG-</sup>\n\nCOP4*H134R/EYFP)Hze\n\nCre-mediated ChR2-eYFP\n\nexpression\n\n32 The Jackson Laboratory (RRID:\n\nIMSR_JAX:024109)\n\nN.A.\n\nCFP, cyan fluorescent protein; GFP, Green fluorescent protein; YFP, yellow fluorescent protein.",
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- "text": "SNI-related gene expression signatures were less evident in\n\nMrgprd-expressing and C-LTMR neurons at later timepoints, compared with other populations in injured DRG. <sup>3</sup> This could be\n\nexplained by a loss of axotomized neurons of these classes and\n\ntherefore sampling of only uninjured neurons at this time- point. <sup>24,43,64</sup> In terms of the transcriptional response to injury,\n\nnonpeptidergic nociceptors show enrichment of individual proapoptotic factors early after injury, <sup>23,68</sup> and we extend these\n\nresults in this study, by describing a subpopulation-specific\n\nenrichment of GO terms associated with apoptosis that is evident\n\nas early as 3 days after injury. Such data and single-cell\n\ntranscriptomic profiling of all DRG neurons following injury <sup>37,44</sup>\n\nmay offer the opportunity to elucidate the cell death pathways\n\nengaged and upstream effectors that enrich this process to\n\nnonpeptidergic nociceptive neurons.\n\n4.3. Implications for pain pathogenesis\n\nNeuronal loss has been proposed as a key contributor to poor functional recovery following nerve injury, <sup>54</sup> and biased survival of\n\ndifferent afferent types might be expected to contribute to\n\nmodality-specific sensory deficits. Beyond loss of function, does\n\nDRG neuron loss contribute to chronic pain, in either an adaptive or\n\nmaladaptive manner? Intrathecal delivery of GDNF is neuro-\n\nprotective and reverses the reduction in the number of IB4-binding\n\nDRG neurons and central terminals seen following transection. <sup>5</sup>\n\nTreatment is concurrently analgesic and abrogates pain-related behaviors. <sup>7,60</sup> However, the pleiotropic nature of GDNF makes it\n\nimpossible to directly attribute the analgesic effects to the reversal\n\nof neuron loss. Indeed, it is possible that GDNF exerts its effect by actions on intact nonpeptidergic nociceptive afferents, <sup>52</sup> activation\n\nof which is known to drive aversive behaviors in the neuropathic state. <sup>62</sup> These data leave the contribution of nonpeptidergic\n\nnociceptor loss to behavior in the GDNF treatment paradigm\n\nambiguous. Other pharmacological approaches have been found\n\neffective at reversing a neuronal loss in rodent models, but the\n\nimpact on pain behavior was not studied. <sup>21,22</sup>\n\nRodents develop marked mechanical and thermal hypersen-\n\nsitivity rapidly following nerve injury and before timepoints at which neuron loss is observed. <sup>10</sup> This lack of a temporal\n\ncorrelation may suggest a limited contribution to evoked hyper-\n\nsensitivities. The temporal profile of ongoing tonic pain (eg, pain\n\naversiveness as measured by condition place preference\n\nassays <sup>26</sup> ) is less defined and so is its correlation to the timing of\n\nneuron loss.\n\nThere are many anatomical sites within the somatosensory\n\nnervous system where differential loss of sensory neuron\n\npopulations could impact neurobiology. For example, loss of\n\ncutaneous afferents may afford more opportunity for plasticity in\n\nreinnervation patterns, such as collateral sprouting of uninjured or\n\nsurviving afferents, and the types of nerve endings made by different molecular subpopulations. <sup>17,27</sup> It also seems likely that the\n\ndeath of many neurons within a DRG could contribute to the\n\nexpansion and activation of immune cell types, which are known to play a major role in neuropathic pain. <sup>30,69</sup> Finally, under normal\n\nconditions, peripheral sensory input is integrated into the dorsal\n\nhorn of the spinal cord by complex interneuron circuitry. Many\n\nspinal circuits are engaged by convergent input from different afferent types. <sup>9,41,70</sup> Therefore, selective loss of input from discrete\n\nafferent types could undoubtedly impact the normal processing of remaining afferent signals. <sup>34</sup> Experimentally abrogating neuronal\n\nloss may be a fruitful approach to assess the contribution to\n\nnervous system plasticity (adaptive or maladaptive) following injury.\n\nIn this regard, our in vitro readout would be a useful experimental\n\nplatform to help delineate the precise cell death pathways and\n\nsignaling cascades engaged (which could then be experimentally\n\nmanipulated). Such studies should consider that plasticity may evolve over time. The loss of IB4 <sup>1</sup> central terminals is transient\n\nfollowing crush and has even been observed to reverse at longer\n\ntimepoints following SNI trans . <sup>36</sup> These observations, in conjunction\n\nwith ours of loss of neurons, raise the intriguing question of the\n\nsource of such central reinnervation.\n\n4.4. Study limitations\n\nOur efforts focused on traumatic nerve injury paradigms owing to\n\nprevious contrasting results using these robust and reproducible\n\nexperimental models. We did not extend our studies to systemic\n\nneuropathy models, such as chemotherapy or diabetic neurop-\n\nathy. A recent postmortem analysis reported a neuronal loss in\n\nthe DRG from patients with painful diabetic peripheral neurop- athy. <sup>19</sup> Transcriptional responses vary substantially across different nerve insults, <sup>44</sup> so it would be of interest to test whether\n\nneuronal loss and the subpopulation vulnerability reported in this\n\nstudy are common features across different types of insults.\n\nUsing multiple approaches, we assess the na¨ıve mouse L4\n\nDRG to contain approximately 8000 neurons, consistent with a previous estimate, <sup>67</sup> and observed a frank loss of small-\n\ndiameter neurons following injury. However, the extent of loss\n\nobserved using our semiautomated approach was less than that observed using manual techniques. <sup>67</sup> Two major limitations in\n\nthis study may explain this discrepancy: First, owing to technical\n\nissues, the cleared DRG dataset is unpaired ipsilateral- contra-\n\nlateral which adds larger variability. Second, the analysis method\n\nis prone to undercounting deep nuclei. The signal-to-noise is\n\nbetter for superficial nuclei and smaller tissue volumes. Given the\n\nreduction in DRG volume after SNI trans , nuclei in larger\n\ncontralateral DRG may be undercounted.\n\nWhile we made efforts to profile the loss of several molecularly\n\ndiscrete sensory neuron populations, we acknowledge that not all\n\nsubtypes were profiled. Furthermore, recent single-cell RNA\n\nsequencing has given us a more granular appreciation of the heterogeneity of sensory neurons. <sup>42</sup> Future studies could\n\nleverage our experimental approach and new transgenic lines\n\nto characterize the loss of neurons in more detail. Such\n\nexperiments may be pertinent before embarking on molecular\n\nor functional profiling of populations post- nerve injury.\n\n4.5. Conclusions\n\nIn sum, we have provided data from multiple complementary\n\nexperimental approaches to support the hypothesis that DRG\n\nneurons are lost following nerve injury in mice. We describe\n\na substantial loss, which is biased towards specific subpopula-\n\ntions and particularly present in small-diameter nonpeptidergic\n\nnociceptive neurons.\n\nConflict of interest statement\n\nD.L.B. has acted as a consultant in the last 2 years for AditumBio,\n\nBiogen, Biointervene, Combigene, LatigoBio, GSK, Ionis, Lexicon\n\ntherapeutics, Neuvati, Olipass, Orion, Replay, SC Health Manag-\n\ners, Theranexus, Third RockVentures, and Vida Ventures on behalf\n\nof Oxford University Innovation. D.L.B. has received research\n\nfunding from Lilly and Astra Zeneca, and G.A.W. has received\n\nresearch funding from Ono Pharmaceutical. D.L.B. has received",
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- "text": "protein) neurons 28 days after sham surgery or SNI trans ( Figs. 3A\n\nand B ). SNI trans , but not sham, resulted in a significant decrease (54.0 6 6.6%) in the total number of MrgD-YFP <sup>1</sup> neurons in L4\n\nDRG ( Fig. 3C ). Yellow fluorescent protein expression in MrgD <sup>ChR2-YFP</sup> mice is\n\ndriven by the endogenous Mrgprd promotor, which has been\n\nreported to be upregulated or downregulated following axonal damage. <sup>44,58</sup> Such changes in promoter activity could affect the\n\nproportion of nonpeptidergic nociceptors identified by YFP\n\nexpression. Therefore, to verify these findings, we used\n\nMrgD <sup>CreERT2</sup> ;Ai32 mice and tamoxifen administration before\n\ninjury, to permanently label Mrgprd- expressing afferents with\n\nChR2-YFP ( Figs. 3D- F ). We then tested whether the proportion of cutaneous tibial afferents that were YFP <sup>1</sup> was altered following\n\nnerve injury. Following hindpaw FB injection, ; 15% of contralat-\n\neral, FB-labelled DRG neurons expressed YFP. This was reduced\n\nto 6.0 6 1.2% 28 days after SNI crush injury and to only 1.7 6 0.9%\n\n28 days after SNI trans ( Fig. 3G ). Uptake by uninjured YFP <sup>1</sup>\n\nneurons was equivalent 7 and 35 days after FB injection,\n\ndemonstrating that this reduction was not because 7 days were insufficient for YFP <sup>1</sup> [neurons to fully uptake FB (Fig. S3C, http://](http://links.lww.com/PAIN/C84)\n\n[links.lww.com/PAIN/C84). No significant difference in the per-](http://links.lww.com/PAIN/C84) centage of FB-labelled YFP <sup>1</sup> DRG neurons between ipsilateral\n\nand contralateral DRG was observed at 7 days following SNI trans\n\n[(Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrat-](http://links.lww.com/PAIN/C84)\n\ning that loss occurred after this timepoint. Analysis of the cross- sectional soma area of FB-labelled, YFP <sup>1</sup> neurons in uninjured DRG revealed an area of 361 6 138 m m <sup>2</sup> (mean 6 SD) (Fig. S4C,\n\n[http://links.lww.com/PAIN/C84), which is a distribution profile](http://links.lww.com/PAIN/C84)\n\nmatching those neurons presumed lost. Collectively, these data\n\nshow that peripheral nerve injury results in a substantial loss of\n\nnonpeptidergic, Mrgprd -expressing neurons, with SNI trans (ie, an\n\nunrepaired axonal transection) resulting in an almost complete\n\nloss of this population.\n\nFigure 1. SNI trans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) Approach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the Avil <sup>FlpO</sup> ;Atf3 <sup>CreERT2</sup> ;RC::\n\nFLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNI trans .\n\nScale bars 5 100 m m. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG\n\n1, 2, 4, and 8 weeks after SNI trans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F 4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA;\n\nTimepoint 3 Color interaction F 4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): † P , 0.05 vs contra, ‡ P , 0.05 vs 1-week. (E)\n\nVolume of DRG-containing cells (ie, excluding white matter tracts) following SNI trans . One-way ANOVA with Tukey posttests; F 4,10 5 21.25, P , 0.001, n 5 3. (F)\n\nNeuronal density within the DRG following SNI trans . One-way ANOVA; F 4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by\n\ncross-sectional area, 1 and 8 weeks post-SNI trans . Kolmogorov- Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P ,\n\n0.001; n 5 310 to 427 neurons from 3 mice. * P , 0.05,**\nP , 0.01, *** P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green\n\nfluorescent protein.",
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- "text": "DRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3- m m intervals through the entirety of 30- m m-thick tissue\n\nsections. Scale bars 5 100 m m. (C) Quantification of total number of MrgD-YFP 1 cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG.\n\nTwo-way RM ANOVA with <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F 1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach\n\nused to generate data presented in (E- G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralateral to\n\ninjury. White boxes represent regions enlarged in (F). Scale bars 5 100 m m (E) or 20 m m (F). (G) The proportion of FB-labelled DRG neurons decreased after spared\n\nnerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests; side 3 injury interaction:\n\nF 1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: * P , 0.05,**\nP , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB,\n\nFastBlue; RM, repeated measures.",
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- "source_file": "legal5_eubiodiversity_cc4.pdf",
- "query": "What are the EU's key nature conservation commitments for 2030?",
- "target_page": 6,
- "target_passage": "1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea area and integrate ecological corridors, as part of a true Trans-European Nature Network. 2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU primary and old-growth forests. 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.",
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- "text": "States and the European Environment Agency, will put forward in 2020 criteria and guidance for identifying and designating additional areas, including a definition of strict protection, as well as for appropriate management planning. In doing so, it will indicate how other effective area-based conservation measures and greening of cities could contribute to the targets.\n\nThe targets relate to the EU as a whole and could be broken down according to the EU bio-geographical regions and sea basins or at a more local level. **Every Member State will have to do its fair share of the effort** based on objective ecological criteria, recognising that each country has a different quantity and quality of biodiversity. Particular focus will be placed on protecting and restoring the tropical and sub-tropical\n\nmarine and terrestrial ecosystems in the EU’s outermost regions given their exceptionally high biodiversity value.\n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature Network, it will be important to set up **ecological corridors** to prevent genetic isolation, allow for species migration, and maintain and enhance healthy ecosystems. In this context, investments in green and blue infrastructure <sup>27</sup> and cooperation across borders among Member States should be promoted and supported, including through the European Territorial Cooperation.\n\nThe Commission will aim to agree the criteria and guidance for additional designations with Member States by the end of 2021. Member States will then have until the end of 2023 to demonstrate significant progress in legally designating new protected areas and integrating ecological corridors. On this basis, the Commission will assess by 2024 whether the EU is on track to meet its 2030 targets or whether stronger actions, including EU legislation, are needed.\n\nFinally, the **Overseas Countries and Territories** also host important biodiversity hotspots, not governed by EU environmental rules. The Commission encourages relevant Member States to consider promoting equal or equivalent rules in these countries and territories.\n\n**Nature protection: key commitments by 2030**\n\n1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea area and integrate ecological corridors, as part of a true Trans-European Nature Network. 2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU primary and old-growth forests. 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.\n\n[Guidance on a strategic framework for further supporting the deployment of EU-level green and blue ](https://ec.europa.eu/environment/nature/ecosystems/pdf/SWD_2019_193_F1_STAFF_WORKING_PAPER_EN_V4_P1_1024680.PDF) [infrastructure](https://ec.europa.eu/environment/nature/ecosystems/pdf/SWD_2019_193_F1_STAFF_WORKING_PAPER_EN_V4_P1_1024680.PDF) (SWD(2019) 193).",
- "page_start": 5,
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- "text": "### **2.2. An EU Nature Restoration Plan: restoring ecosystems across land and sea**\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To reverse biodiversity loss, the world needs to be more ambitious on nature restoration. With a **new EU Nature Restoration Plan** , Europe will lead the way.\n\nThe plan will help improve the health of existing and new protected areas, and bring diverse and resilient nature back to all landscapes and ecosystems. This means reducing pressures on habitats and species, and ensuring all use of ecosystems is sustainable. It also means supporting the recovery of nature, limiting soil sealing and urban sprawl, and tackling pollution and invasive alien species. The plan will create jobs, reconcile economic activities with nature growth and help ensure the long-term productivity and value of our natural capital.\n\n#### *2.2.1.* *Strengthening the EU legal framework for nature restoration*\n\nNature restoration is already partially required from the Member States in existing EU legislation <sup>28</sup> . However, **significant implementation and regulatory gaps hinder progress** . For instance, there is no requirement for Member States to have biodiversity restoration plans. There are not always clear or binding targets and timelines and no definition or criteria on restoration or on the sustainable use of ecosystems. There is also no requirement to comprehensively map, monitor or assess ecosystem services, health or restoration efforts. These issues are exacerbated by the gaps in implementation that prevent the existing legislation from achieving its objectives <sup>29</sup> . Stronger implementation support and enforcement is required. To ensure that nature restoration across land and sea picks up, increases the EU’s resilience, and contributes to climate change mitigation and adaptation as a key nature-based solution, this strategy puts forward two strands of actions:\n\n- Firstly, and subject to an impact assessment, the Commission will put forward a proposal for legally binding **EU nature restoration targets** in 2021 to restore degraded ecosystems, in particular those with the most potential to capture and store carbon and to prevent and reduce the impact of natural disasters. This will identify the conditions in which the targets must be met, as well as the most effective measures to reach them. The impact assessment will also look at the possibility of an EU-wide methodology to map, assess and achieve good condition of ecosystems so they can deliver benefits such as climate regulation, water regulation, soil health, pollination and disaster prevention and protection.\n\n- In that context, the Commission will request and support Member States to raise the level of implementation of existing legislation within clear deadlines. It will in particular request Member States to ensure **no deterioration in conservation trends and status** of all protected habitats and species by 2030 <sup>30</sup> . In addition, Member States will have to ensure that at least 30% of species and habitats not\n\n28 Notably the EU [Birds Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32009L0147) (2009/147/EC), [Habitats Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:31992L0043) (92/43/EEC), [Water Framework ](https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32000L0060) [Directive](https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32000L0060) (2000/60/EC), [Floods Directive](https://eur-lex.europa.eu/legal-content/EN/ALL/?uri=CELEX%3A32007L0060) (2007/60/EC) and [Marine Strategy Framework Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32008L0056) (2008/56/EC). See [Fitness Check of the EU Nature Legislation](https://ec.europa.eu/environment/nature/legislation/fitness_check/docs/nature_fitness_check.pdf) (SWD(2016) 472) and [Fitness Check of the EU Water ](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) [Legislation](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) (SWD(2019) 439). See also below, Section 3.2. Habitats and species listed under the Birds and Habitats Directives.",
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- "text": "build on the headline ambition to ensure that by 2050 **all of the world’s ecosystems are restored, resilient, and adequately protected.** The world should commit to the net-gain principle to give nature back more than it takes. As part of this, the world should commit to no human-induced extinction of species, at minimum where avoidable.\n\nThis strategy sets out how Europe can help make this happen. As a milestone, it aims to ensure that **Europe's biodiversity will be on the path to recovery by 2030** for the benefit of people, the planet, the climate and our economy, in line with the 2030 Agenda for Sustainable Development and with the objectives of the Paris Agreement on Climate Change. It addresses the five main drivers of biodiversity loss, sets out an enhanced governance framework to fill remaining gaps, ensures the full implementation of EU legislation, and pulls together all existing efforts. This strategy is enterprising and incentivising in spirit and action. It reflects the fact that **protecting and restoring nature will need more than regulation alone** . It will require action by citizens, businesses, social partners and the research and knowledge community, as well as strong partnerships between local, regional, national and European level. This strategy is in line with the ambitions and commitment set out in President von der Leyen’s Political Guidelines and in the European Green Deal.\n\nAdopted in the heart of the COVID-19 pandemic, this strategy will also be a central\n\nelement of the EU’s recovery plan. It will be crucial to prevent and build resilience to future zoonosis outbreaks and to provide immediate business and investment opportunities for restoring the EU’s economy.\n\nAll new initiatives and proposals will be underpinned by the Commission’s better regulation tools. Based on public consultations and on the identification of the environmental, social and economic impacts, impact assessments will contribute to ensuring that all initiatives achieve their objectives in the most effective and least burdensome way and live up to a green oath to “do no harm”.\n\n## **2. P ROTECTING AND RESTORING NATURE IN THE E UROPEAN U NION**\n\nThe EU has legal frameworks, strategies and action plans to protect nature and restore habitats and species. But protection has been incomplete, restoration has been small- scale, and the implementation and enforcement of legislation has been insufficient <sup>17</sup> .\n\nTo put biodiversity on the path to recovery by 2030, we need to step up the protection and restoration of nature. This should be done by improving and **widening our network of protected areas** and by developing an ambitious **EU Nature Restoration Plan** .\n\n### **2.1. A coherent network of protected areas**\n\nBiodiversity fares better in protected areas. However, the current network of legally protected areas, including those under strict protection, is not sufficiently large to safeguard biodiversity. Evidence shows that the targets defined under the Convention on Biological Diversity are insufficient to adequately protect and restore nature <sup>18</sup> . Global\n\n[Mid-term review of the EU Biodiversity Strategy to 2020](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:52015DC0478) (COM(2015) 478 and SWD(2015) 187); [Fitness Check of the EU Nature Legislation (Birds and Habitats Directives)](https://ec.europa.eu/environment/nature/legislation/fitness_check/docs/nature_fitness_check.pdf) (SWD(2016) 472); [Fitness ](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) [Check of the EU Water Legislation](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) (SWD(2019) 439). The global [Aichi biodiversity targets](https://www.cbd.int/sp/targets/) are that protected areas should cover 17% on land and 10% at sea, while scientific studies’ figures range from 30% to 70%. See e.g. [IPBES 2019](https://ipbes.net/global-assessment-report-biodiversity-ecosystem-services) .",
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- "text": "**EN EN**\n\nEUROPEAN COMMISSION\n\nBrussels, 20.5.2020 COM(2020) 380 final\n\n**COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS**\n\n**EU Biodiversity Strategy for 2030**\n\n**Bringing nature back into our lives**",
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- "text": "encouraging cooperation in **education for environmental sustainability** in 2021. This will provide guidance for schools and teachers on how to cooperate and exchange experiences across Member States on biodiversity teaching. The Commission will also provide support materials and facilitate the exchange of good practices in EU networks of teacher-training programmes.\n\n## **4. T HE E UROPEAN U NION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA**\n\nBiodiversity is a priority of the EU’s external action and an integral part of efforts to meet the United Nations Sustainable Development Goals. It will be mainstreamed\n\nthroughout bilateral and multilateral engagements, through the EU’s ‘Green Deal diplomacy’, and forthcoming green alliances <sup>76</sup> . The Commission will work closely with the European Parliament and Member States to ensure a high level of EU ambition and mobilise all efforts for the good of the world’s biodiversity.\n\n### **4.1. Raising the level of ambition and commitment worldwide**\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global efforts under the United Nations Convention on Biological Diversity have largely been insufficient. Nature cannot afford any half measures or lack of ambition.\n\nIn this spirit, the EU is ready to lead all efforts - working with like-minded partners in **a high-ambition coalition on biodiversity** - to agree an ambitious new global framework for post-2020 at the upcoming 15 <sup>th</sup> Conference of the Parties to the Convention on Biological Diversity.\n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring to the table. The EU should also support governments and stakeholders across the globe to significantly step up their ambition and their action.\n\nThe Commission proposes that the EU ensures that the post-2020 global framework includes, at a minimum, the elements outlined below:\n\n- Overarching global goals for biodiversity for 2050, in line with the United Nations 2030 Agenda for Sustainable Development and the vision of ‘living in harmony with nature’. The ambition should be that, **by 2050, all of the world’s ecosystems are restored, resilient, and adequately protected.** The world should commit to the net-gain principle to give nature back more than it takes. The world should commit to no human-induced extinction of species, at minimum where avoidable.\n\n- Ambitious **global 2030 targets in line with EU commitments** in this strategy. These should clearly address the drivers of biodiversity loss and be specific, measurable, actionable, relevant and time-bound.\n\n- A much **stronger implementation, monitoring and review** process. Parties should revise their National Biodiversity Strategies and Action Plans by the end of 2021, or as a minimum, submit national commitments for the most important targets. There should be a **regular review cycle** to look at progress towards the\n\nGreen alliances focus on cooperation with African and other partners to implement the European Green Deal.",
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- "text": "policies. In addition, by integrating policy coherence for sustainable development in all its policies, the EU will reduce the pressure on biodiversity worldwide. In all of its international cooperation, the EU should promote sustainable agricultural and fisheries\n\npractices and actions to protect and restore the world’s forests. Particular attention will also be paid to sustainable water resource management, the restoration of degraded land, and the protection and restoration of biodiverse areas with high ecosystem services and climate mitigation potential. A better protection of natural ecosystems, coupled with efforts to reduce wildlife trade and consumption, will also help prevent and build up resilience to possible future diseases and pandemics. The EU will enhance its support to global efforts to apply the **One Health approach** <sup>83</sup> , which recognises the intrinsic connection between human health, animal health and healthy resilient nature.\n\nThe EU will step up support to partner countries across the world to achieve the new global targets, fight environmental crime, and tackle the drivers of biodiversity loss. In Africa, the EU will launch the **NaturAfrica** initiative to protect wildlife and key ecosystems while offering opportunities in green sectors for local populations. Similar projects will be developed in other regions. The EU will also support the Western Balkans and EU Neighbourhood countries in their efforts to protect biodiversity.\n\nIn all of its work, the EU will strengthen the links between **biodiversity protection and human rights** , gender, health, education, conflict sensitivity, the rights-based approach, land tenure and the role of indigenous peoples and local communities.\n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and civil society around the world. For example, in March 2020, the Commission launched the **Global Biodiversity Coalition** of national parks, aquariums, botanic gardens, zoos, natural history and sciencemuseums to help raise awareness around the world on the need to protect and nurture biodiversity. The Commission will consider launching or joining other High Ambition Coalitions to help develop the post-2020 framework.\n\n## **5. C ONCLUSION**\n\nProtecting and restoring biodiversity is the only way to preserve the quality and continuity of human life on Earth. The commitments proposed in this strategy pave the way for ambitious and necessary changes - changes that will ensure the wellbeing and economic prosperity of present and future generations in a healthy environment. The implementation of these commitments will take into account the diversity of challenges across sectors, regions and Member States, recognise the need to ensure social justice, fairness and inclusiveness in line with the European Pillar of Social Rights, and will require a sense of responsibility and strong joint efforts from the EU, its Member States, stakeholders and citizens.\n\nThe Commission invites the European Parliament and the Council to endorse this strategy ahead of the 15 <sup>th</sup> Conference of the Parties to the Convention on Biological Diversity. To ensure full political ownership of this strategy, the Commission will suggest a standing progress point at the Council and at the European Parliament. It will review the strategy by 2024 to assess progress and whether further action is needed to meet its objectives.\n\n[https://www.who.int/features/qa/one-health/en/](https://www.who.int/features/qa/one-health/en/)",
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- "text": "efforts are needed and the EU itself needs to do more and better for nature and build a truly **coherent Trans-European Nature Network** .\n\nEnlarging protected areas is also an economic imperative. Studies on marine systems estimate that every euro invested in marine protected areas would generate a return of at least €3 <sup>19</sup> . Similarly, the Nature Fitness Check <sup>20</sup> showed that the benefits of Natura 2000 are valued at between €200-300 billion per year. The investment needs of the network are expected to support as many as 500,000 additional jobs <sup>21</sup> .\n\nFor the good of our environment and our economy, and to support the EU’s recovery from the COVID-19 crisis, we need to protect more nature. In this spirit, **at least 30% of the land and 30% of the sea should be protected in the EU** . This is a minimum of an extra 4% for land and 19% for sea areas as compared to today <sup>22</sup> . The target is fully in line with what is being proposed <sup>23</sup> as part of the post-2020 global biodiversity framework (see Section 4).\n\nWithin this, there should be specific focus on areas of very high biodiversity value or potential. These are the most vulnerable to climate change and should be granted special care in the form of strict protection <sup>24</sup> . Today, only 3% of land and less than 1% of marine areas are strictly protected in the EU. We need to do better to protect these areas. In this spirit, at least one third of protected areas - representing **10% of EU land and 10% of EU sea - should be strictly protected** . This is also in line with the proposed global ambition.\n\nAs part of this focus on strict protection, it will be crucial to define, map, monitor and **strictly protect all the EU’s remaining primary and old-growth forests** <sup>25</sup> . It will also be important to advocate for the same globally and ensure that EU actions do not result in deforestation in other regions of the world. Primary and old-growth forests are the richest forest ecosystems that remove carbon from the atmosphere, while storing significant carbon stocks. Significant areas of other carbon-rich ecosystems, such as peatlands, grasslands, wetlands, mangroves and seagrass meadows should also be strictly protected, taking into account projected shifts in vegetation zones.\n\nMember States will be responsible for designating the additional protected and strictly protected areas <sup>26</sup> . Designations should either help to complete the Natura 2000 network or be under national protection schemes. All protected areas will need to have clearly defined conservation objectives and measures. The Commission, working with Member\n\n19 Brander et al. (2015), [The benefits to people of expanding Marine Protected Areas](https://www.sciencedirect.com/science/article/pii/S0308597X19302386) . 20 [Fitness Check of the EU Nature Legislation](https://ec.europa.eu/environment/nature/legislation/fitness_check/docs/nature_fitness_check.pdf) (SWD(2016) 472). 21 Member States’ Prioritised Action Frameworks 2020; Mutafoglu et al. (2017), [Natura 2000 and Jobs: ](https://ieep.eu/publications/natura-2000-and-jobs-scoping-the-evidence) [Scoping Study](https://ieep.eu/publications/natura-2000-and-jobs-scoping-the-evidence) . 22 Latest EU-27 statistics ( [European database of nationally designated protected areas](https://www.eea.europa.eu/data-and-maps/data/nationally-designated-areas-national-cdda-14) ) v. 2019, and\n\n[Natura 2000 dataset ‘end 2018’](https://www.eea.europa.eu/data-and-maps/data/natura-10/natura-2000-spatial-data/natura-2000-spatial-lite-1) . Today, 26% of the EU’s land area is already protected, with 18% as part of Natura 2000 and 8% under national schemes. Of EU seas, 11% are protected, with 8% in Natura 2000 and 3% under additional national protection. To note: offshore wind projects will be possible if in compliance with relevant environmental and nature protection legislation. 23 Zero draft of the post-2020 global biodiversity framework (CBD/WG2020/2/3), available at [https://www.cbd.int/conferences/post2020/wg2020-02/documents.](https://www.cbd.int/conferences/post2020/wg2020-02/documents) Strict protection does not necessarily mean the area is not accessible to humans, but leaves natural processes essentially undisturbed to respect the areas’ ecological requirements. [https://www.cbd.int/forest/definitions.shtml](https://www.cbd.int/forest/definitions.shtml) ; [Natura 2000 and Forests](https://ec.europa.eu/environment/nature/natura2000/management/docs/Final%20Guide%20N2000%20%20Forests%20Part%20I-II-Annexes.pdf) . Additional Natura 2000 designations will be implemented with support from EU funds and enforcement as appropriate.",
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- "text": "#### *3.3.2.* *Investments, pricing and taxation*\n\nTackling biodiversity loss and restoring ecosystems will require significant public and private investments at national and European level. This will mean making the most of all relevant EU programmes and financing instruments. The Commission will strengthen its **biodiversity proofing framework** <sup>69</sup> , *inter alia* by using in an appropriate way the criteria established under the EU taxonomy, to ensure that EU funding supports biodiversity-friendly investments.\n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and green infrastructure, **at least €20 billion a year <sup>70</sup> should be unlocked for spending on nature** . This will require mobilising private and public funding at national and EU level <sup>71</sup> , including through a range of different programmes in the next long-term EU budget. Moreover, as nature restoration will make a major contribution to climate objectives, a significant proportion of the 25% of the EU budget dedicated to climate action will be invested on biodiversity and nature-based solutions.\n\nUnder Invest EU, a dedicated natural-capital and circular-economy initiative will be\n\nestablished to mobilise at least €10 billion over the next 10 years, based on public/private blended finance. Nature and biodiversity is also a priority for the European Green Deal Investment Plan. To help unlock the investment needed, the EU must provide long-term certainty for investors and help embed sustainability in the financial system. The EU **sustainable finance taxonomy** will help guide investment towards a green recovery and the deployment of nature-based solutions. In 2021, the Commission will adopt a delegated act under the Taxonomy Regulation <sup>72</sup> to establish a common classification of economic activities that substantially contribute to protecting and restoring biodiversity and ecosystems. This will be further supported by a **Renewed Sustainable Finance Strategy** later this year which will help ensure that the financial system contributes to mitigating existing and future risks to biodiversity and better reflect how biodiversity loss affects companies’ profitability and long-term prospects <sup>73</sup> .\n\nThe Commission will further promote tax systems and pricing that reflect environmental costs, including biodiversity loss. This should encourage changes in national fiscal systems to shift the tax burden from labour to pollution, under-priced resources, and other environmental externalities. The ‘ **user pays’ and ‘polluter pays’ principles** have to be applied to prevent and correct environmental degradation.\n\nPublic authorities’ purchasing power represents 14% of EU GDP and can serve as a powerful driver of demand for the products and services of companies that invest in or contribute to nature-based solutions. To tap into this potential, when proposing further\n\n69 See [Common framework and guidance documents for biodiversity proofing of the EU budget](https://ec.europa.eu/environment/nature/biodiversity/comm2006/proofing.htm) . 70 The cost estimate is based on the 2018 [Impact Assessment of the LIFE Regulation](https://ec.europa.eu/commission/sites/beta-political/files/budget-may2018-life-swd_en.pdf) (SWD(2018) 292), a [Study on the costs of implementing the Target 2 of the EU Biodiversity Strategy to 2020](https://ieep.eu/uploads/articles/attachments/e597a01d-e34e-4a2e-84ec-68be1222c5fd/Financing_Target_2_Final_Report_without_Annexes_-_FINAL_APPROVED.pdf?v=63664509816) and data submitted by 16 Member States under Article 8(1) of the Habitats Directive. The Commission will update the estimate, notably based on Member States’ Prioritised Action Frameworks under the Habitats Directive. Including the Common Agricultural Policy, Cohesion Policy funds, Horizon Europe, the European Maritime and Fisheries Fund, LIFE and external action funds. See [EU taxonomy for sustainable activities](https://ec.europa.eu/info/publications/sustainable-finance-teg-taxonomy_en) . World Wildlife Fund (2019), [The Nature of Risk - A Framework for Understanding Nature-Related ](https://c402277.ssl.cf1.rackcdn.com/publications/1255/files/original/WWF_Nature_of_Risk.FINAL2.pdf?1568216828) [Risk to Business](https://c402277.ssl.cf1.rackcdn.com/publications/1255/files/original/WWF_Nature_of_Risk.FINAL2.pdf?1568216828) .",
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- "text": "Biodiversity is also crucial for safeguarding **EU and global food security.** Biodiversity loss threatens our food systems <sup>6</sup> , putting our food security and nutrition at risk. Biodiversity also underpins healthy and nutritious diets and improves rural livelihoods and agricultural productivity <sup>7</sup> . For instance, more than 75% of global food crop types rely on animal pollination <sup>8</sup> .\n\nDespite this urgent moral, economic and environmental imperative, **nature is in a state of crisis** . The five main direct drivers of biodiversity loss <sup>9</sup>\n\n- changes in land and sea use, overexploitation, climate change, pollution, and invasive alien species - are making nature disappear quickly. We see the changes in our everyday lives: concrete blocks rising up on green spaces, wilderness disappearing in front of our eyes, and more species being put at risk of extinction than at any point in human history. In the last four decades, global wildlife populations fell by 60% as a result of human activities <sup>10</sup> . And almost three quarters of the Earth’s surface have been altered <sup>11</sup> , squeezing nature into an ever- smaller corner of the planet.\n\nThe biodiversity crisis and the climate crisis are intrinsically linked. Climate change accelerates the destruction of the natural world through droughts, flooding and wildfires, while the loss and unsustainable use of nature are in turn key drivers of climate change. But just as the crises are linked, so are the solutions. **Nature is a vital ally in the fight against climate change** <sup>12</sup> . Nature regulates the climate, and nature-based solutions <sup>13</sup> , such as protecting and restoring wetlands, peatlands and coastal ecosystems, or sustainably managing marine areas, forests, grasslands and agricultural soils, will be essential for emission reduction and climate adaptation. Planting trees and deploying green infrastructure will help us to cool urban areas and mitigate the impact of natural disasters.\n\nBiodiversity loss and ecosystem collapse are one of the biggest threats facing humanity in the next decade <sup>14</sup> . They also threaten the foundations of our economy and the **costs of inaction** are high and are anticipated to increase <sup>15</sup> . The world lost an estimated €3.5-18.5 trillion per year in ecosystem services from 1997 to 2011 owing to land-cover change, and an estimated €5.5-10.5 trillion per year from land degradation. Specifically, biodiversity loss results in reduced crop yields and fish catches, increased economic losses from flooding and other disasters, and the loss of potential new sources of medicine <sup>16</sup> .\n\nThe EU is ready to show ambition to reverse biodiversity loss, lead the world by example and by action, and help agree and adopt a transformative post-2020 global framework at the 15 <sup>th</sup> Conference of the Parties to the Convention on Biological Diversity. This should\n\n6 World Economic Forum (2020), [The Global Risks Report 2020](https://www.weforum.org/reports/the-global-risks-report-2020) . 7 Food and Agriculture Organization (2019), [State of the World’s Biodiversity for Food and Agriculture](http://www.fao.org/state-of-biodiversity-for-food-agriculture/en/) . 8 IPBES (2019), [Summary for policymakers](https://ipbes.net/global-assessment) , p. 3, A1. 9 IPBES (2019), [Summary for policymakers](https://ipbes.net/global-assessment) , pp. 17-19, B.10-B.14; European Environment Agency (2019), [The European environment - state and outlook 2020.](https://www.eea.europa.eu/soer-2020) 10 World Wildlife Fund (2018), [Living Planet Report - 2018: Aiming Higher](https://www.wwf.org.uk/sites/default/files/2018-10/wwfintl_livingplanet_full.pdf) . 11 IPBES (2019), [Summary for policymakers](https://ipbes.net/global-assessment) , p. 4, A4. 12 Idem. [https://ec.europa.eu/research/environment/index.cfm?pg=nbs](https://ec.europa.eu/research/environment/index.cfm?pg=nbs) 14 World Economic Forum (2020), [The Global Risks Report 2020](https://www.weforum.org/reports/the-global-risks-report-2020) . Organisation for Economic Co-operation and Development (OECD) (2019), [Biodiversity: Finance and ](https://www.oecd.org/environment/resources/biodiversity/G7-report-Biodiversity-Finance-and-the-Economic-and-Business-Case-for-Action.pdf) [the Economic and Business Case for Action.](https://www.oecd.org/environment/resources/biodiversity/G7-report-Biodiversity-Finance-and-the-Economic-and-Business-Case-for-Action.pdf) Idem.",
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- "text": "green spaces has increased <sup>52</sup> , green spaces often lose out in the competition for land as the share of the population living in urban areas continues to rise.\n\nThis strategy aims to reverse these trends and stop the loss of green urban ecosystems. The promotion of healthy ecosystems, green infrastructure and **nature-based solutions** should be systematically integrated into urban planning, including in public spaces, infrastructure, and the design of buildings and their surroundings.\n\nTo bring nature back to cities and reward community action, the Commission calls on European cities of at least 20,000 inhabitants to develop ambitious **Urban Greening Plans** by the end of 2021. These should include measures to create biodiverse and accessible urban forests, parks and gardens; urban farms; green roofs and walls; tree- lined streets; urban meadows; and urban hedges. They should also help improve connections between green spaces, eliminate the use of pesticides, limit excessive mowing of urban green spaces and other biodiversity harmful practices. Such plans could mobilise policy, regulatory and financial tools.\n\nTo facilitate this work, the Commission will in 2021 set up an **EU Urban Greening Platform** , under a new ‘Green City Accord’ <sup>53</sup> with cities and mayors. This will be done in close coordination with the European Covenant of Mayors. The Urban Greening Plans will have a central role in choosing the European Green Capital 2023 and European Green Leaf 2022.\n\nThe Commission will support Member States and local and regional authorities through technical guidance and help to mobilise funding and capacity building. It will also reflect these objectives in the **European Climate Pact** .\n\n#### *2.2.9.* *Reducing pollution*\n\nPollution is a key driver of biodiversity loss and has a harmful impact on our health and environment. While the EU has a solid legal framework in place to reduce pollution, greater efforts are still required. Biodiversity is suffering from the release of nutrients, chemical pesticides, pharmaceuticals, hazardous chemicals, urban and industrial wastewater, and other waste including litter and plastics. All of these pressures must be reduced.\n\nAs part of the Commission’s Zero Pollution Ambition for a toxic-free environment, a new EU Chemicals Strategy for Sustainability will be put forward along with a **Zero Pollution Action Plan for Air, Water and Soil** .\n\nThe Commission will also promote the goal of zero pollution from nitrogen and phosphorus flows from fertilisers through reducing nutrient losses by at least 50%, while ensuring that there is no deterioration in soil fertility. This will result in the **reduction of use of fertilisers by at least 20%** . This will be achieved by implementing and enforcing the relevant environmental and climate legislation in full, identifying with Member States the nutrient load reductions needed to achieve these goals, applying balanced fertilisation and sustainable nutrient management, and by managing nitrogen and phosphorus better throughout their lifecycle. To this end, the Commission will work with Member States to\n\nThere are 11,000 Natura 2000 sites within, or partly within, cities, representing 15% of the total area of the Natura 2000 network. [The Green City Accord.](http://www.eurocities.eu/eurocities/calendar/events_list/CITIES-Forum-2020-Working-corner-The-EU-Green-City-Accord-Cities-becoming-leaders-for-the-environment-WSPO-BL4E22)",
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- "query": "Was there a biodiversity governance framework in place in the EU before the European Commission's proposal?",
- "target_page": 16,
- "target_passage": "In the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place a new European biodiversity governance framework. ",
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- "text": "9. There is a 50% reduction in the number of Red List species threatened by invasive alien species. 10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction ofthe use of fertilisers by at least 20%. 11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan. 12. No chemical pesticides are used in sensitive areas such as EU urban green areas. 13. The negative impacts on sensitive species and habitats, including on the seabed through fishing and extraction activities, are substantially reduced to achieve good environmental status. 14. The by-catch of species is eliminated or reduced to a level that allows species recovery and conservation.\n\n## **3. E NABLING TRANSFORMATIVE CHANGE**\n\n### **3.1. A new governance framework**\n\nIn the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place **a new European biodiversity governance framework** . This will help map obligations and commitments and set out a roadmap to guide their implementation.\n\nAs part of this new framework, the Commission will put in place a monitoring and review mechanism. This will include a **clear set of agreed indicators** and will enable regular progress assessment and set out corrective action if necessary. This mechanism will feed the Environmental Implementation Review and contribute to the European Semester.\n\nThe new governance framework will ensure co-responsibility and co-ownership by all\n\nrelevant actors in meeting the EU’s biodiversity commitments. It will support administrative capacity building, transparency, stakeholder dialogue, and participatory governance at different levels.\n\nThe Commission will assess the progress and suitability of this approach in 2023, and consider whether a legally binding approach to governance is needed.\n\n### **3.2. Stepping up implementation and enforcement of EU environmental legislation**\n\nAll environmental legislation relies on proper implementation and enforcement. Over the last 30 years, the EU has put in place a solid legislative framework to protect and restore its natural capital. However, recent evaluations show that although legislation is fit for purpose, implementation on the ground is lagging behind <sup>60</sup> . This is having dramatic consequences on biodiversity and comes with a substantial economic cost <sup>61</sup> . **The full implementation and enforcement of EU environmental legislation is therefore at the heart of this strategy** , for which political support and financial and human resources will need to be prioritised.\n\nSee 2015 [State of Nature in the EU report](http://ec.europa.eu/environment/nature/pdf/state_of_nature_en.pdf) (COM (2015)219). [The costs of non-implementation are estimated at EUR 50 billion per year.](http://ec.europa.eu/environment/enveco/economics_policy/pdf/report_sept2011.pdf)",
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- "text": "encouraging cooperation in **education for environmental sustainability** in 2021. This will provide guidance for schools and teachers on how to cooperate and exchange experiences across Member States on biodiversity teaching. The Commission will also provide support materials and facilitate the exchange of good practices in EU networks of teacher-training programmes.\n\n## **4. T HE E UROPEAN U NION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA**\n\nBiodiversity is a priority of the EU’s external action and an integral part of efforts to meet the United Nations Sustainable Development Goals. It will be mainstreamed\n\nthroughout bilateral and multilateral engagements, through the EU’s ‘Green Deal diplomacy’, and forthcoming green alliances <sup>76</sup> . The Commission will work closely with the European Parliament and Member States to ensure a high level of EU ambition and mobilise all efforts for the good of the world’s biodiversity.\n\n### **4.1. Raising the level of ambition and commitment worldwide**\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global efforts under the United Nations Convention on Biological Diversity have largely been insufficient. Nature cannot afford any half measures or lack of ambition.\n\nIn this spirit, the EU is ready to lead all efforts - working with like-minded partners in **a high-ambition coalition on biodiversity** - to agree an ambitious new global framework for post-2020 at the upcoming 15 <sup>th</sup> Conference of the Parties to the Convention on Biological Diversity.\n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring to the table. The EU should also support governments and stakeholders across the globe to significantly step up their ambition and their action.\n\nThe Commission proposes that the EU ensures that the post-2020 global framework includes, at a minimum, the elements outlined below:\n\n- Overarching global goals for biodiversity for 2050, in line with the United Nations 2030 Agenda for Sustainable Development and the vision of ‘living in harmony with nature’. The ambition should be that, **by 2050, all of the world’s ecosystems are restored, resilient, and adequately protected.** The world should commit to the net-gain principle to give nature back more than it takes. The world should commit to no human-induced extinction of species, at minimum where avoidable.\n\n- Ambitious **global 2030 targets in line with EU commitments** in this strategy. These should clearly address the drivers of biodiversity loss and be specific, measurable, actionable, relevant and time-bound.\n\n- A much **stronger implementation, monitoring and review** process. Parties should revise their National Biodiversity Strategies and Action Plans by the end of 2021, or as a minimum, submit national commitments for the most important targets. There should be a **regular review cycle** to look at progress towards the\n\nGreen alliances focus on cooperation with African and other partners to implement the European Green Deal.",
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- "text": "As regards the Birds and Habitats Directives, enforcement will focus on **completing the Natura 2000 network** , the effective management of all sites, species-protection provisions, and species and habitats that show declining trends. The Commission will also ensure that environment-related legislation with an impact on biodiversity <sup>62</sup> is better implemented, enforced and - where necessary - reviewed and revised.\n\nThe Commission will strive to **improve compliance assurance** , working closely with Member States and European networks of environmental agencies, inspectors, auditors, police, prosecutors and judges.\n\nIn addition, the Commission will support civil society’s role as a compliance watchdog and will engage with Member States to improve access to justice in national courts in environmental matters for individuals and NGOs. It will also broaden standing for NGOs by proposing **a revision of the Aarhus Regulation <sup>63</sup>** .\n\n### **3.3. Building on an integrated and whole-of-society approach**\n\n#### *3.3.1.* *Business for biodiversity*\n\nIn the partnership spirit of this strategy, all parts of the economy and society will have to play their role. Industry and business have an impact on nature, but they also produce the important innovations, partnerships and expertise that can help address biodiversity loss.\n\nTo ensure environmental and social interests are fully embedded into business strategies, the Commission will put forward a new initiative in 2021 on **sustainable corporate governance** . This initiative, which may take the form of a legislative proposal, will address human rights and environmental duty of care and due diligence across economic value chains in a proportionate way according to different sizes of entreprises <sup>64</sup> . This will help ensure that shareholder and stakeholder interests are fully aligned with the objectives set out in this strategy. In addition, in 2020, the Commission launched a review of the reporting obligations of businesses under the **Non-Financial Reporting Directive** <sup>65</sup> , with a view to improving the quality and scope of non-financial disclosures, including on environmental aspects such as biodiversity .\n\nThrough its existing platforms <sup>66</sup> , the Commission will help to build a **European Business for Biodiversity** movement, taking inspiration from recent initiatives <sup>67</sup> and making this movement an integral part of the European Climate Pact. Particular attention will be paid to measures to incentivise and eliminate barriers for the take-up of nature- based solutions, as these can lead to significant business and employment opportunities in various sectors <sup>68</sup> and are the key to innovation for economic or societal needs that rely on nature.\n\n62 Such as the Directives on [Environmental Impact Assessment](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32014L0052) (2014/52/EU), on [Strategic Environmental ](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32001L0042) [Assessment](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32001L0042) (2001/42/EC), on [Environmental Liability](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=celex%3A32004L0035) (2004/35/CE) and on [Environmental Crime](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32008L0099) (2008/99/EC). 63 [https://ec.europa.eu/environment/aarhus/](https://ec.europa.eu/environment/aarhus/) 64 [Study on due diligence requirements through the supply chain - Final Report.](https://ec.europa.eu/info/business-economy-euro/doing-business-eu/company-law-and-corporate-governance_en#studies) [Directive 2014/95/EU amending Directive 2013/34/EU as regards disclosure of non-financial and ](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32014L0095) [diversity information by certain large undertakings](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32014L0095) . Such as the [EU Business @ Biodiversity Platform](https://ec.europa.eu/environment/biodiversity/business/index_en.htm) (B@B). See for example [Business for Nature](https://www.businessfornature.org/) or [One Planet Business for Biodiversity](https://op2b.org/) . BenDor et al. (2015), [Estimating the Size and Impact of the Ecological Restoration Economy](https://www.researchgate.net/publication/278792900_Estimating_the_Size_and_Impact_of_the_Ecological_Restoration_Economy) .",
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- "text": "policies. In addition, by integrating policy coherence for sustainable development in all its policies, the EU will reduce the pressure on biodiversity worldwide. In all of its international cooperation, the EU should promote sustainable agricultural and fisheries\n\npractices and actions to protect and restore the world’s forests. Particular attention will also be paid to sustainable water resource management, the restoration of degraded land, and the protection and restoration of biodiverse areas with high ecosystem services and climate mitigation potential. A better protection of natural ecosystems, coupled with efforts to reduce wildlife trade and consumption, will also help prevent and build up resilience to possible future diseases and pandemics. The EU will enhance its support to global efforts to apply the **One Health approach** <sup>83</sup> , which recognises the intrinsic connection between human health, animal health and healthy resilient nature.\n\nThe EU will step up support to partner countries across the world to achieve the new global targets, fight environmental crime, and tackle the drivers of biodiversity loss. In Africa, the EU will launch the **NaturAfrica** initiative to protect wildlife and key ecosystems while offering opportunities in green sectors for local populations. Similar projects will be developed in other regions. The EU will also support the Western Balkans and EU Neighbourhood countries in their efforts to protect biodiversity.\n\nIn all of its work, the EU will strengthen the links between **biodiversity protection and human rights** , gender, health, education, conflict sensitivity, the rights-based approach, land tenure and the role of indigenous peoples and local communities.\n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and civil society around the world. For example, in March 2020, the Commission launched the **Global Biodiversity Coalition** of national parks, aquariums, botanic gardens, zoos, natural history and sciencemuseums to help raise awareness around the world on the need to protect and nurture biodiversity. The Commission will consider launching or joining other High Ambition Coalitions to help develop the post-2020 framework.\n\n## **5. C ONCLUSION**\n\nProtecting and restoring biodiversity is the only way to preserve the quality and continuity of human life on Earth. The commitments proposed in this strategy pave the way for ambitious and necessary changes - changes that will ensure the wellbeing and economic prosperity of present and future generations in a healthy environment. The implementation of these commitments will take into account the diversity of challenges across sectors, regions and Member States, recognise the need to ensure social justice, fairness and inclusiveness in line with the European Pillar of Social Rights, and will require a sense of responsibility and strong joint efforts from the EU, its Member States, stakeholders and citizens.\n\nThe Commission invites the European Parliament and the Council to endorse this strategy ahead of the 15 <sup>th</sup> Conference of the Parties to the Convention on Biological Diversity. To ensure full political ownership of this strategy, the Commission will suggest a standing progress point at the Council and at the European Parliament. It will review the strategy by 2024 to assess progress and whether further action is needed to meet its objectives.\n\n[https://www.who.int/features/qa/one-health/en/](https://www.who.int/features/qa/one-health/en/)",
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- "text": "**EN EN**\n\nEUROPEAN COMMISSION\n\nBrussels, 20.5.2020 COM(2020) 380 final\n\n**COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS**\n\n**EU Biodiversity Strategy for 2030**\n\n**Bringing nature back into our lives**",
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- "text": "principle <sup>79</sup> and taking into account the call of the European Parliament <sup>80</sup> . In parallel, the EU will continue to fund research on the impact of deep-sea mining activities and on environmentally-friendly technologies. The EU should also advocate for more transparency in international bodies such as the International Seabed Authority.\n\n#### *4.2.2.* *Trade policy*\n\n**Trade policy will actively support and be part of the ecological transition** . In this spirit, the Commission will ensure full implementation and enforcement of the biodiversity provisions in all trade agreements, including through the EU Chief Trade Enforcement Officer. The Commission will better assess the impact of trade agreements on biodiversity, with follow-up action to strengthen the biodiversity provisions of existing and new agreements if relevant. The Commission will also present in 2021 a legislative proposal and other measures to avoid or minimise the placing of products associated with deforestation or forest degradation on the EU market <sup>81</sup> , and to promote forest-friendly imports and value chains. The Commission will take a number of steps to **crack down on illegal wildlife trade** . This trade contributes to the depletion or extinction of entire species, is the world’s fourth most lucrative black market and is thought to be one of the causes behind the emergence of zoonotic diseases. It is a human, economic and environmental duty to dismantle it.\n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife Trafficking in 2021 and propose a further **tightening of the rules on EU ivory trade** later this year. It will explore a possible revision of the Environmental Crime Directive, including by looking at expanding its scope and introducing specific provisions for types and levels of criminal sanctions. It will consider strengthening the coordinating and investigative capacities of the European Anti-Fraud Office (OLAF) to work with Member States and non-EU countries to prevent illicit trade and the entry of illicit products into the Single Market.\n\nThe Commission will continue to engage with partner countries to ensure a smooth and fair transition, mobilising in particular Aid for Trade to ensure that partners reap the benefits of biodiversity-friendly trade.\n\n#### *4.2.3.* *International cooperation, neighbourhood policy and resource* *mobilisation*\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater cooperation with partners, increased support and financing and phasing out of subsidies harmful to biodiversity. In the last decade, the EU and its Member States collectively upheld their commitment to **double financial flows to developing countries for biodiversity** <sup>82</sup> . The EU is ready to continue working with its partners and further increase its support post-2020. This will be part of its work on biodiversity conservation, restoration, sustainable use and mainstreaming in all development and partnership\n\n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection and shall be based on the precautionary principle. 80 [European Parliament Resolution on international ocean governance](https://www.europarl.europa.eu/doceo/document/TA-8-2018-0004_EN.html) (2017/2055(INI)). In line with the Commission Communication on [Stepping up EU Action to Protect and Restore the ](https://ec.europa.eu/info/sites/info/files/communication-eu-action-protect-restore-forests_en.pdf) [World’s Forests](https://ec.europa.eu/info/sites/info/files/communication-eu-action-protect-restore-forests_en.pdf) (COM(2019) 352). Including international financing where biodiversity is the principal objective and where it is a significant secondary objective, in line with [CBD COP11 Decision XI/4](https://www.cbd.int/decision/cop/?id=13165) and EU and Member States financial reports submitted to the Convention on Biological Diversity in 2015 and 2018.",
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- "text": "build on the headline ambition to ensure that by 2050 **all of the world’s ecosystems are restored, resilient, and adequately protected.** The world should commit to the net-gain principle to give nature back more than it takes. As part of this, the world should commit to no human-induced extinction of species, at minimum where avoidable.\n\nThis strategy sets out how Europe can help make this happen. As a milestone, it aims to ensure that **Europe's biodiversity will be on the path to recovery by 2030** for the benefit of people, the planet, the climate and our economy, in line with the 2030 Agenda for Sustainable Development and with the objectives of the Paris Agreement on Climate Change. It addresses the five main drivers of biodiversity loss, sets out an enhanced governance framework to fill remaining gaps, ensures the full implementation of EU legislation, and pulls together all existing efforts. This strategy is enterprising and incentivising in spirit and action. It reflects the fact that **protecting and restoring nature will need more than regulation alone** . It will require action by citizens, businesses, social partners and the research and knowledge community, as well as strong partnerships between local, regional, national and European level. This strategy is in line with the ambitions and commitment set out in President von der Leyen’s Political Guidelines and in the European Green Deal.\n\nAdopted in the heart of the COVID-19 pandemic, this strategy will also be a central\n\nelement of the EU’s recovery plan. It will be crucial to prevent and build resilience to future zoonosis outbreaks and to provide immediate business and investment opportunities for restoring the EU’s economy.\n\nAll new initiatives and proposals will be underpinned by the Commission’s better regulation tools. Based on public consultations and on the identification of the environmental, social and economic impacts, impact assessments will contribute to ensuring that all initiatives achieve their objectives in the most effective and least burdensome way and live up to a green oath to “do no harm”.\n\n## **2. P ROTECTING AND RESTORING NATURE IN THE E UROPEAN U NION**\n\nThe EU has legal frameworks, strategies and action plans to protect nature and restore habitats and species. But protection has been incomplete, restoration has been small- scale, and the implementation and enforcement of legislation has been insufficient <sup>17</sup> .\n\nTo put biodiversity on the path to recovery by 2030, we need to step up the protection and restoration of nature. This should be done by improving and **widening our network of protected areas** and by developing an ambitious **EU Nature Restoration Plan** .\n\n### **2.1. A coherent network of protected areas**\n\nBiodiversity fares better in protected areas. However, the current network of legally protected areas, including those under strict protection, is not sufficiently large to safeguard biodiversity. Evidence shows that the targets defined under the Convention on Biological Diversity are insufficient to adequately protect and restore nature <sup>18</sup> . Global\n\n[Mid-term review of the EU Biodiversity Strategy to 2020](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:52015DC0478) (COM(2015) 478 and SWD(2015) 187); [Fitness Check of the EU Nature Legislation (Birds and Habitats Directives)](https://ec.europa.eu/environment/nature/legislation/fitness_check/docs/nature_fitness_check.pdf) (SWD(2016) 472); [Fitness ](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) [Check of the EU Water Legislation](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) (SWD(2019) 439). The global [Aichi biodiversity targets](https://www.cbd.int/sp/targets/) are that protected areas should cover 17% on land and 10% at sea, while scientific studies’ figures range from 30% to 70%. See e.g. [IPBES 2019](https://ipbes.net/global-assessment-report-biodiversity-ecosystem-services) .",
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- "text": "#### *3.3.2.* *Investments, pricing and taxation*\n\nTackling biodiversity loss and restoring ecosystems will require significant public and private investments at national and European level. This will mean making the most of all relevant EU programmes and financing instruments. The Commission will strengthen its **biodiversity proofing framework** <sup>69</sup> , *inter alia* by using in an appropriate way the criteria established under the EU taxonomy, to ensure that EU funding supports biodiversity-friendly investments.\n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and green infrastructure, **at least €20 billion a year <sup>70</sup> should be unlocked for spending on nature** . This will require mobilising private and public funding at national and EU level <sup>71</sup> , including through a range of different programmes in the next long-term EU budget. Moreover, as nature restoration will make a major contribution to climate objectives, a significant proportion of the 25% of the EU budget dedicated to climate action will be invested on biodiversity and nature-based solutions.\n\nUnder Invest EU, a dedicated natural-capital and circular-economy initiative will be\n\nestablished to mobilise at least €10 billion over the next 10 years, based on public/private blended finance. Nature and biodiversity is also a priority for the European Green Deal Investment Plan. To help unlock the investment needed, the EU must provide long-term certainty for investors and help embed sustainability in the financial system. The EU **sustainable finance taxonomy** will help guide investment towards a green recovery and the deployment of nature-based solutions. In 2021, the Commission will adopt a delegated act under the Taxonomy Regulation <sup>72</sup> to establish a common classification of economic activities that substantially contribute to protecting and restoring biodiversity and ecosystems. This will be further supported by a **Renewed Sustainable Finance Strategy** later this year which will help ensure that the financial system contributes to mitigating existing and future risks to biodiversity and better reflect how biodiversity loss affects companies’ profitability and long-term prospects <sup>73</sup> .\n\nThe Commission will further promote tax systems and pricing that reflect environmental costs, including biodiversity loss. This should encourage changes in national fiscal systems to shift the tax burden from labour to pollution, under-priced resources, and other environmental externalities. The ‘ **user pays’ and ‘polluter pays’ principles** have to be applied to prevent and correct environmental degradation.\n\nPublic authorities’ purchasing power represents 14% of EU GDP and can serve as a powerful driver of demand for the products and services of companies that invest in or contribute to nature-based solutions. To tap into this potential, when proposing further\n\n69 See [Common framework and guidance documents for biodiversity proofing of the EU budget](https://ec.europa.eu/environment/nature/biodiversity/comm2006/proofing.htm) . 70 The cost estimate is based on the 2018 [Impact Assessment of the LIFE Regulation](https://ec.europa.eu/commission/sites/beta-political/files/budget-may2018-life-swd_en.pdf) (SWD(2018) 292), a [Study on the costs of implementing the Target 2 of the EU Biodiversity Strategy to 2020](https://ieep.eu/uploads/articles/attachments/e597a01d-e34e-4a2e-84ec-68be1222c5fd/Financing_Target_2_Final_Report_without_Annexes_-_FINAL_APPROVED.pdf?v=63664509816) and data submitted by 16 Member States under Article 8(1) of the Habitats Directive. The Commission will update the estimate, notably based on Member States’ Prioritised Action Frameworks under the Habitats Directive. Including the Common Agricultural Policy, Cohesion Policy funds, Horizon Europe, the European Maritime and Fisheries Fund, LIFE and external action funds. See [EU taxonomy for sustainable activities](https://ec.europa.eu/info/publications/sustainable-finance-teg-taxonomy_en) . World Wildlife Fund (2019), [The Nature of Risk - A Framework for Understanding Nature-Related ](https://c402277.ssl.cf1.rackcdn.com/publications/1255/files/original/WWF_Nature_of_Risk.FINAL2.pdf?1568216828) [Risk to Business](https://c402277.ssl.cf1.rackcdn.com/publications/1255/files/original/WWF_Nature_of_Risk.FINAL2.pdf?1568216828) .",
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- "text": "### **2.2. An EU Nature Restoration Plan: restoring ecosystems across land and sea**\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To reverse biodiversity loss, the world needs to be more ambitious on nature restoration. With a **new EU Nature Restoration Plan** , Europe will lead the way.\n\nThe plan will help improve the health of existing and new protected areas, and bring diverse and resilient nature back to all landscapes and ecosystems. This means reducing pressures on habitats and species, and ensuring all use of ecosystems is sustainable. It also means supporting the recovery of nature, limiting soil sealing and urban sprawl, and tackling pollution and invasive alien species. The plan will create jobs, reconcile economic activities with nature growth and help ensure the long-term productivity and value of our natural capital.\n\n#### *2.2.1.* *Strengthening the EU legal framework for nature restoration*\n\nNature restoration is already partially required from the Member States in existing EU legislation <sup>28</sup> . However, **significant implementation and regulatory gaps hinder progress** . For instance, there is no requirement for Member States to have biodiversity restoration plans. There are not always clear or binding targets and timelines and no definition or criteria on restoration or on the sustainable use of ecosystems. There is also no requirement to comprehensively map, monitor or assess ecosystem services, health or restoration efforts. These issues are exacerbated by the gaps in implementation that prevent the existing legislation from achieving its objectives <sup>29</sup> . Stronger implementation support and enforcement is required. To ensure that nature restoration across land and sea picks up, increases the EU’s resilience, and contributes to climate change mitigation and adaptation as a key nature-based solution, this strategy puts forward two strands of actions:\n\n- Firstly, and subject to an impact assessment, the Commission will put forward a proposal for legally binding **EU nature restoration targets** in 2021 to restore degraded ecosystems, in particular those with the most potential to capture and store carbon and to prevent and reduce the impact of natural disasters. This will identify the conditions in which the targets must be met, as well as the most effective measures to reach them. The impact assessment will also look at the possibility of an EU-wide methodology to map, assess and achieve good condition of ecosystems so they can deliver benefits such as climate regulation, water regulation, soil health, pollination and disaster prevention and protection.\n\n- In that context, the Commission will request and support Member States to raise the level of implementation of existing legislation within clear deadlines. It will in particular request Member States to ensure **no deterioration in conservation trends and status** of all protected habitats and species by 2030 <sup>30</sup> . In addition, Member States will have to ensure that at least 30% of species and habitats not\n\n28 Notably the EU [Birds Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32009L0147) (2009/147/EC), [Habitats Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:31992L0043) (92/43/EEC), [Water Framework ](https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32000L0060) [Directive](https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32000L0060) (2000/60/EC), [Floods Directive](https://eur-lex.europa.eu/legal-content/EN/ALL/?uri=CELEX%3A32007L0060) (2007/60/EC) and [Marine Strategy Framework Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32008L0056) (2008/56/EC). See [Fitness Check of the EU Nature Legislation](https://ec.europa.eu/environment/nature/legislation/fitness_check/docs/nature_fitness_check.pdf) (SWD(2016) 472) and [Fitness Check of the EU Water ](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) [Legislation](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) (SWD(2019) 439). See also below, Section 3.2. Habitats and species listed under the Birds and Habitats Directives.",
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- "text": "targets, with the ability to ratchet up action if needed. These reviews should be based on an independent, science-based gap-analysis and foresight process, with common headline indicators for all Parties.\n\n- **An enabling framework** to bring the ambition to life, across areas such as finance, capacity, research, innovation and technology.\n\n- **Fair and equitable sharing of the benefits** from the use of genetic resources linked to biodiversity.\n\n- **A principle of equality** . This includes respect for the rights and the full and effective participation of indigenous peoples and local communities. There should be an inclusive approach with participation of all stakeholders, including women, youth, civil society, local authorities, the private sector, academia and scientific institutions.\n\n### **4.2. Using external action to promote the EU’s ambition**\n\n#### *4.2.1.* *International Ocean Governance*\n\nIn line with the International Ocean Governance agenda <sup>77</sup> , the EU will support the conclusion of an ambitious legally binding agreement on **marine biological diversity of areas beyond national jurisdiction** (BBNJ) by the end of 2020. It must set clear global procedures for identifying, designating and effectively managing ecologically representative marine protected areas in the high seas. It should be ratified and implemented as quickly as possible.\n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help broker agreement on the designation of three vast **Marine Protected Areas in the Southern Ocean** <sup>78</sup> , two of which were co-proposed by the EU in East Antarctica and in the Weddell Sea. If agreed, this would constitute one of the biggest acts of nature protection in history.\n\nWork will continue with partner countries and regional organisations to put in place measures to protect and sustainably use sensitive maritime ecosystems and species, including in areas beyond national jurisdiction, with a focus on marine biodiversity hotspots. The EU should continue supporting Small Island Developing States and other relevant partner countries to participate in meetings of regional and global organisations and bodies, and to implement relevant international commitments and regulations.\n\nThe EU will apply **zero tolerance towards illegal, unreported and unregulated fishing** and will combat overfishing, including through WTO negotiations on a **global agreement to ban harmful fisheries subsidies** .\n\nIn international negotiations, the EU should advocate that marine minerals in the international seabed area cannot be exploited before the **effects of deep-sea mining** on the marine environment, biodiversity and human activities have been sufficiently researched, the risks are understood and the technologies and operational practices are able to demonstrate no serious harm to the environment, in line with the precautionary\n\n[International ocean governance agenda: an agenda for the future](https://ec.europa.eu/maritimeaffairs/sites/maritimeaffairs/files/join-2016-49_en.pdf) (JOIN(2016) 49). In the framework of the [Commission for the Conservation of Antarctic Marine Living Resources](https://www.ccamlr.org/en) .",
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- "query": "What is the EU's tolerance for unauthorised fishing?",
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- "text": "**energy** <sup>41</sup> . It will also review in 2021 the data on biofuels with high indirect land-use change risk and establish a trajectory for their gradual phase out by 2030.\n\nThe overall objective is to ensure that EU regulatory framework on bioenergy is in line with the increased ambition set out in the European Green Deal.\n\n#### *2.2.6.* *Restoring the good environmental status of marine ecosystems*\n\n**Restored and properly protected marine ecosystems** bring substantial health, social and economic benefits to coastal communities and the EU as a whole. The need for stronger action is all the more acute as marine and coastal ecosystem biodiversity loss is severely exacerbated by global warming <sup>42</sup> .\n\nAchieving good environmental status of marine ecosystems, including through strictly protected areas, must involve the restoration of carbon-rich ecosystems as well as important fish spawning and nursery areas. Some of today’s sea uses endanger food security, fishers’ livelihoods, and the fishery and seafood sectors. **Marine resources must be harvested sustainably and there must be zero-tolerance for illegal practices** . In this regard, the full implementation of the EU’s Common Fisheries Policy, the Marine Strategy Framework Directive and the Birds and Habitats Directives is essential.\n\nThe application of an ecosystem-based management approach under EU legislation <sup>43</sup> will reduce the adverse impacts of fishing, extraction and other human activities, especially on sensitive species and seabed habitats. To support this, **national maritime spatial plans** , which Member States have to deliver in 2021, should aim at covering all maritime sectors and activities, as well as area-based conservation-management measures. <sup>44</sup> The Commission will also propose a **new action plan to conserve fisheries resources and protect marine ecosystems** by 2021. Where necessary, measures will be introduced to limit the use of fishing gear most harmful to biodiversity, including on the seabed. It will also look at how to reconcile the use of bottom-contacting fishing gear with biodiversity goals, given it is now the most damaging activity to the seabed. This must be done in a fair and just way for all. The European Maritime and Fisheries Fund should also support the transition to more selective and less damaging fishing techniques.\n\nHealthy fish stocks are key to the long-term prosperity of fishermen and the health of our oceans and biodiversity. This makes it all the more important to maintain or reduce fishing mortality at or under **Maximum Sustainable Yield levels** . This will help achieve a healthy population age and size distribution for fish stocks.\n\nThe **by-catch of species threatened with extinction** must also be eliminated or reduced to a level that allows full recovery. This should also be the case for those in bad conservation status or not in good environmental status. Furthermore, the by-catch of other species <sup>45</sup> must be eliminated or, where this is not possible, minimised so as not to\n\n41 Article 29 of the EU Renewable Energy Directive 2018/2001. 42 See for example Intergovernmental Panel on Climate Change (2019), [Special Report on the Ocean and ](https://www.ipcc.ch/srocc/) [the Cryosphere in a Changing Climate](https://www.ipcc.ch/srocc/) . The Common Fisheries Policy, the [Marine Strategy Framework Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32008L0056) (2008/56/EC) and the [Maritime Spatial Planning Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32014L0089) (2014/89/EU). The Commission will report on the implementation of the Maritime Spatial Planning Directive by March 2022 at the latest, including the application of ecosystem-based management. Protected by international and EU law.",
- "page_start": 11,
- "page_end": 11,
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- "text": "threaten their conservation status. To support this, data collection on by-catch for all sensitive species needs to be stepped up.\n\nIn addition, **fisheries-management measures** must be established in all marine protected areas according to clearly defined conservation objectives and on the basis of the best available scientific advice.\n\n#### *2.2.7.* *Restoring freshwater ecosystems*\n\nThe EU’s legal framework on water is ambitious but implementation is lagging behind and enforcement must be stepped up <sup>46</sup> . Greater efforts are needed to **restore freshwater ecosystems and the natural functions of rivers** in order to achieve the objectives of the Water Framework Directive. This can be done by removing or adjusting barriers that prevent the passage of migrating fish and improving the flow of water and sediments. To help make this a reality, **at least 25,000 km of rivers will be restored into free-flowing rivers by 2030** <sup>47</sup> through the removal of primarily obsolete barriers and the restoration of floodplains and wetlands. Technical guidance and support to the Member States to identify sites and help mobilise funding will be provided by the Commission in 2021, in consultation with all relevant authorities <sup>48</sup> . Member State authorities should review water abstraction and impoundment permits to implement ecological flows in order to achieve good status or potential of all surface waters and good status of all groundwater by 2027 at the latest, as required by the Water Framework Directive <sup>49</sup> . To that effect, the Commission will provide technical support to Member States on their measures by 2023.\n\nOverall, large-scale river and floodplain restoration investments <sup>50</sup> can provide a major economic boost for the restoration sector and for local socioeconomic activities such as tourism and recreation. At the same time, these investments can improve water regulation, flood protection, nursery habitats for fish, and the removal of nutrient pollution.\n\n#### *2.2.8.* *Greening urban and peri-urban areas*\n\n**Green urban spaces** , from parks and gardens to green roofs and urban farms, provide a wide range of benefits for people. They also provide opportunities for businesses and a refuge for nature. They reduce air, water and noise pollution, provide protection from flooding, droughts and heat waves, and maintain a connection between humans and nature <sup>51</sup> .\n\nThe recent lockdowns due to the COVID-19 pandemic have shown us the **value of green urban spaces for our physical and mental wellbeing** . While protection of some urban\n\n46 [Fitness Check of the EU Water Legislation](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) (SWD(2019) 439); [Evaluation of the Urban Waste Water ](https://ec.europa.eu/environment/water/water-urbanwaste/pdf/UWWTD%20Evaluation%20SWD%20448-701%20web.pdf) [Treatment Directive](https://ec.europa.eu/environment/water/water-urbanwaste/pdf/UWWTD%20Evaluation%20SWD%20448-701%20web.pdf) (SWD(2019) 700). 47 The target of 25,000 km is based on the Commission’s assessment of what is achievable in the EU by 2030. 48 The guidelines will take a wide range of issues into account, including hydropower generation, flood management, water supply, agriculture and navigability. 49 These measures should be planned in the 3 rd River Basin Management Plans to be adopted by Member States in 2021, under the Water Framework Directive. [Fitness Check of the EU Water Legislation](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) (SWD(2019) 439). [EnRoute project.](https://oppla.eu/groups/enroute/publications-and-deliverables)",
- "page_start": 12,
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- "text": "targets, with the ability to ratchet up action if needed. These reviews should be based on an independent, science-based gap-analysis and foresight process, with common headline indicators for all Parties.\n\n- **An enabling framework** to bring the ambition to life, across areas such as finance, capacity, research, innovation and technology.\n\n- **Fair and equitable sharing of the benefits** from the use of genetic resources linked to biodiversity.\n\n- **A principle of equality** . This includes respect for the rights and the full and effective participation of indigenous peoples and local communities. There should be an inclusive approach with participation of all stakeholders, including women, youth, civil society, local authorities, the private sector, academia and scientific institutions.\n\n### **4.2. Using external action to promote the EU’s ambition**\n\n#### *4.2.1.* *International Ocean Governance*\n\nIn line with the International Ocean Governance agenda <sup>77</sup> , the EU will support the conclusion of an ambitious legally binding agreement on **marine biological diversity of areas beyond national jurisdiction** (BBNJ) by the end of 2020. It must set clear global procedures for identifying, designating and effectively managing ecologically representative marine protected areas in the high seas. It should be ratified and implemented as quickly as possible.\n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help broker agreement on the designation of three vast **Marine Protected Areas in the Southern Ocean** <sup>78</sup> , two of which were co-proposed by the EU in East Antarctica and in the Weddell Sea. If agreed, this would constitute one of the biggest acts of nature protection in history.\n\nWork will continue with partner countries and regional organisations to put in place measures to protect and sustainably use sensitive maritime ecosystems and species, including in areas beyond national jurisdiction, with a focus on marine biodiversity hotspots. The EU should continue supporting Small Island Developing States and other relevant partner countries to participate in meetings of regional and global organisations and bodies, and to implement relevant international commitments and regulations.\n\nThe EU will apply **zero tolerance towards illegal, unreported and unregulated fishing** and will combat overfishing, including through WTO negotiations on a **global agreement to ban harmful fisheries subsidies** .\n\nIn international negotiations, the EU should advocate that marine minerals in the international seabed area cannot be exploited before the **effects of deep-sea mining** on the marine environment, biodiversity and human activities have been sufficiently researched, the risks are understood and the technologies and operational practices are able to demonstrate no serious harm to the environment, in line with the precautionary\n\n[International ocean governance agenda: an agenda for the future](https://ec.europa.eu/maritimeaffairs/sites/maritimeaffairs/files/join-2016-49_en.pdf) (JOIN(2016) 49). In the framework of the [Commission for the Conservation of Antarctic Marine Living Resources](https://www.ccamlr.org/en) .",
- "page_start": 20,
- "page_end": 20,
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- {
- "text": "principle <sup>79</sup> and taking into account the call of the European Parliament <sup>80</sup> . In parallel, the EU will continue to fund research on the impact of deep-sea mining activities and on environmentally-friendly technologies. The EU should also advocate for more transparency in international bodies such as the International Seabed Authority.\n\n#### *4.2.2.* *Trade policy*\n\n**Trade policy will actively support and be part of the ecological transition** . In this spirit, the Commission will ensure full implementation and enforcement of the biodiversity provisions in all trade agreements, including through the EU Chief Trade Enforcement Officer. The Commission will better assess the impact of trade agreements on biodiversity, with follow-up action to strengthen the biodiversity provisions of existing and new agreements if relevant. The Commission will also present in 2021 a legislative proposal and other measures to avoid or minimise the placing of products associated with deforestation or forest degradation on the EU market <sup>81</sup> , and to promote forest-friendly imports and value chains. The Commission will take a number of steps to **crack down on illegal wildlife trade** . This trade contributes to the depletion or extinction of entire species, is the world’s fourth most lucrative black market and is thought to be one of the causes behind the emergence of zoonotic diseases. It is a human, economic and environmental duty to dismantle it.\n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife Trafficking in 2021 and propose a further **tightening of the rules on EU ivory trade** later this year. It will explore a possible revision of the Environmental Crime Directive, including by looking at expanding its scope and introducing specific provisions for types and levels of criminal sanctions. It will consider strengthening the coordinating and investigative capacities of the European Anti-Fraud Office (OLAF) to work with Member States and non-EU countries to prevent illicit trade and the entry of illicit products into the Single Market.\n\nThe Commission will continue to engage with partner countries to ensure a smooth and fair transition, mobilising in particular Aid for Trade to ensure that partners reap the benefits of biodiversity-friendly trade.\n\n#### *4.2.3.* *International cooperation, neighbourhood policy and resource* *mobilisation*\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater cooperation with partners, increased support and financing and phasing out of subsidies harmful to biodiversity. In the last decade, the EU and its Member States collectively upheld their commitment to **double financial flows to developing countries for biodiversity** <sup>82</sup> . The EU is ready to continue working with its partners and further increase its support post-2020. This will be part of its work on biodiversity conservation, restoration, sustainable use and mainstreaming in all development and partnership\n\n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection and shall be based on the precautionary principle. 80 [European Parliament Resolution on international ocean governance](https://www.europarl.europa.eu/doceo/document/TA-8-2018-0004_EN.html) (2017/2055(INI)). In line with the Commission Communication on [Stepping up EU Action to Protect and Restore the ](https://ec.europa.eu/info/sites/info/files/communication-eu-action-protect-restore-forests_en.pdf) [World’s Forests](https://ec.europa.eu/info/sites/info/files/communication-eu-action-protect-restore-forests_en.pdf) (COM(2019) 352). Including international financing where biodiversity is the principal objective and where it is a significant secondary objective, in line with [CBD COP11 Decision XI/4](https://www.cbd.int/decision/cop/?id=13165) and EU and Member States financial reports submitted to the Convention on Biological Diversity in 2015 and 2018.",
- "page_start": 21,
- "page_end": 21,
- "source_file": "legal5_eubiodiversity_cc4.pdf"
- },
- {
- "text": "**Table 33: EU Directives on Occupational Safety and Health**",
- "page_start": 119,
- "page_end": 119,
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
- },
- {
- "text": "efforts are needed and the EU itself needs to do more and better for nature and build a truly **coherent Trans-European Nature Network** .\n\nEnlarging protected areas is also an economic imperative. Studies on marine systems estimate that every euro invested in marine protected areas would generate a return of at least €3 <sup>19</sup> . Similarly, the Nature Fitness Check <sup>20</sup> showed that the benefits of Natura 2000 are valued at between €200-300 billion per year. The investment needs of the network are expected to support as many as 500,000 additional jobs <sup>21</sup> .\n\nFor the good of our environment and our economy, and to support the EU’s recovery from the COVID-19 crisis, we need to protect more nature. In this spirit, **at least 30% of the land and 30% of the sea should be protected in the EU** . This is a minimum of an extra 4% for land and 19% for sea areas as compared to today <sup>22</sup> . The target is fully in line with what is being proposed <sup>23</sup> as part of the post-2020 global biodiversity framework (see Section 4).\n\nWithin this, there should be specific focus on areas of very high biodiversity value or potential. These are the most vulnerable to climate change and should be granted special care in the form of strict protection <sup>24</sup> . Today, only 3% of land and less than 1% of marine areas are strictly protected in the EU. We need to do better to protect these areas. In this spirit, at least one third of protected areas - representing **10% of EU land and 10% of EU sea - should be strictly protected** . This is also in line with the proposed global ambition.\n\nAs part of this focus on strict protection, it will be crucial to define, map, monitor and **strictly protect all the EU’s remaining primary and old-growth forests** <sup>25</sup> . It will also be important to advocate for the same globally and ensure that EU actions do not result in deforestation in other regions of the world. Primary and old-growth forests are the richest forest ecosystems that remove carbon from the atmosphere, while storing significant carbon stocks. Significant areas of other carbon-rich ecosystems, such as peatlands, grasslands, wetlands, mangroves and seagrass meadows should also be strictly protected, taking into account projected shifts in vegetation zones.\n\nMember States will be responsible for designating the additional protected and strictly protected areas <sup>26</sup> . Designations should either help to complete the Natura 2000 network or be under national protection schemes. All protected areas will need to have clearly defined conservation objectives and measures. The Commission, working with Member\n\n19 Brander et al. (2015), [The benefits to people of expanding Marine Protected Areas](https://www.sciencedirect.com/science/article/pii/S0308597X19302386) . 20 [Fitness Check of the EU Nature Legislation](https://ec.europa.eu/environment/nature/legislation/fitness_check/docs/nature_fitness_check.pdf) (SWD(2016) 472). 21 Member States’ Prioritised Action Frameworks 2020; Mutafoglu et al. (2017), [Natura 2000 and Jobs: ](https://ieep.eu/publications/natura-2000-and-jobs-scoping-the-evidence) [Scoping Study](https://ieep.eu/publications/natura-2000-and-jobs-scoping-the-evidence) . 22 Latest EU-27 statistics ( [European database of nationally designated protected areas](https://www.eea.europa.eu/data-and-maps/data/nationally-designated-areas-national-cdda-14) ) v. 2019, and\n\n[Natura 2000 dataset ‘end 2018’](https://www.eea.europa.eu/data-and-maps/data/natura-10/natura-2000-spatial-data/natura-2000-spatial-lite-1) . Today, 26% of the EU’s land area is already protected, with 18% as part of Natura 2000 and 8% under national schemes. Of EU seas, 11% are protected, with 8% in Natura 2000 and 3% under additional national protection. To note: offshore wind projects will be possible if in compliance with relevant environmental and nature protection legislation. 23 Zero draft of the post-2020 global biodiversity framework (CBD/WG2020/2/3), available at [https://www.cbd.int/conferences/post2020/wg2020-02/documents.](https://www.cbd.int/conferences/post2020/wg2020-02/documents) Strict protection does not necessarily mean the area is not accessible to humans, but leaves natural processes essentially undisturbed to respect the areas’ ecological requirements. [https://www.cbd.int/forest/definitions.shtml](https://www.cbd.int/forest/definitions.shtml) ; [Natura 2000 and Forests](https://ec.europa.eu/environment/nature/natura2000/management/docs/Final%20Guide%20N2000%20%20Forests%20Part%20I-II-Annexes.pdf) . Additional Natura 2000 designations will be implemented with support from EU funds and enforcement as appropriate.",
- "page_start": 4,
- "page_end": 4,
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- "text": "### **2.2. An EU Nature Restoration Plan: restoring ecosystems across land and sea**\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To reverse biodiversity loss, the world needs to be more ambitious on nature restoration. With a **new EU Nature Restoration Plan** , Europe will lead the way.\n\nThe plan will help improve the health of existing and new protected areas, and bring diverse and resilient nature back to all landscapes and ecosystems. This means reducing pressures on habitats and species, and ensuring all use of ecosystems is sustainable. It also means supporting the recovery of nature, limiting soil sealing and urban sprawl, and tackling pollution and invasive alien species. The plan will create jobs, reconcile economic activities with nature growth and help ensure the long-term productivity and value of our natural capital.\n\n#### *2.2.1.* *Strengthening the EU legal framework for nature restoration*\n\nNature restoration is already partially required from the Member States in existing EU legislation <sup>28</sup> . However, **significant implementation and regulatory gaps hinder progress** . For instance, there is no requirement for Member States to have biodiversity restoration plans. There are not always clear or binding targets and timelines and no definition or criteria on restoration or on the sustainable use of ecosystems. There is also no requirement to comprehensively map, monitor or assess ecosystem services, health or restoration efforts. These issues are exacerbated by the gaps in implementation that prevent the existing legislation from achieving its objectives <sup>29</sup> . Stronger implementation support and enforcement is required. To ensure that nature restoration across land and sea picks up, increases the EU’s resilience, and contributes to climate change mitigation and adaptation as a key nature-based solution, this strategy puts forward two strands of actions:\n\n- Firstly, and subject to an impact assessment, the Commission will put forward a proposal for legally binding **EU nature restoration targets** in 2021 to restore degraded ecosystems, in particular those with the most potential to capture and store carbon and to prevent and reduce the impact of natural disasters. This will identify the conditions in which the targets must be met, as well as the most effective measures to reach them. The impact assessment will also look at the possibility of an EU-wide methodology to map, assess and achieve good condition of ecosystems so they can deliver benefits such as climate regulation, water regulation, soil health, pollination and disaster prevention and protection.\n\n- In that context, the Commission will request and support Member States to raise the level of implementation of existing legislation within clear deadlines. It will in particular request Member States to ensure **no deterioration in conservation trends and status** of all protected habitats and species by 2030 <sup>30</sup> . In addition, Member States will have to ensure that at least 30% of species and habitats not\n\n28 Notably the EU [Birds Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32009L0147) (2009/147/EC), [Habitats Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:31992L0043) (92/43/EEC), [Water Framework ](https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32000L0060) [Directive](https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX:32000L0060) (2000/60/EC), [Floods Directive](https://eur-lex.europa.eu/legal-content/EN/ALL/?uri=CELEX%3A32007L0060) (2007/60/EC) and [Marine Strategy Framework Directive](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32008L0056) (2008/56/EC). See [Fitness Check of the EU Nature Legislation](https://ec.europa.eu/environment/nature/legislation/fitness_check/docs/nature_fitness_check.pdf) (SWD(2016) 472) and [Fitness Check of the EU Water ](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) [Legislation](https://ec.europa.eu/environment/water/fitness_check_of_the_eu_water_legislation/documents/Water%20Fitness%20Check%20-%20SWD(2019)439%20-%20web.pdf) (SWD(2019) 439). See also below, Section 3.2. Habitats and species listed under the Birds and Habitats Directives.",
- "page_start": 6,
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- "text": "117 Eurostat, [Accidents at work by sex and severity](https://ec.europa.eu/eurostat/databrowser/view/hsw_mi08/default/table?lang=en) (Sector A, C-N, NACE Rev. 2, EU27). Only incidence rates for\n\nthese selected sectors can be compared, because Eurostat did not calculate / publish an incidence rate for all\n\nsectors in 1998 but for Sector A and D to K, NACE 1.1). The incidence rate for all sectors is a little bit lower in\n\n2019 (1,603) because the other sectors have lower accident risks. That would also have been the case in 1994.\n\n*118* *Eurostat:* *[Accidents at work by sex and severity](https://ec.europa.eu/eurostat/databrowser/view/hsw_mi08/default/table?lang=en)* *(NACE Rev. 2 activity Total).*\n\n119 Eurostat: Statistics in focus, Theme 3-16/2001: [Accidents at work in the EU 1998-1999](https://ec.europa.eu/eurostat/documents/3433488/5407173/KS-NK-01-016-EN.PDF.pdf/5897dcf4-ae26-45c8-9d10-7e54dce5efed) (p. 3).\n\n120 Eurostat: [Fatal Accidents at work by NACE Rev. 2 activity](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_02/default/table?lang=en) (HSW_N2_02), filter for sectors Sector A, C-N,\n\nNACE 2.\n\n*121* *Eurostat:* *[Accidents at work by sex and severity](https://ec.europa.eu/eurostat/databrowser/view/hsw_mi08/default/table?lang=en)* *(NACE Rev. 2 activity Total).*\n\n*122* *Eurostat:* *[Non-fatal accidents at work by NACE Rev. 2 activity and sex](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en)*\n\n*123* *Eurostat:* *[Fatal Accidents at work by NACE Rev. 2 activity; ](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_02/default/table?lang=en)* *Fatal Accidents at work* *[: Mining and quarrying](https://ec.europa.eu/eurostat/databrowser/view/HSW_N2_02__custom_5016088/default/table?lang=en)*\n\n124 Rees, 2016: [Comparing European and American Health & Safety Laws](https://www.safeopedia.com/2/4270/ehs/comparing-eu-health-safety-laws-across-the-pond) - ‘Pre-1970, there were approximately\n\n[14,000 worker fatalities a year, according to the Occupational Health and Safety Administration (OSHA). By 2010, ](https://www.safeopedia.com/definition/109/occupational-safety-and-health-administration-osha)\n\nthe workforce had doubled, but fatalities were down to just 4,500 - a workplace fatality rate reduction of 66\n\npercent. Worker injuries and illnesses were also down from 10.9 incidents per 100 workers in 1972 to 3.2 per 100\n\nin 2014.’\n\n125 WHO/ILO, 2021: [WHO/ILO joint estimates of the work-related burden of disease and injury, 2000- 2016: ](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve)\n\n[Global monitoring report](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve) (p. 18).\n\n126 Source of the picture: [here](https://www.baunetzwissen.de/gerueste-und-schalungen/fachwissen/geruestarten/zugaenge-und-treppen-fuer-gerueste-4786033) (copyrighted).\n\n**127** Eurostat: [Accidents at work, by specific physical activity and economic activity](https://ec.europa.eu/eurostat/databrowser/view/HSW_PH3_04__custom_1555461/default/table?lang=en) , EU, 2019 (% share).\n\n128 Eurostat: [Businesses in the mining and quarrying sector](https://ec.europa.eu/eurostat/statistics-explained/index.php?oldid=349791)\n\n129 European Commission: [Textiles and clothing in the EU](https://single-market-economy.ec.europa.eu/sectors/fashion/textiles-and-clothing-industries/textiles-and-clothing-eu_en)\n\n130 European Parliament, 2014: Briefing - [Workers’ conditions in the textile and clothing sector: just an Asian ](https://www.europarl.europa.eu/EPRS/140841REV1-Workers-conditions-in-the-textile-and-clothing-sector-just-an-Asian-affair-FINAL.pdf)\n\n[affair?](https://www.europarl.europa.eu/EPRS/140841REV1-Workers-conditions-in-the-textile-and-clothing-sector-just-an-Asian-affair-FINAL.pdf)\n\n131 Eurostat: National accounts employment data by industry (up to NACE A*64), Filter for years and sector\n\n‘Agriculture, forestry and fishing’, [here](https://ec.europa.eu/eurostat/databrowser/view/NAMA_10_A64_E__custom_4229280/default/table?lang=en)\n\n132 World Bank: Employment in agriculture (% of total employment) (modelled ILO estimate)\n\n[https://data.worldbank.org/indicator/SL.AGR.EMPL.ZS?end=2018&most_recent_year_desc=true&start=1991&typ](https://data.worldbank.org/indicator/SL.AGR.EMPL.ZS?end=2018&most_recent_year_desc=true&start=1991&type=shaded&view=chart)\n\n[e=shaded&view=chart](https://data.worldbank.org/indicator/SL.AGR.EMPL.ZS?end=2018&most_recent_year_desc=true&start=1991&type=shaded&view=chart)\n\n133 United Nations - e-Waste coalition: [Global E-waste Monitor 2017](https://www.itu.int/en/ITU-D/Environment/Pages/Toolbox/Global-E-waste-Monitor-2017.aspx)\n\n134 For example: [OSH system at national level - France](https://oshwiki.eu/wiki/OSH_system_at_national_level_-_France)\n\n135 Eurostat, 2013: [European Statistics on Accidents at Work (ESAW) - Summary methodology - 2013 edition](https://ec.europa.eu/eurostat/web/products-manuals-and-guidelines/-/KS-RA-12-102)\n\n(p. 5).\n\n136 Eurostat: Non-fatal accidents at work by NACE Rev. 2 activity and sex, A recalculation of the total number of\n\naccidents for the EU27 to the years 1994 to 1998 is not possible, mainly due to the many enlargements of the EU.\n\n137 Eurostat, Statistics in focus, Theme 3 - 16/2001: Accidents at work in the EU 1998-1999 (p. 4), [here](https://ec.europa.eu/eurostat/documents/3433488/5407173/KS-NK-01-016-EN.PDF.pdf/5897dcf4-ae26-45c8-9d10-7e54dce5efed)\n\n138 Data for 1998 for the Sectors A and D to K, NACE Rev. 1.1, EU-15, for 2019 for Sectors A, C-N, NACE Rev. 2,\n\nEU27. Only incidence rates for these selected sectors can be compared because Eurostat did not provide an\n\nincidence rate for all sectors in 1998 but for the sectors A and D to K, NACE 1.1.\n\n139 In total the incidence rate decreased from 4,089 to 1,713; the difference is 2,376. The reduction between 1998\n\nand 2010 amounts to 2,068, and between 2010 and 2019 it sums up to 308. That means that 87% of the\n\nreduction was achieved in the first period and 13% in the second period.\n\n140 Eurostat: [Non-fatal accidents at work by NACE Rev. 2 activity and sex, Filter Sectors, A, C-N](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en)\n\n141 Eurostat: [Accidents at work statistics - Incident rates](https://ec.europa.eu/eurostat/statistics-explained/index.php?title=Accidents_at_work_statistics#Incidence_rates)\n\n142 Eurostat: [Non-fatal accidents at work by NACE Rev. 2 activity and sex](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en) , Filter: Time frequency: Annual; Unit of\n\nmeasure: Incidence rate; Classification of economic activities - NACE Rev. 2; Sex: Total.\n\n143 EU-OSHA, 2010: [A review of methods used across Europe to estimate work-related accidents and illnesses ](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among)\n\n[among the self-employed](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among)\n\n144 EU-OSHA, 2010: [A review of methods used across Europe to estimate work-related accidents and illnesses ](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among)\n\n[among the self-employed](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among) (p. 7).\n\n145 Eurostat, 2013: [European Statistics on Accidents at Work - Summary methodology - 2013 edition](https://ec.europa.eu/eurostat/web/products-manuals-and-guidelines/-/KS-RA-12-102) (p. 6):\n\n*‘Article 2 of the ESAW Regulation covers the provision of data on persons who had an accident at work during the*\n\n*reference period and states that if the victim is self-employed, a family worker or a student, providing data is*\n\n*voluntary.’*\n\n*146* *Eurostat:* *[Non-fatal accidents at work by NACE Rev. 2 activity and sex](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en)*",
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- "text": "9. There is a 50% reduction in the number of Red List species threatened by invasive alien species. 10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction ofthe use of fertilisers by at least 20%. 11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan. 12. No chemical pesticides are used in sensitive areas such as EU urban green areas. 13. The negative impacts on sensitive species and habitats, including on the seabed through fishing and extraction activities, are substantially reduced to achieve good environmental status. 14. The by-catch of species is eliminated or reduced to a level that allows species recovery and conservation.\n\n## **3. E NABLING TRANSFORMATIVE CHANGE**\n\n### **3.1. A new governance framework**\n\nIn the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place **a new European biodiversity governance framework** . This will help map obligations and commitments and set out a roadmap to guide their implementation.\n\nAs part of this new framework, the Commission will put in place a monitoring and review mechanism. This will include a **clear set of agreed indicators** and will enable regular progress assessment and set out corrective action if necessary. This mechanism will feed the Environmental Implementation Review and contribute to the European Semester.\n\nThe new governance framework will ensure co-responsibility and co-ownership by all\n\nrelevant actors in meeting the EU’s biodiversity commitments. It will support administrative capacity building, transparency, stakeholder dialogue, and participatory governance at different levels.\n\nThe Commission will assess the progress and suitability of this approach in 2023, and consider whether a legally binding approach to governance is needed.\n\n### **3.2. Stepping up implementation and enforcement of EU environmental legislation**\n\nAll environmental legislation relies on proper implementation and enforcement. Over the last 30 years, the EU has put in place a solid legislative framework to protect and restore its natural capital. However, recent evaluations show that although legislation is fit for purpose, implementation on the ground is lagging behind <sup>60</sup> . This is having dramatic consequences on biodiversity and comes with a substantial economic cost <sup>61</sup> . **The full implementation and enforcement of EU environmental legislation is therefore at the heart of this strategy** , for which political support and financial and human resources will need to be prioritised.\n\nSee 2015 [State of Nature in the EU report](http://ec.europa.eu/environment/nature/pdf/state_of_nature_en.pdf) (COM (2015)219). [The costs of non-implementation are estimated at EUR 50 billion per year.](http://ec.europa.eu/environment/enveco/economics_policy/pdf/report_sept2011.pdf)",
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- "text": "States and the European Environment Agency, will put forward in 2020 criteria and guidance for identifying and designating additional areas, including a definition of strict protection, as well as for appropriate management planning. In doing so, it will indicate how other effective area-based conservation measures and greening of cities could contribute to the targets.\n\nThe targets relate to the EU as a whole and could be broken down according to the EU bio-geographical regions and sea basins or at a more local level. **Every Member State will have to do its fair share of the effort** based on objective ecological criteria, recognising that each country has a different quantity and quality of biodiversity. Particular focus will be placed on protecting and restoring the tropical and sub-tropical\n\nmarine and terrestrial ecosystems in the EU’s outermost regions given their exceptionally high biodiversity value.\n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature Network, it will be important to set up **ecological corridors** to prevent genetic isolation, allow for species migration, and maintain and enhance healthy ecosystems. In this context, investments in green and blue infrastructure <sup>27</sup> and cooperation across borders among Member States should be promoted and supported, including through the European Territorial Cooperation.\n\nThe Commission will aim to agree the criteria and guidance for additional designations with Member States by the end of 2021. Member States will then have until the end of 2023 to demonstrate significant progress in legally designating new protected areas and integrating ecological corridors. On this basis, the Commission will assess by 2024 whether the EU is on track to meet its 2030 targets or whether stronger actions, including EU legislation, are needed.\n\nFinally, the **Overseas Countries and Territories** also host important biodiversity hotspots, not governed by EU environmental rules. The Commission encourages relevant Member States to consider promoting equal or equivalent rules in these countries and territories.\n\n**Nature protection: key commitments by 2030**\n\n1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea area and integrate ecological corridors, as part of a true Trans-European Nature Network. 2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU primary and old-growth forests. 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.\n\n[Guidance on a strategic framework for further supporting the deployment of EU-level green and blue ](https://ec.europa.eu/environment/nature/ecosystems/pdf/SWD_2019_193_F1_STAFF_WORKING_PAPER_EN_V4_P1_1024680.PDF) [infrastructure](https://ec.europa.eu/environment/nature/ecosystems/pdf/SWD_2019_193_F1_STAFF_WORKING_PAPER_EN_V4_P1_1024680.PDF) (SWD(2019) 193).",
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- "query": "What are the missions of the Sumitomo Mitsui Financial Group?",
- "target_page": 7,
- "target_passage": "• To provide optimum added value to our customers and together with them achieve growth • To create sustainable shareholder value through business growth• To create sustainable shareholder value through business growth • To provide a challenging and professionally rewarding work environment for our dedicated employees• To provide a challenging and professionally rewarding work environment for our dedicated employee",
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- "text": "Sumitomo Mitsui Financial Group CSR Report\n\n**Digest version**\n\nwww.smfg.co.jp/english",
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- "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group\n\nis fulfilling as we work to create a sustainable society.\n\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is\n\nthe essence of business itself, and our initiatives act upon this.\n\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s\n\nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report\n\n2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR\n\nactivities and statistical data omitted in the CSR Report 2011 (digest version).\n\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in\n\nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand\n\nour CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n**Editorial Policy**\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n**Our CSR reporting**\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n\n* Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international\n\norganization (GRI) in 1997 to encourage its adoption worldwide.\n\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\n\n**Reference guidelines**\n\n- Sumitomo Mitsui Financial Group, Inc.\n\n- Sumitomo Mitsui Banking Corporation\n\n- SMFG Card & Credit, Inc.\n\n- Sumitomo Mitsui Card Company, Limited\n\n- Cedyna Financial Corporation\n\n- Sumitomo Mitsui Finance and Leasing Co., Ltd.\n\n- The Japan Research Institute, Limited\n\n- SMBC Friend Securities Co., Ltd.\n\n- SMBC Nikko Securities Inc.\n\n- THE MINATO BANK, LTD.\n\n- Kansai Urban Banking Corporation\n\n- Other Group companies\n\n**Scope of this Report**\n\nThroughout this report, **“Sumitomo Mitsui Financial Group”** or **“SMFG”** refers to the holding company alone. **“The SMFG Group”**\n\nrefers to the holding company and its primary domestic and international subsidiaries and affiliates.\n\nCompany name abbreviations and other special terminology\n\n**About this Report**\n\n**Corporate Outline (as of September 30, 2011)**\n\nCompany Name\n\nBusiness Description\n\nEstablished\n\nHead Office\n\nChairman of the Board\n\nPresident\n\nCapital\n\nStock Exchange Listings\n\nSumitomo Mitsui Financial Group, Inc.\n\nManagement of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of\n\nnon-bank subsidiaries, as well as the performance of ancillary functions\n\nDecember 2, 2002\n\n1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan\n\nMasayuki Oku\n\nKoichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation)\n\n¥2,337.8 billion\n\nTokyo Stock Exchange (First Section)\n\nOsaka Securities Exchange (First Section)\n\nNagoya Stock Exchange (First Section)\n\n： ：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n**Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\nPeriod Covered\n\nPublication Date of\n\nJapanese Document\n\nContact\n\nCovers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies,\n\ncentered on specific examples centered on specific examples\n\nThis is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of\n\nCSR activities at SMFG CSR activities at SMFG\n\nCovers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed\n\ninformation on CSR activities information on CSR activities\n\n**CSR disclosure**\n\n**through**\n\n**specific examples**\n\n**Comprehensive**\n\n**disclosure of**\n\n**CSR activities**\n\n**Enriched**\n\n**CSR disclosure**\n\n：\n\n：\n\n：\n\nApril 1, 2010 to March 31, 2011 ( “Fiscal 2010” )\n\nNote: Certain items in this report refer to activities taking place after April 2011.\n\nDecember 2011\n\nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.\n\n1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005\n\nTEL: +81-3-3282-8111\n\nSumitomo Mitsui Sumitomo Mitsui\n\nBanking Corporation Banking Corporation\n\nSMBC Nikko Securities SMBC Nikko Securities ORIX Credit ORIX Credit PROMISE * PROMISE * Sumitomo Mitsui Card Sumitomo Mitsui Card Cedyna Cedyna\n\nSMFG Card & Credit SMFG Card & Credit Sumitomo Mitsui Sumitomo Mitsui\n\nFinance and Leasing Finance and Leasing\n\nThe Japan The Japan\n\nResearch Institute Research Institute SMBC Friend Securities SMBC Friend Securities\n\nDaiwa SB Investments Daiwa SB Investments\n\nSumitomo Mitsui Auto Service Sumitomo Mitsui Auto Service\n\n**SMFG SUMITOMO MITSUI FINANCIAL GROUP**\n\nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\n\n**CSR report 2011 (digest version)**\n\n**CSR report (online version, Japanese only)**\n\n**CSR report 2011**\n\n**(digest version with examples of activities and**\n\n**statistical performance, online PDF file)**\n\nwww.smfg.co.jp/responsibility\n\n29 **CSR REPORT 2011 CSR REPORT 2011** 30",
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- "text": "Our Mission and CSR at SMFG\n\n- To provide optimum added value to our customers and together with them achieve growth - To provide optimum added value to our customers and together with them achieve growth\n\n- To create sustainable shareholder value through business growth - To create sustainable shareholder value through business growth\n\n- To provide a challenging and professionally rewarding work environment for our dedicated employees - To provide a challenging and professionally rewarding work environment for our dedicated employees\n\nWe intend to be a financial services group that has the complete trust and support of We intend to be a financial services group that has the complete trust and support of\n\nour customers. For this purpose, we will always provide services that meet the true our customers. For this purpose, we will always provide services that meet the true\n\nneeds of our customers to assure their satisfaction and earn confidence in the Group. needs of our customers to assure their satisfaction and earn confidence in the Group. *1.* **Satisfactory**\n\n**Customer Services**\n\nIn the conduct of its business activities, SMFG fulfills its social responsibilities by contributing to In the conduct of its business activities, SMFG fulfills its social responsibilities by contributing to\n\nthe sustainable development of society as a whole through offering higher added value to the sustainable development of society as a whole through offering higher added value to\n\n(i) customers, (ii) shareholders and the market, (iii) the environment and society, and (iv) employees. (i) customers, (ii) shareholders and the market, (iii) the environment and society, and (iv) employees.\n\n**SMFG’s Definition of CSR**\n\n**Common SMFG CSR Philosophy: Business Ethics**\n\n**Key points of CSR activities**\n\nThe focus of the Group The focus of the Group’s CSR activities is to offer the most value s CSR activities is to offer the most value\n\nfor our four major stakeholder groups based on for our four major stakeholder groups based on\n\nsound management, and we shall strive to ultimately sound management, and we shall strive to ultimately\n\ncontribute to the sustainable development of society as a whole. contribute to the sustainable development of society as a whole.\n\n- We shall endeavor to develop and prosper with our customers by\n\noffering top-quality, highly-valued products and services.\n\n- We shall engage in solid management by disclosing appropriate\n\ninformation and developing our internal control system in an effort\n\nto maximize our shareholders’ value.\n\n- We shall contribute to society and preserve the natural environ-\n\nment by continuously and proactively implementing initiatives\n\nincluding social and environmental activities.\n\n- We shall foster a free and active business environment which\n\nrespects individuals and allows each employee to realize his or her\n\nfull potential.\n\n**Management approach for target achievement**\n\nWe have established the Group CSR Committee, administered by the Group CSR Department, We have established the Group CSR Committee, administered by the Group CSR Department,\n\nto assess the CSR implementation plans of the whole Group, and manage progress. to assess the CSR implementation plans of the whole Group, and manage progress.\n\nSpecifically, departments are assigned responsibility for each target, and the Group CSR Department and assigned departments jointly Specifically, departments are assigned responsibility for each target, and the Group CSR Department and assigned departments jointly\n\nconduct annual reviews of progress made in these initiatives. The results of these reviews are reported to the Group CSR Committee. conduct annual reviews of progress made in these initiatives. The results of these reviews are reported to the Group CSR Committee.\n\nThe Group CSR Department and assigned departments also conduct a joint examination of plans for the following financial year, The Group CSR Department and assigned departments also conduct a joint examination of plans for the following financial year,\n\nthe findings of which are subsequently assessed by the Group CSR Committee. the findings of which are subsequently assessed by the Group CSR Committee.\n\nIn this way, we use the PDCA cycle in our CSR initiatives. In this way, we use the PDCA cycle in our CSR initiatives.\n\n**Our Mission**\n\n**Contributing to the Sustainable Development of Society**\n\n**CSR Group Initiatives**\n\nSolid Management Structure\n\n(corporate governance, internal controls, compliance,\n\nrisk management, information disclosure, etc.)\n\nCustomers Shareholders\n\nand the Market The Environment\n\nand Society Employees\n\nHighly-valued\n\nproducts and\n\nservices\n\nSound\n\nManagement\n\nSocial and community activities and environmental activities\n\nCorporate culture\n\nrespecting\n\nthe individual\n\nBoard of Directors\n\nSumitomo Mitsui Banking Corporation SMFG Card & Credit, Inc. The Japan Research Institute Limited SMBC Friend Securities Co., Ltd. Sumitomo Mitsui Finance and Leasing Co., Ltd.\n\n**Chairman** : Director in charge of SMFG\n\nCorporate Planning Department\n\n**Committee members** : General Managers of SMFG,\n\nSumitomo Mitsui Banking Corporation,\n\nSMFG Card & Credit, Sumitomo Mitsui Card,\n\nCedyna, Sumitomo Mitsui Finance and Leasing,\n\nThe Japan Research Institute,\n\nSMBC Friend Securities, SMBC Nikko Securities,\n\nTHE MINATO BANK and\n\nKansai Urban Banking Corporation\n\n**Administered by** : Group CSR Department of SMFG\n\n**Strategic advisor** :\n\nJRI Center for the Strategy of Emergence\n\nManagement Committee\n\n**Group CSR Committee**\n\n**CSR Liaison Committee**\n\n**SMFG CSR promotion structure**\n\nOur Mission\n\nCustomers\n\nPromoting CSR through\n\ncore operations\n\nShareholders and the Market\n\nThe Environment and Society\n\nEmployees\n\n| Plan |\n|:---|\n| Do |\n\n| Check |\n|:---|\n| Act |\n\nBasic CSR Policy\n\n(Business Ethics)\n\nWe intend to be a financial services group for which all officers and employees work We intend to be a financial services group for which all officers and employees work\n\nwith pride and commitment. For this purpose, we respect people and develop with pride and commitment. For this purpose, we respect people and develop\n\nemployees with extensive professional knowledge and capabilities, thereby creating a employees with extensive professional knowledge and capabilities, thereby creating a\n\nfree and active business environment. free and active business environment. *4.* **Free and Active**\n\n**Business Environment**\n\nWe intend to be a financial services group that maintains fair, transparent, and sound We intend to be a financial services group that maintains fair, transparent, and sound\n\nmanagement based on the principle of self-responsibility. For this purpose, along with management based on the principle of self-responsibility. For this purpose, along with\n\nearning the firm confidence of our shareholders, our customers, and the general public, earning the firm confidence of our shareholders, our customers, and the general public,\n\nwe take a long-term view of our business and operate it efficiently, and actively disclose we take a long-term view of our business and operate it efficiently, and actively disclose\n\naccurate business information about the Group. Through these activities, we work to accurate business information about the Group. Through these activities, we work to\n\nmaintain continued growth based on a sound financial position. maintain continued growth based on a sound financial position. *2.* **<sup>Sound Management</sup>**\n\nWe intend to be a financial services group that contributes to the healthy development We intend to be a financial services group that contributes to the healthy development\n\nof society. For this purpose, we recognize the importance of our mission to serve as a of society. For this purpose, we recognize the importance of our mission to serve as a\n\ncrucial part of the public infrastructure and also our social responsibilities. With such crucial part of the public infrastructure and also our social responsibilities. With such\n\nrecognition, we undertake business operations that contribute to the steady recognition, we undertake business operations that contribute to the steady\n\ndevelopment of Japan and the rest of the world, and endeavor, as a good corporate development of Japan and the rest of the world, and endeavor, as a good corporate\n\ncitizen, to make a positive contribution to society. citizen, to make a positive contribution to society. *3.* **Contributing to**\n\n**Social Development**\n\nWe intend to be a financial services group that always keeps in mind the importance of We intend to be a financial services group that always keeps in mind the importance of\n\ncompliance. For this purpose, we reflect our awareness of Business Ethics in our business compliance. For this purpose, we reflect our awareness of Business Ethics in our business\n\nactivities at all times. In addition, we respond promptly to directives from auditors and activities at all times. In addition, we respond promptly to directives from auditors and\n\ninspectors. Through these actions, we observe all laws and regulations, and uphold moral inspectors. Through these actions, we observe all laws and regulations, and uphold moral\n\nstandards in our business practices. standards in our business practices. *5.* **<sup>Compliance</sup>**\n\n**SMFG CSR Values**\n\n**Participation in global initiatives**\n\nRecent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment. Recent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment.\n\nAs a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of As a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of\n\nthe following initiatives and organizations: the following initiatives and organizations:\n\n**CSR activities and the PDCA cycle**\n\nThe 10 principles advocated by\n\nthe United Nations in the areas of\n\nhuman rights, labor standards, the\n\nenvironment, and anti-corruption\n\nmeasures\n\nUnited Nations\n\nGlobal Compact\n\nThe global partnership between the UNEP and\n\nfinancial institutions who are signatories to the\n\nUNEP FI Statements seeks to identify, promote, and\n\nensure best environmental and sustainability prac-\n\ntice at all operational levels of financial institutions\n\nThe United Nations Environment\n\nProgramme Finance Initiative (UNEP FI)\n\nAn initiative to measure, manage\n\nand alleviate climate change by\n\nencouraging sustained dialog\n\nwith institutional investors and\n\nbusiness leaders on this issue\n\nCarbon Disclosure Project\n\n(CDP)\n\nA set of guiding principles for man-\n\naging social and environmental\n\nissues in project finance, based on\n\nthe guidelines of the International\n\nFinance Corporation (IFC)\n\nEquator Principles",
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- "text": "####### **President**\n\n####### **Sumitomo Mitsui Financial Group, Inc.**\n\n**INDEX**\n\n**Foreword**\n\n**Commitment from the Top**\n\n**A Conversation with Tadao Ando,**\n\n**Takeshi Kunibe and Koichi Miyata**\n\n**Our Mission and CSR at SMFG**\n\n〈 **Specific Examples of CSR Activities** 〉\n\n**Environmental Activities**\n\n**Social Contribution Activities**\n\n**Together with Our Customers**\n\n**Together with Our Shareholders**\n\n**and Markets**\n\n**Together with Our Employees**\n\n**1**\n\n**3**\n\n**Measures to Support Reconstruction**\n\n**after the March 11**\n\n**Earthquake and Tsunami 8**\n\n**11**\n\n**21**\n\n**Corporate Outline/Editorial Policy 29**\n\n**25**\n\n**13**\n\n**17**\n\n**19**\n\n**Priority Issues for Us 9**\n\n####### **What can we do now to spur the**\n\n####### **reconstruction and revitalization of Japan,**\n\n####### **and help resolve global issues?**\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and\n\nto the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami\n\nthat struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas. early recovery of the affected people and areas.\n\nSMFG is dedicated to seamlessly responding to clients’ needs by SMFG is dedicated to seamlessly responding to clients’ needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities,\n\noffering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of\n\nresponding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures,\n\nwe will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them. and society, and ourselves grow in partnership with them.\n\nThrough our basic policy of becoming “a globally competitive Through our basic policy of becoming “a globally competitive financial services group financial services group\n\nwith the highest trust of our clients, society and other stakeholders” with the highest trust of our clients, society and other stakeholders” by maximizing our core strengths of by maximizing our core strengths of\n\n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we “Spirit of Innovation,” “Speed” and “Solution & Execution,” we will continue to stay ahead of the times, will continue to stay ahead of the times,\n\nno matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment. business environment.\n\n## Today, Tomorrow and Beyond\n\n**Koichi Miyata**",
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- "text": "Mitsui Charity Hospital at its establishment Mitsui Charity Hospital at its establishment\n\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And today And today\n\n**Reconstruction after the earthquake and tsunami**\n\n**Measures for Japan’s regeneration**\n\n####### **Further measures needed**\n\n**Shrinking and aging population**\n\n**Ensuring peace of mind for the future**\n\n**Environmental measures**\n\n**Creating systems for sustainability Global challenges**\n\n**Symbiosis and diversity**\n\nThe March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power\n\ngeneration capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition\n\nto the severe damage sustained by agriculture and fisheries in the Northeast. to the severe damage sustained by agriculture and fisheries in the Northeast.\n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as The disaster also threw into relief many social issues facing the nation. By leveraging our role as\n\na leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the\n\nenormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders\n\nincluding enterprises, local governments and non-profit organizations. including enterprises, local governments and non-profit organizations.\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively\n\nleverage its role as a leading financial services group. This is a priority field for the future. leverage its role as a leading financial services group. This is a priority field for the future.\n\nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but\n\nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to\n\ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired contribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired\n\ntechnological breakthroughs, with a particular focus on the Asian region. technological breakthroughs, with a particular focus on the Asian region.\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create\n\nframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle\n\nplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound\n\nbalance between work and care needs, given that many group employees will later need to nurse ailing relatives. balance between work and care needs, given that many group employees will later need to nurse ailing relatives.\n\n-\n\n-\n\n-\n\nWide-ranging financial support for the reconstruction of infrastructure Wide-ranging financial support for the reconstruction of infrastructure\n\nOngoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers\n\nComprehensive support for industrial recovery in partnership with local governments and Comprehensive support for industrial recovery in partnership with local governments and\n\nfinancial institutions in the disaster-affected areas financial institutions in the disaster-affected areas\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its\n\noperations both in Japan and overseas. Initiatives include aggressive development of advisory operations both in Japan and overseas. Initiatives include aggressive development of advisory\n\nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, services for infrastructure upgrades in emerging economies, a cross-departmental endeavor,\n\nas well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly\n\nthrough branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international\n\ncommunity so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nGive further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas\n\nreduction, water supply, new energy and resource initiatives reduction, water supply, new energy and resource initiatives\n\nDo more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a\n\nfinancial institution financial institution\n\nShare our information assets and know-how globally in the Share our information assets and know-how globally in the\n\nenvironmental business environmental business\n\n*Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nSupport businesses involved in health, medical and Support businesses involved in health, medical and\n\nnursing care nursing care\n\nExpand range of financial products and services for the Expand range of financial products and services for the\n\nelderly (planning for asset management for old age) elderly (planning for asset management for old age)\n\nFoster a better work-life balance Foster a better work-life balance\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nShare expertise in corporate social responsibility Share expertise in corporate social responsibility\n\nwith the international community with the international community\n\nImprove financial services in preparation for the Improve financial services in preparation for the\n\nglobalization of operations in Japan (multilingual globalization of operations in Japan (multilingual\n\nsupport) support)\n\nPromote diversity Promote diversity\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation\n\nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper\n\nmine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to\n\ngive the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this\n\ncorporate social responsibility corporate social responsibility DNA embedded in the business DNA embedded in the business\n\nphilosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400\n\nyears of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving\n\nproblems facing the international problems facing the international community through our financial community through our financial\n\nservice service operations. operations.\n\n**Priority Issues for Us** As one of Japa As one of Japan’s leading financial services groups, s leading financial services groups,\n\nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues\n\nwe have identified as significantly impacting the nation. we have identified as significantly impacting the nation.",
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- "text": "SRI indexes are for socially responsible SRI indexes are for socially responsible\n\ninvestments in which major investment investments in which major investment\n\ndecisions are based on environmental and decisions are based on environmental and\n\nsocial factors as well as the target company social factors as well as the target company’s s\n\nfinancial standing. financial standing. SMFG SMFG’s proactive corporate s proactive corporate\n\nsocial responsibility activities have won social responsibility activities have won\n\nplaudits from the markets. As the right-hand plaudits from the markets. As the right-hand\n\ngraphic shows, SMFG is listed on globally graphic shows, SMFG is listed on globally\n\nleading SRI indexes. We believe that this is eading SRI indexes. We believe that this is\n\nan endorsement by the market of the Grou an endorsement by the market of the Group’s s\n\nfuture corporate social responsibility future corporate social responsibility\n\nactivities. activities.\n\n**Keeping**\n\n**our shareholders**\n\n**informed**\n\nAnnual report\n\nWebsite\n\nSMFG is committed to ensuring financial SMFG is committed to ensuring financial\n\nsoundness through appropriate policy-making soundness through appropriate policy-making\n\nand business operations. At the same time, and business operations. At the same time,\n\nwe disclose corporate information in a we disclose corporate information in a\n\ntimely and precise way to shareholders and timely and precise way to shareholders and\n\nmarkets. We believe full disclosure not only markets. We believe full disclosure not only\n\nhelps foster a more correct understanding helps foster a more correct understanding\n\nand evaluation of the Group, but also and evaluation of the Group, but also\n\ncontributes to the development of sounder contributes to the development of sounder\n\nfinancial markets. financial markets.\n\nBased on this approach, SMFG goes Based on this approach, SMFG goes\n\nbeyond legal requirements in enriching its beyond legal requirements in enriching its\n\ndisclosure of information on management disclosure of information on management\n\npolicy and operational strategy. These policy and operational strategy. These\n\ninitiatives have won the support of many initiatives have won the support of many\n\nmarket participants. We were selected as market participants. We were selected as\n\na winner of the Awards for Excellence in a winner of the Awards for Excellence in\n\nCorporate Disclosure for fiscal 2011 by The Corporate Disclosure for fiscal 2011 by The\n\nSecurities Analysts Association of Japan. Securities Analysts Association of Japan.\n\nThe Group’s Principal SRI Funds\n\n■\n\n■\n\n■\n\nDow Jones Sustainability Index\n\nThis index was jointly developed by Dow Jones of the\n\nUnited States, and the Swiss SRI research company\n\nSAM Group. It was the first SRI index in the world.\n\nFTSE 4 Good Global Index Series\n\nThe FTSE 4 Good Global Index Series was created by\n\nFTSE International Limited, a joint venture set up by\n\nthe Financial Times newspaper of the United Kingdom\n\nand the London Stock Exchange.\n\nEthibel Sustainability Index\n\nAn index compiled by the Belgian SRI company Ethibel\n\nSRI Indexes on which SMFG is listed\n\nDow Jones Sustainability Asia/Pacific Index (DJSI Asia Pacific)\n\nDow Jones Sustainability Asia/Pacific 40 Index (DJSI Asia Pacific 40)\n\nFTSE4Good Global Index FTSE4Good Global 100 Index\n\nESI （ Ethibel Sustainability Index ） Excellence Global\n\n・\n\n・\n\n・ ・ ・\n\nExamples of Group disclosure activities\n\nQuarterly and interim financial reports, Quarterly and interim financial reports,\n\nresults announcements, securities results announcements, securities\n\nreports, legal disclosure statements, reports, legal disclosure statements,\n\nregular publications, etc. regular publications, etc.\n\nInvestor briefings twice a year Investor briefings twice a year\n\nConferences sponsored by securities Conferences sponsored by securities\n\ncompanies, etc., as needed companies, etc., as needed\n\nOnline conferences held as needed Online conferences held as needed\n\nAnnual and interim reports (in Japanese Annual and interim reports (in Japanese\n\nand English) and English)\n\nWe believe that the SMFG Group can contribute We believe that the SMFG Group can contribute\n\nfurther to the creation of a sustainable society further to the creation of a sustainable society\n\nthrough its activities in financial markets. through its activities in financial markets.\n\nFor example, SMBC Friend Securities markets For example, SMBC Friend Securities markets\n\n“Environmental Sustainability Bond” “Environmental Sustainability Bond” <sup>*1</sup> *1 while while\n\nSMBC Nikko Securities markets “WB Green SMBC Nikko Securities markets “WB Green\n\nBonds (Green Bonds)” Bonds (Green Bonds)” <sup>*2</sup> *2 . These are bonds . These are bonds\n\nfor fund procurement that are also intended for fund procurement that are also intended\n\nas tools for contributing to protecting and as tools for contributing to protecting and\n\nconserving the global environment. For conserving the global environment. For\n\ncustomers who wish to invest in companies customers who wish to invest in companies\n\nthat contribute to a sustainable society, that contribute to a sustainable society,\n\nwe offer a wide range of socially responsible we offer a wide range of socially responsible\n\ninvestment vehicles. investment vehicles.\n\nThe The Japan Research Institute analyzes applicant Japan Research Institute analyzes applicant\n\ncompanies’ corporate social responsibility companies’ corporate social responsibility\n\nactivities, and uses the information it gathers activities, and uses the information it gathers\n\nto create a basic file on companies managing to create a basic file on companies managing\n\nsocially responsible investment fund socially responsible investment funds <sup>*3</sup> *3 .\n\nIn November 2010, the Sumitomo Mitsui In November 2010, the Sumitomo Mitsui\n\nFinancial Group listed on the New York Financial Group listed on the New York\n\nStock Exchange. This move, we believe, not Stock Exchange. This move, we believe, not\n\nonly significantly increases convenience for only significantly increases convenience for\n\nour overseas shareholders and investors, our overseas shareholders and investors,\n\nbut also broadens our customer base as it but also broadens our customer base as it\n\nfurther increases the transparency of our further increases the transparency of our\n\nfinancial position. Listing on the New York financial position. Listing on the New York\n\nStock Exchange as a socially responsible Stock Exchange as a socially responsible\n\ncorporation accelerates our evolution into a corporation accelerates our evolution into a\n\nglobal player. global player.\n\n*1 In December 2010, SMBC Friend Securities sold a total of AUD25 million in “Environmental Sustainability Bond.”\n\n*2 This fund is provided by SMBC Nikko Securities under the full name Bond for Contributing to Environmental Protection.\n\n*3 As of the end of June 2011, approximately ¥63.5 billion in total had been invested in nine publicly offered socially responsible investment (SRI) trust funds.\n\nDate of opening Sold by\n\nSMBC Nikko Securities\n\nSumitomo Mitsui Banking Corporation\n\nSMBC Nikko Securities\n\nSMBC Nikko Securities\n\nSumitomo Mitsui Banking Corporation\n\nSMBC Nikko Securities\n\nSMBC Nikko Securities / Sumitomo Mitsui Banking Corporation\n\nSMBC Nikko Securities\n\nAug. 20, 1999\n\nMar. 14, 2006\n\nDec. 20, 2006\n\nAug. 31, 2007\n\nAug. 31, 2007\n\nApr. 28, 2009\n\nFeb. 19, 2010\n\nJun. 30, 2010\n\nNickname\n\nDouble Wing\n\nRising Tomorrow\n\nCool Earth\n\nGlobal Shift\n\nThe World Bank Green Fund\n\nBalance\n\nat March 31, 2011\n\n8,888\n\n1,494\n\n31,810\n\n12,810\n\n20,888\n\n14,935\n\n13,870\n\n1,230\n\nOfficial name of fund\n\nNikko Eco Fund\n\nSix-Asset Balanced Fund (distribution type, growth type)\n\nNikko DWS New Resource Fund\n\nUBS (JP) Climate Change Fund\n\nDWS New Resources Technology Fund\n\nNikko World Trust - Nikko Green New Deal Fund\n\n(JPY Non-hedged Class)/(JPY Hedged Class)\n\nSMBC Nikko World Bank Bond Fund\n\nUBS (JP) Global Smart Grid Fund\n\n(¥ million)\n\nSpecific Examples of CSR Activities\n\n**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report\n\n**Together with Our Shareholders**\n\n**and Markets**\n\n**Contributing to the development of sounder financial markets**\n\n**We aim to further**\n\n**strengthen communication**\n\n**with our shareholders**\n\n**and investors**\n\n**Together with our investors:**\n\n**Creating a platform for**\n\n**social contribution through**\n\n**the financial markets**\n\n**SMFG has listed**\n\n**its shares on SRI indexes**\n\n**Listing on the New York**\n\n**Stock Exchange**\n\nShareholders’ meeting\n\nmaterials\n\nInvestor briefing\n\nmaterials",
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- "text": "The SMFG Group supports environmental The SMFG Group supports environmental\n\nbusinesses in the rapidly growing markets of businesses in the rapidly growing markets of\n\nSoutheast Asia from various perspectives. Southeast Asia from various perspectives.\n\nFor example in Malaysia, SMBC signed an For example in Malaysia, SMBC signed an\n\noperational alliance on environmental operational alliance on environmental\n\nbusinesses with the Federation of Malaysian businesses with the Federation of Malaysian\n\nManufacturers in April 2010, and in October Manufacturers in April 2010, and in October\n\nthat year acted as main sponsor for Malaysia that year acted as main sponsor for Malaysia’s\n\nfirst large-scale international environmental first large-scale international environmental\n\nexhibition, International Greentech & Eco exhibition, International Greentech & Eco\n\nproducts Exhibition & Conference Malaysia products Exhibition & Conference Malaysia\n\n2010 (IGEM). At this event, a keynote 2010 (IGEM). At this event, a keynote\n\nspeech was given by Chairman Teisuke speech was given by Chairman Teisuke\n\nKitayama, and SMBC and Sumitomo Mitsui Kitayama, and SMBC and Sumitomo Mitsui\n\nFinance & Leasing opened booths. Finance & Leasing opened booths. The The\n\nexhibition, visited on successive days exhibition, visited on successive days by by\n\nMalaysia Malaysia’s King, prime minister, some of s King, prime minister, some of\n\nthe regional Kings of Malaysia, the regional Kings of Malaysia, and and\n\ncabinet ministers, raised awareness cabinet ministers, raised awareness of of\n\nenvironmental businesses in the nation. environmental businesses in the nation.\n\nAt the same time, in April 2011, the bank At the same time, in April 2011, the bank’s s\n\nMalaysia unit Sumitomo Mitsui Banking Malaysia unit Sumitomo Mitsui Banking\n\nCorporation Malaysia Berhad began Corporation Malaysia Berhad began\n\noperations. This unit is broadening support operations. This unit is broadening support\n\nmeasures to contribute to the development measures to contribute to the development\n\nof environmental businesses in Malaysia. of environmental businesses in Malaysia.\n\nMeanwhile, in August 2010, the Japan Meanwhile, in August 2010, the Japan\n\nResearch Institute, SMBC and a number of Research Institute, SMBC and a number of\n\nother companies publicly recruited by Japan other companies publicly recruited by Japan’s s\n\nNew Energy and Industrial Technology New Energy and Industrial Technology\n\nDevelopment Organization (NEDO) were Development Organization (NEDO) were\n\njointly commissioned to carry out basic jointly commissioned to carry out basic\n\nresearch into Malaysia research into Malaysia’s Green Township s Green Township\n\nconcept, a national town-planning project concept, a national town-planning project\n\nbacked by NEDO. backed by NEDO.\n\nLooking ahead, SMBC plans to jointly Looking ahead, SMBC plans to jointly\n\ncompile an action plan with the Malaysian compile an action plan with the Malaysian\n\ngovernment and related enterprises for government and related enterprises for\n\nestablishment of “green townships” based establishment of “green townships” based\n\non the cities Putrajaya and Cyberjaya Prime on the cities Putrajaya and Cyberjaya Prime\n\nMinister Najib Razak is promoting. It also Minister Najib Razak is promoting. It also\n\nplans to propose specific projects in the plans to propose specific projects in the\n\nconcept. concept.\n\nIn China, which emits more carbon dioxide In China, which emits more carbon dioxide\n\nthan any other country, finding ways of than any other country, finding ways of\n\npromoting new energy-saving measures promoting new energy-saving measures\n\nand restructuring industry have become and restructuring industry have become\n\npressing issues. pressing issues.\n\nThe Japan Research Institute has built up a The Japan Research Institute has built up a\n\nsuccessful track record in the course of its successful track record in the course of its\n\nadvisory activities in China, in joint research advisory activities in China, in joint research\n\ninto local-level microgrid construction at into local-level microgrid construction at\n\nthe Tianjin Eco-City, and in policy-making the Tianjin Eco-City, and in policy-making\n\nrelating to renewable energy management relating to renewable energy management\n\nsys systems and other areas. ems and other areas.\n\nIn partnership with the Guangdong Provincial In partnership with the Guangdong Provincial\n\nDepartment of Science and Technology, the Department of Science and Technology, the\n\nJapan Research Institute also advises Japan Research Institute also advises\n\ngovernment departments on system government departments on system\n\nestablishment for new energy-saving establishment for new energy-saving\n\nbusinesses. Guangdong is China businesses. Guangdong is China’s richest s richest\n\nprovince by gross provincial product, and province by gross provincial product, and\n\nhere both needs and potential in the field here both needs and potential in the field\n\nof energy-saving are very great. The Japan of energy-saving are very great. The Japan\n\nResearch Institute also supports industrial Research Institute also supports industrial\n\nrestructuring and low-carbon projects in the restructuring and low-carbon projects in the\n\nprovince through model projects. province through model projects.\n\nIn the battle against global warming, both In the battle against global warming, both\n\npublic and private sectors are facing mounting public and private sectors are facing mounting\n\npressure to curb carbon dioxide pollution from pressure to curb carbon dioxide pollution from\n\ntransportation, one of the major sources of transportation, one of the major sources of\n\nemissions. Against this backdrop, the Japan emissions. Against this backdrop, the Japan\n\nResearch Institute is supporting environmental Research Institute is supporting environmental\n\nbusinesses that map out pathways and businesses that map out pathways and\n\ndevelop projects, tailored to the needs of develop projects, tailored to the needs of\n\nparticular localities, to bring about a particular localities, to bring about a\n\nlow-carbon society. Experimental projects are low-carbon society. Experimental projects are\n\ncurrently underway in Kanagawa Prefecture, currently underway in Kanagawa Prefecture,\n\nSaitama Prefecture, Kyoto and Sapporo. Saitama Prefecture, Kyoto and Sapporo.\n\nThese initiatives are aimed at hastening the These initiatives are aimed at hastening the\n\nadoption of electric vehicles and car-sharing adoption of electric vehicles and car-sharing\n\nto cut carbon dioxide emissions. The Institute to cut carbon dioxide emissions. The Institute\n\nis working in cooperation with government is working in cooperation with government\n\nbodies, car-rental, commercial vehicle-leasing bodies, car-rental, commercial vehicle-leasing\n\nand parking-facility management companies, and parking-facility management companies,\n\nrailways, communications providers and railways, communications providers and\n\nother entities. other entities.\n\nElectric vehicles not only emit no carbon dioxide,\n\nbut offer a comfortable drive as well\n\nIGEM2010 greeted many visitors\n\nSumitomo Mitsui Financial Group CSR Report\n\n**Taking a leading role in**\n\n**environmental businesses**\n\n**in Asia**\n\n**Promoting energy-saving**\n\n**and low-emission**\n\n**industries in China**\n\n**Support for adoption of**\n\n**electric vehicles and**\n\n**car-sharing**\n\n**International initiatives in Asian countries and others**\n\n#### **Environmental**\n\n#### **Activities**\n\n**For further details, please see our website.**",
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- {
- "text": "## FINANCIAL SECTION\n\nFINANCIAL SECTION",
- "page_start": 69,
- "page_end": 69,
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- "text": "ⓒ UNICEF\n\nMozambique/Arild Drivdal\n\n**International cooperation begins at home**\n\nThe SMFG Group is engaged in a range of activities The SMFG Group is engaged in a range of activities\n\nthat contribute to development at both the regional that contribute to development at both the regional\n\nand international level. In addition to overseas units’ and international level. In addition to overseas units’\n\nindependent initiatives, which are geared to host independent initiatives, which are geared to host\n\ncountry issues and characteristics, the Group supports country issues and characteristics, the Group supports\n\nprojects that have contributed to achievement of the projects that have contributed to achievement of the\n\nUnited Nations’ global Millennium Development Goals, United Nations’ global Millennium Development Goals,\n\nsuch as poverty eradication, health improvement and such as poverty eradication, health improvement and\n\nstatus improvement for education and women in status improvement for education and women in\n\ndeveloping countries. Our support takes the form of developing countries. Our support takes the form of\n\ndonations to non-profit and non-governmental donations to non-profit and non-governmental\n\norganizations, through the employee volunteer fund. organizations, through the employee volunteer fund.\n\n(The map shows areas where fund money is used, (The map shows areas where fund money is used,\n\nmarked with a marked with a ★ symbol). Please see our website for symbol). Please see our website for\n\nmore details. more details.\n\nEurope & Africa Middle East & Asia North America\n\n**Scholarships at major universities 2**\n\n**2**\n\n**China**\n\nSumitomo Mitsui Banking Corporation (China) Limited Sumitomo Mitsui Banking Corporation (China) Limited\n\nestablished a scholarship program for students of Zhejiang established a scholarship program for students of Zhejiang\n\nUniversity, Shanghai Inter University, Shanghai Inter-\n\nnational Studies University, national Studies University,\n\nSun Yat-sen University, Sun Yat-sen University,\n\nand other universities. and other universities.\n\nSMBC Hong Kong Branch makes donations to the Asian SMBC Hong Kong Branch makes donations to the Asian\n\nYouth Orchestra (AYO), Youth Orchestra (AYO),\n\ncomprising young Asian comprising young Asian\n\nmusicians selected musicians selected\n\nthrough auditioning who through auditioning who\n\nperform all over Asia. perform all over Asia.\n\nAs a way of increasing understanding of Japanese culture, As a way of increasing understanding of Japanese culture,\n\nSMBC SMBC’s Seoul Branch donates funds to make possible the s Seoul Branch donates funds to make possible the\n\nholding of a competition holding of a competition\n\ninvolving theatrical perfor involving theatrical perfor-\n\nmances in the Japanese mances in the Japanese\n\nlanguage by South Korean language by South Korean\n\nstudents of Japanese. students of Japanese.\n\n**Donations to charity groups**\n\n**Europe**\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe Employees of Sumitomo Mitsui Banking Corporation Europe\n\n(SMBCE) conducted volunteer activities in their time off. (SMBCE) conducted volunteer activities in their time off.\n\nSMBCE contributes to charitable organizations through an SMBCE contributes to charitable organizations through an\n\nin-house fund and also uses a matching gifts program under in-house fund and also uses a matching gifts program under\n\nwhich it donates a which it donates a\n\ncertain amount for certain amount for\n\nevery donation made every donation made\n\nby its employees. by its employees.\n\n**Support for a South Korean students’**\n\n**Japanese-language theater competition**\n\n**1**\n\n**1**\n\n**South Korea**\n\n**Supporting performances**\n\n**by young Asian musicians**\n\n**3 Hong Kong**\n\nThe European office of the Japan Research Institute (JRI) The European office of the Japan Research Institute (JRI)\n\nmade a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech\n\ncontest. contest.\n\n**Donating furniture to**\n\n**welfare facilities**\n\n**6 Malaysia**\n\nSMBC SMBC’s Labuan Branch in s Labuan Branch in\n\nMalaysia, following its relocation, Malaysia, following its relocation,\n\ndonated desks, chairs and donated desks, chairs and\n\ncabinets to occupational training cabinets to occupational training\n\ncenters for the disabled. centers for the disabled.\n\n####### **Employees put school meals on the table**\n\n####### **through their purchases in staff canteens**\n\nSMBC and Sumitomo Mitsui Finance and Leasing SMBC and Sumitomo Mitsui Finance and Leasing\n\nhave a program that provides donations to the non have a program that provides donations to the non-\n\nprofit organization TABLE FOR TWO International to profit organization TABLE FOR TWO International to\n\nfund school meals in developing fund school meals in developing\n\ncountries, for every low-calorie countries, for every low-calorie\n\nmeal ordered for lunch. SMBC meal ordered for lunch. SMBC\n\nFriend Securities has also Friend Securities has also\n\ninstalled vending machines installed vending machines\n\nselling healthy drinks, donating selling healthy drinks, donating\n\npart of their sales to TABLE FOR part of their sales to TABLE FOR\n\nTWO International. TWO International.\n\n####### **Donation boxes for foreign currency coins**\n\nSMBC places donation boxes for foreign currency SMBC places donation boxes for foreign currency\n\ncoins at the entrances of all manned branches and coins at the entrances of all manned branches and\n\noffices in Japan, and sorts such collected coins by offices in Japan, and sorts such collected coins by\n\ncurrency for delivery to UNICEF. currency for delivery to UNICEF.\n\n####### **The SMBC Foundation**\n\n####### **for International Cooperation**\n\nThe SMBC Foundation for International Cooperation The SMBC Foundation for International Cooperation\n\nstrives to assist in developing the human resources strives to assist in developing the human resources\n\nnecessary to achieve sustainable growth in develop necessary to achieve sustainable growth in develop-\n\ning economies as well as to promote international ing economies as well as to promote international\n\nexchange activities. The foundation has provided exchange activities. The foundation has provided\n\nfinancial support for students from Asian countries financial support for students from Asian countries\n\neach year, enabling them to attend universities in each year, enabling them to attend universities in\n\nJapan. The foundation also offers subsidies to Japan. The foundation also offers subsidies to\n\nresearch institutes and researchers undertaking research institutes and researchers undertaking\n\nprojects related to developing countries. projects related to developing countries.\n\n**Supporting farming**\n\n**villages in the northeast**\n\n**5 Thailand**\n\n**Providing work**\n\n**experience to students**\n\n**4 Vietnam 7**\n\nBased in the United States, SMBC Global Foundation has Based in the United States, SMBC Global Foundation has\n\nprovided scholarships to more than 5,000 university students provided scholarships to more than 5,000 university students\n\nin Asian countries since its establishment in 1994. In the in Asian countries since its establishment in 1994. In the\n\nUnited States, it supports educational trips to Japan United States, it supports educational trips to Japan\n\norganized by a high school located in Harlem, New York City, organized by a high school located in Harlem, New York City,\n\nand volunteer employees of SMBC and JRI to participate in and volunteer employees of SMBC and JRI to participate in\n\nschool beautification programs. The foundation also provides school beautification programs. The foundation also provides\n\nmatching gifts for SMBC employees. matching gifts for SMBC employees.\n\n####### **Donation for a Japanese-language speech contest 8 Europe**\n\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank\n\nhas supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting\n\nchildren and improving children and improving\n\nthe water-supply and the water-supply and\n\nsanitary environment. sanitary environment.\n\n**UNICEF support initiatives 9 Mozambique**\n\n**SMBC GLOBAL FOUNDATION 10 The United States**\n\n**3**\n\n**6**\n\n**4**\n\n**5**\n\n**7 8**\n\n## **9**\n\n## **10**\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\nSMBC SMBC’s Bangkok Branch assisted s Bangkok Branch assisted\n\nfarmers by donating underground farmers by donating underground\n\nwater storage tanks and assisting water storage tanks and assisting\n\nwith vegetable planting and with vegetable planting and\n\nharvesting. harvesting.\n\nHigh school students from New York\n\nwho visited Japan on a study trip\n\nScholarship students at Sun Yat-sen University\n\nDonated furniture\n\nEmployee volunteers who participated in\n\nlandscape improvement projects\n\nPerforming a Japanese-language drama\n\nBank employees helped plant\n\nvegetables as volunteers\n\nPhotographs supplied by AYO\n\nScholarship award ceremony for university students in Vietnam\n\n*Please see this website\n\nfor further details (in\n\nJapanese):\n\nwww.smbc.co.jp/ccs/\n\nSumitomo Mitsui Financial Group CSR Report\n\n**Helping build prosperity**\n\n**in Asia and the world**\n\n#### **Social Contribution Activities**\n\n**For further details, please see our website.**\n\nSMBC SMBC’s Hanoi Branch provided s Hanoi Branch provided\n\ninternational school students international school students\n\nwith vocational experiences. with vocational experiences.",
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- "text": "At Sumitomo Mitsui Card, rare earths At Sumitomo Mitsui Card, rare earths\n\nextracted from IC chips from expired credit extracted from IC chips from expired credit\n\ncards are recycled. cards are recycled.\n\nAs part of its core leasing operations, As part of its core leasing operations,\n\nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is\n\nhelping reduce customers’ environmental helping reduce customers’ environmental\n\nSMBC jointly organizes the “eco japan cup,” an SMBC jointly organizes the “eco japan cup,” an\n\nenvironmental business contest, together with environmental business contest, together with\n\nthe Ministry of the Environment, the Ministry the Ministry of the Environment, the Ministry\n\nof Internal Affairs and of Internal Affairs and Communi Communications, cations,\n\nthe Ministry of Land, Infrastructure, he Ministry of Land, Infrastructure, Trans Trans-\n\nport and Tourism, Development Bank of port and Tourism, Development Bank of\n\nJapan Inc. and Environmental Business Japan Inc. and Environmental Business\n\nWomen. The competition has four major Women. The competition has four major\n\ncategories - business, culture, lifestyle, and categories - business, culture, lifestyle, and\n\npolicy-making. policy-making.\n\nIn eco japan cup 2010, the “SMBC Eco-Banking In eco japan cup 2010, the “SMBC Eco-Banking\n\nOffice Prize” was launched in the cultural Office Prize” was launched in the cultural\n\ndivision. Entries were solicited on creating division. Entries were solicited on creating\n\neco-friendly bank branches through envi eco-friendly bank branches through envi-\n\nronment protection measures including ronment protection measures including\n\nadvanced energy initiatives and reduction advanced energy initiatives and reduction\n\nof carbon dioxide. Some of the prize-winning of carbon dioxide. Some of the prize-winning\n\nproposals (for example, efficient use of proposals (for example, efficient use of\n\ntimber from forest thinning) have been timber from forest thinning) have been\n\nadopted at environment-friendly model adopted at environment-friendly model\n\nbranches that the bank is developing. branches that the bank is developing.\n\n* After intermediate processing, waste materials\n\nother than the rare earths and the cards with\n\nno IC chips are both sent off for final disposal,\n\nin conformity with established procedures.\n\nThe Eco-Products exhibition, held each The Eco-Products exhibition, held each\n\nDecember, is one of Japan December, is one of Japan’s largest envi s largest envi-\n\nronmental exhibitions. Under it, SMFG held ronmental exhibitions. Under it, SMFG held\n\nthe SMFG Environmental Business Forum, the SMFG Environmental Business Forum,\n\na unique event to which the whole SMFG a unique event to which the whole SMFG\n\nGroup contributed. Group contributed.\n\nThe SMFG Environmental Business Forum The SMFG Environmental Business Forum\n\nenables encounters and information enables encounters and information\n\nexchange in the field of environmental exchange in the field of environmental\n\nbusiness. SMFG and its Group companies business. SMFG and its Group companies\n\nprovide various platforms, including business provide various platforms, including business\n\nmatching events, stands and catalogue matching events, stands and catalogue\n\nexhibitions, and lectures and seminars, exhibitions, and lectures and seminars,\n\nwith the aim of giving new business with the aim of giving new business\n\nopportunities to companies and other opportunities to companies and other\n\norganizations that are considering entering organizations that are considering entering\n\nthe environmental business, expanding the environmental business, expanding\n\ntheir marketing channels within it, or just their marketing channels within it, or just\n\ngathering information. gathering information.\n\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare\n\nearth product per expired card. earth product per expired card.\n\nRare earths are special metals, unobtainable Rare earths are special metals, unobtainable\n\nin Japan, which are essential to in Japan, which are essential to PCs and s and\n\ncellphones, electric vehicles and solar power cellphones, electric vehicles and solar power\n\ngenerators. Given that Japan is dependent on generators. Given that Japan is dependent on\n\nimports for nearly its entire supply, we believe imports for nearly its entire supply, we believe\n\nrecycling rare earths is a worthwhile endeavor recycling rare earths is a worthwhile endeavor\n\nin terms of national energy policy. in terms of national energy policy.\n\nCard microcircuits that have become unusable Card microcircuits that have become unusable\n\ndue to changes in card design are collected due to changes in card design are collected\n\nfrom cards with IC chips, which are separated from cards with IC chips, which are separated\n\nfrom cards without IC chips. Both types are from cards without IC chips. Both types are\n\npulverized at the company pulverized at the company’s Shimura Center s Shimura Center\n\nin Tokyo and sealed separately in recycling in Tokyo and sealed separately in recycling\n\nbags, under supervision of a company official. bags, under supervision of a company official.\n\nThe bags are then sent off for processing by The bags are then sent off for processing by\n\nan outside company, which analyzes and an outside company, which analyzes and\n\npurifies the contents and then extracts the purifies the contents and then extracts the\n\nrare earths. rare earths.\n\nExpired\n\ncredit cards\n\nwith IC chips\n\nRecovery\n\nAnalysis\n\nand\n\npurification\n\nRare earth\n\nproduct\n\nBase metals, alloys,\n\nchemical products, etc. ( )\n\nRecycling and reuse of old equipment and machinery\n\nEnvironment-friendly model branches Environmental business matching\n\nEco-Products is one of Japan’s largest comprehensive environmental exhibitions\n\nload through measures such as “carbon load through measures such as “carbon\n\nneutral leases” (with carbon credits allocated neutral leases” (with carbon credits allocated\n\nin proportion to emission volumes of leased in proportion to emission volumes of leased\n\nassets) and leasing of environment-friendly assets) and leasing of environment-friendly\n\nand energy-saving equipment. and energy-saving equipment.\n\nLikewise, by trading used machinery and Likewise, by trading used machinery and\n\nsemiconductor- manufacturing equipment, semiconductor- manufacturing equipment,\n\nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is\n\nsupporting more efficient capital investment supporting more efficient capital investment\n\nby its customers, while itself evolving into a by its customers, while itself evolving into a\n\nrecycling-oriented, environment-friendly recycling-oriented, environment-friendly\n\ncompany. company.\n\n**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report\n\n**A new venue for confabs:**\n\n**SMFG Environmental**\n\n**Business Forum**\n\n**at Eco-Products**\n\n**The eco japan cup:**\n\n**“A Contest for Unearthing**\n\n**and Growing Seeds of**\n\n**New Businesses”**\n\n**Sumitomo Mitsui**\n\n**Finance & Leasing:**\n\n**Promoting recycling**\n\n**and reuse**\n\n**Recycling of rare earths**\n\n**used in smart cards**\n\n#### **Environmental**\n\n#### **Activities**\n\n**Committed to supporting environmental businesses, a CSR priority,**\n\n**through our core businesses**",
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- "query": "Did Katsutoshi Konuma participate in the August 2011 expert roundtable on the role of the Sumitomo Mitsui Financial Group's new Food and Agricultural Assessment Loan? ",
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- "target_passage": "Key comments of participants Together with Our Customers Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd",
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- "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group\n\nis fulfilling as we work to create a sustainable society.\n\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is\n\nthe essence of business itself, and our initiatives act upon this.\n\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s\n\nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report\n\n2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR\n\nactivities and statistical data omitted in the CSR Report 2011 (digest version).\n\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in\n\nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand\n\nour CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n**Editorial Policy**\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n**Our CSR reporting**\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n\n* Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international\n\norganization (GRI) in 1997 to encourage its adoption worldwide.\n\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\n\n**Reference guidelines**\n\n- Sumitomo Mitsui Financial Group, Inc.\n\n- Sumitomo Mitsui Banking Corporation\n\n- SMFG Card & Credit, Inc.\n\n- Sumitomo Mitsui Card Company, Limited\n\n- Cedyna Financial Corporation\n\n- Sumitomo Mitsui Finance and Leasing Co., Ltd.\n\n- The Japan Research Institute, Limited\n\n- SMBC Friend Securities Co., Ltd.\n\n- SMBC Nikko Securities Inc.\n\n- THE MINATO BANK, LTD.\n\n- Kansai Urban Banking Corporation\n\n- Other Group companies\n\n**Scope of this Report**\n\nThroughout this report, **“Sumitomo Mitsui Financial Group”** or **“SMFG”** refers to the holding company alone. **“The SMFG Group”**\n\nrefers to the holding company and its primary domestic and international subsidiaries and affiliates.\n\nCompany name abbreviations and other special terminology\n\n**About this Report**\n\n**Corporate Outline (as of September 30, 2011)**\n\nCompany Name\n\nBusiness Description\n\nEstablished\n\nHead Office\n\nChairman of the Board\n\nPresident\n\nCapital\n\nStock Exchange Listings\n\nSumitomo Mitsui Financial Group, Inc.\n\nManagement of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of\n\nnon-bank subsidiaries, as well as the performance of ancillary functions\n\nDecember 2, 2002\n\n1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan\n\nMasayuki Oku\n\nKoichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation)\n\n¥2,337.8 billion\n\nTokyo Stock Exchange (First Section)\n\nOsaka Securities Exchange (First Section)\n\nNagoya Stock Exchange (First Section)\n\n： ：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n**Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\nPeriod Covered\n\nPublication Date of\n\nJapanese Document\n\nContact\n\nCovers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies,\n\ncentered on specific examples centered on specific examples\n\nThis is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of\n\nCSR activities at SMFG CSR activities at SMFG\n\nCovers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed\n\ninformation on CSR activities information on CSR activities\n\n**CSR disclosure**\n\n**through**\n\n**specific examples**\n\n**Comprehensive**\n\n**disclosure of**\n\n**CSR activities**\n\n**Enriched**\n\n**CSR disclosure**\n\n：\n\n：\n\n：\n\nApril 1, 2010 to March 31, 2011 ( “Fiscal 2010” )\n\nNote: Certain items in this report refer to activities taking place after April 2011.\n\nDecember 2011\n\nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.\n\n1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005\n\nTEL: +81-3-3282-8111\n\nSumitomo Mitsui Sumitomo Mitsui\n\nBanking Corporation Banking Corporation\n\nSMBC Nikko Securities SMBC Nikko Securities ORIX Credit ORIX Credit PROMISE * PROMISE * Sumitomo Mitsui Card Sumitomo Mitsui Card Cedyna Cedyna\n\nSMFG Card & Credit SMFG Card & Credit Sumitomo Mitsui Sumitomo Mitsui\n\nFinance and Leasing Finance and Leasing\n\nThe Japan The Japan\n\nResearch Institute Research Institute SMBC Friend Securities SMBC Friend Securities\n\nDaiwa SB Investments Daiwa SB Investments\n\nSumitomo Mitsui Auto Service Sumitomo Mitsui Auto Service\n\n**SMFG SUMITOMO MITSUI FINANCIAL GROUP**\n\nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\n\n**CSR report 2011 (digest version)**\n\n**CSR report (online version, Japanese only)**\n\n**CSR report 2011**\n\n**(digest version with examples of activities and**\n\n**statistical performance, online PDF file)**\n\nwww.smfg.co.jp/responsibility\n\n29 **CSR REPORT 2011 CSR REPORT 2011** 30",
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- "text": "####### **President**\n\n####### **Sumitomo Mitsui Financial Group, Inc.**\n\n**INDEX**\n\n**Foreword**\n\n**Commitment from the Top**\n\n**A Conversation with Tadao Ando,**\n\n**Takeshi Kunibe and Koichi Miyata**\n\n**Our Mission and CSR at SMFG**\n\n〈 **Specific Examples of CSR Activities** 〉\n\n**Environmental Activities**\n\n**Social Contribution Activities**\n\n**Together with Our Customers**\n\n**Together with Our Shareholders**\n\n**and Markets**\n\n**Together with Our Employees**\n\n**1**\n\n**3**\n\n**Measures to Support Reconstruction**\n\n**after the March 11**\n\n**Earthquake and Tsunami 8**\n\n**11**\n\n**21**\n\n**Corporate Outline/Editorial Policy 29**\n\n**25**\n\n**13**\n\n**17**\n\n**19**\n\n**Priority Issues for Us 9**\n\n####### **What can we do now to spur the**\n\n####### **reconstruction and revitalization of Japan,**\n\n####### **and help resolve global issues?**\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and\n\nto the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami\n\nthat struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas. early recovery of the affected people and areas.\n\nSMFG is dedicated to seamlessly responding to clients’ needs by SMFG is dedicated to seamlessly responding to clients’ needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities,\n\noffering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of\n\nresponding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures,\n\nwe will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them. and society, and ourselves grow in partnership with them.\n\nThrough our basic policy of becoming “a globally competitive Through our basic policy of becoming “a globally competitive financial services group financial services group\n\nwith the highest trust of our clients, society and other stakeholders” with the highest trust of our clients, society and other stakeholders” by maximizing our core strengths of by maximizing our core strengths of\n\n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we “Spirit of Innovation,” “Speed” and “Solution & Execution,” we will continue to stay ahead of the times, will continue to stay ahead of the times,\n\nno matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment. business environment.\n\n## Today, Tomorrow and Beyond\n\n**Koichi Miyata**",
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- "text": "Sumitomo Mitsui Financial Group CSR Report\n\n**Digest version**\n\nwww.smfg.co.jp/english",
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- "text": "In fiscal 2010, 150 volunteers from the In fiscal 2010, 150 volunteers from the\n\nSMFG Group participated in beach cleanup SMFG Group participated in beach cleanup\n\nactivities in Kanagawa and Hyogo prefectures activities in Kanagawa and Hyogo prefectures\n\non “SMFG Clean-up Day.” This initiative is on “SMFG Clean-up Day.” This initiative is\n\nnot simply a matter of picking up garbage. It not simply a matter of picking up garbage. It\n\nalso involves inspections and analysis of also involves inspections and analysis of\n\ngarbage to identify pointers for providing garbage to identify pointers for providing\n\nsolutions for environmental issues in the solutions for environmental issues in the\n\nfuture. future.\n\nIn addition to beach cleanup activities in In addition to beach cleanup activities in\n\nChiba and Hyogo prefectures by SMBC Chiba and Hyogo prefectures by SMBC\n\nFriend Securities, Group companies of Friend Securities, Group companies of\n\nCedyna, Sumitomo Mitsui Finance & Leasing, Cedyna, Sumitomo Mitsui Finance & Leasing,\n\nthe Japan Research Institute and SMBC the Japan Research Institute and SMBC\n\nNikko Securities carry out ongoing cleanup Nikko Securities carry out ongoing cleanup\n\nand other activities in the areas around their and other activities in the areas around their\n\noffices and branches. offices and branches.\n\nThe Minato Bank and Kansai Urban Banking The Minato Bank and Kansai Urban Banking\n\nCorporation also engage in cleanup activities Corporation also engage in cleanup activities\n\naround Suma Beach and Lake Biwa, to around Suma Beach and Lake Biwa, to\n\nprotect the regional environment. protect the regional environment.\n\nCardholders and employees of Sumitomo Cardholders and employees of Sumitomo\n\nMitsui Card joined a literary social contribution Mitsui Card joined a literary social contribution\n\ninitiative by participating in the Books To initiative by participating in the Books To\n\nThe People 2010 project operated by BOOKOFF The People 2010 project operated by BOOKOFF\n\nCORP. This project aims to provide CORP. This project aims to provide environ environ-\n\nments in which children can read books in ments in which children can read books in\n\npurpose-built facilities, through donations to purpose-built facilities, through donations to\n\nRoom to Read, a non-governmental organi Room to Read, a non-governmental organi-\n\nzation that supports education in developing zation that supports education in developing\n\ncountries. These NGO donations are pegged countries. These NGO donations are pegged\n\nto total numbers of used books and other to total numbers of used books and other\n\nitems purchased by cardholders. Through items purchased by cardholders. Through\n\nthe Sumitomo Mitsui Card-operated online the Sumitomo Mitsui Card-operated online\n\nshopping mall POINT UP Mall, cardholders shopping mall POINT UP Mall, cardholders\n\nare encouraged to buy used books through are encouraged to buy used books through\n\nBOOKOFF, and employees collect and donate BOOKOFF, and employees collect and donate\n\nused books from their homes and companies. used books from their homes and companies.\n\nIn the fall of 2010, SMBC Nikko Securities In the fall of 2010, SMBC Nikko Securities\n\nestablished its “Green Week” for strength established its “Green Week” for strength-\n\nening environmental protection and social ening environmental protection and social\n\ncontribution activities, with the aim of contribution activities, with the aim of\n\npromoting communication within regional promoting communication within regional\n\nsociety and among participating employees society and among participating employees\n\nand their families, while deepening under and their families, while deepening under-\n\nstanding of environmental protection through standing of environmental protection through\n\nparticipation in social contribution activities. participation in social contribution activities.\n\nBetween November 13 and December 5, Between November 13 and December 5,\n\n2010, environmental protection programs 2010, environmental protection programs\n\nwere rolled out by cross-organizational were rolled out by cross-organizational\n\n“Green Committees” in four locations in “Green Committees” in four locations in\n\nJapan, with the participation of 280 employ Japan, with the participation of 280 employ-\n\nees and their families. In addition, regional ees and their families. In addition, regional\n\ncontribution activities were carried out by contribution activities were carried out by\n\nSMBC and SMBC Nikko Securities donate a SMBC and SMBC Nikko Securities donate a\n\nportion of the profits from marketing of the portion of the profits from marketing of the\n\nSMBC Nikko World Bank Bond Fund SMBC Nikko World Bank Bond Fund (“The “The\n\nWorld Bank Green Fund World Bank Green Fund”) to the Japanese ) to the Japanese\n\nRed Cross Society and the Japan Committee Red Cross Society and the Japan Committee\n\nfor UNICEF. for UNICEF.\n\nThis investment trust is the world This investment trust is the world’s first s first\n\nfund developed in cooperation with the fund developed in cooperation with the\n\nWorld Bank that invests in World Bank green World Bank that invests in World Bank green\n\nbonds, according to research by Nikko bonds, according to research by Nikko\n\nAsset Management Co., Ltd. Funds from Asset Management Co., Ltd. Funds from\n\nthe World Bank green bonds support only the World Bank green bonds support only\n\nWorld Bank-funded projects in developing World Bank-funded projects in developing\n\ncountries to mitigate global warming. countries to mitigate global warming.\n\nEnvironmental protection activities\n\n117 participants\n\nForestry management volunteering experience in Osaka\n\n(Izumi no Mori)\n\n62 participants\n\nVolunteers at the Shonan Erosion Control Forest project\n\n64 participants\n\nHelping clean up Senju Shinbashi bridge that spans Ara River\n\n37 participants\n\nHelping clean up Nishi Araibashi bridge that spans Ara River\n\nSocial contribution collection activities\n\n11.4 kg of stamps were collected\n\nSupport for overseas causes through used-stamp collection\n\n788 ballpoint pens and pencils\n\nPresentation of stationery to children in developing countries\n\n168.9 kg (enough to vaccinate 84.45 people against polio)\n\nVaccine donation from the collection of PET bottle caps\n\nActivities organized by branches\n\nAccepting middle school students\n\nfor workplace experience programs\n\nMatsudo Branch\n\nAbekawa River driftwood-clearing festival\n\nShizuoka Branch\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated\n\nEmployees and their families pitch in to clean up\n\nthe bed of the Ara River in Tokyo\n\nCollection box for used books and other items\n\ninstalled in an employee canteen Supporting education in developing countries\n\nRegional contribution activities at the branch level\n\nCollection of PET bottle caps\n\nfor international contribution purposes Donating to Japan Committee for UNICEF\n\nDonating to the Japanese Red Cross\n\nPromoting usage through\n\nthe point-allocation system Donation of used books\n\nBuilding libraries in developing countries\n\nthrough the NGO Room to Read\n\nBuying used books\n\nPurchase price\n\nbranches at their own initiative. A wide variety branches at their own initiative. A wide variety\n\nof social contribution activities, such as the of social contribution activities, such as the\n\ncollection of used stamps and PET bottle collection of used stamps and PET bottle\n\ncaps, were carried out for global causes. caps, were carried out for global causes.\n\nSMBC Nikko Securities will continue activi SMBC Nikko Securities will continue activi-\n\nties that contribute to society and prioritize ties that contribute to society and prioritize\n\ncommunication between employees. communication between employees.\n\nAccepting middle school students\n\nfor workplace experience programs\n\nSendai Branch\n\nPOINT UP Mall Sumitomo Mitsui\n\nCard staff\n\nBOOKOFF CORP Group\n\nSumitomo Mitsui\n\nCardholders\n\n*Research by Nikko Asset Management Co., Ltd.\n\nSumitomo Mitsui Financial Group CSR Report\n\n**SMFG and**\n\n**its Group companies**\n\n**participate in neighborhood**\n\n**cleanup programs**\n\n**Donations through**\n\n**“The World Bank**\n\n**Green Fund”**\n\n**SMBC Nikko Securities’**\n\n**“Green Week”**\n\n**Supporting education in**\n\n**developing countries,**\n\n**together with our customers**\n\n**and employees**\n\n**SMFG as a corporate citizen: Working to create a prosperous society for all**\n\n#### **Social Contribution**\n\n#### **Activities**\n\n**For further details,**\n\n**please see our website.**\n\nMitsui Sumitomo VISA Card",
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- "text": "Mitsui Charity Hospital at its establishment Mitsui Charity Hospital at its establishment\n\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And today And today\n\n**Reconstruction after the earthquake and tsunami**\n\n**Measures for Japan’s regeneration**\n\n####### **Further measures needed**\n\n**Shrinking and aging population**\n\n**Ensuring peace of mind for the future**\n\n**Environmental measures**\n\n**Creating systems for sustainability Global challenges**\n\n**Symbiosis and diversity**\n\nThe March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power\n\ngeneration capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition\n\nto the severe damage sustained by agriculture and fisheries in the Northeast. to the severe damage sustained by agriculture and fisheries in the Northeast.\n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as The disaster also threw into relief many social issues facing the nation. By leveraging our role as\n\na leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the\n\nenormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders\n\nincluding enterprises, local governments and non-profit organizations. including enterprises, local governments and non-profit organizations.\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively\n\nleverage its role as a leading financial services group. This is a priority field for the future. leverage its role as a leading financial services group. This is a priority field for the future.\n\nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but\n\nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to\n\ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired contribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired\n\ntechnological breakthroughs, with a particular focus on the Asian region. technological breakthroughs, with a particular focus on the Asian region.\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create\n\nframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle\n\nplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound\n\nbalance between work and care needs, given that many group employees will later need to nurse ailing relatives. balance between work and care needs, given that many group employees will later need to nurse ailing relatives.\n\n-\n\n-\n\n-\n\nWide-ranging financial support for the reconstruction of infrastructure Wide-ranging financial support for the reconstruction of infrastructure\n\nOngoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers\n\nComprehensive support for industrial recovery in partnership with local governments and Comprehensive support for industrial recovery in partnership with local governments and\n\nfinancial institutions in the disaster-affected areas financial institutions in the disaster-affected areas\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its\n\noperations both in Japan and overseas. Initiatives include aggressive development of advisory operations both in Japan and overseas. Initiatives include aggressive development of advisory\n\nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, services for infrastructure upgrades in emerging economies, a cross-departmental endeavor,\n\nas well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly\n\nthrough branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international\n\ncommunity so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nGive further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas\n\nreduction, water supply, new energy and resource initiatives reduction, water supply, new energy and resource initiatives\n\nDo more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a\n\nfinancial institution financial institution\n\nShare our information assets and know-how globally in the Share our information assets and know-how globally in the\n\nenvironmental business environmental business\n\n*Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nSupport businesses involved in health, medical and Support businesses involved in health, medical and\n\nnursing care nursing care\n\nExpand range of financial products and services for the Expand range of financial products and services for the\n\nelderly (planning for asset management for old age) elderly (planning for asset management for old age)\n\nFoster a better work-life balance Foster a better work-life balance\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nShare expertise in corporate social responsibility Share expertise in corporate social responsibility\n\nwith the international community with the international community\n\nImprove financial services in preparation for the Improve financial services in preparation for the\n\nglobalization of operations in Japan (multilingual globalization of operations in Japan (multilingual\n\nsupport) support)\n\nPromote diversity Promote diversity\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation\n\nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper\n\nmine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to\n\ngive the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this\n\ncorporate social responsibility corporate social responsibility DNA embedded in the business DNA embedded in the business\n\nphilosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400\n\nyears of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving\n\nproblems facing the international problems facing the international community through our financial community through our financial\n\nservice service operations. operations.\n\n**Priority Issues for Us** As one of Japa As one of Japan’s leading financial services groups, s leading financial services groups,\n\nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues\n\nwe have identified as significantly impacting the nation. we have identified as significantly impacting the nation.",
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- "text": "The SMFG Group supports environmental The SMFG Group supports environmental\n\nbusinesses in the rapidly growing markets of businesses in the rapidly growing markets of\n\nSoutheast Asia from various perspectives. Southeast Asia from various perspectives.\n\nFor example in Malaysia, SMBC signed an For example in Malaysia, SMBC signed an\n\noperational alliance on environmental operational alliance on environmental\n\nbusinesses with the Federation of Malaysian businesses with the Federation of Malaysian\n\nManufacturers in April 2010, and in October Manufacturers in April 2010, and in October\n\nthat year acted as main sponsor for Malaysia that year acted as main sponsor for Malaysia’s\n\nfirst large-scale international environmental first large-scale international environmental\n\nexhibition, International Greentech & Eco exhibition, International Greentech & Eco\n\nproducts Exhibition & Conference Malaysia products Exhibition & Conference Malaysia\n\n2010 (IGEM). At this event, a keynote 2010 (IGEM). At this event, a keynote\n\nspeech was given by Chairman Teisuke speech was given by Chairman Teisuke\n\nKitayama, and SMBC and Sumitomo Mitsui Kitayama, and SMBC and Sumitomo Mitsui\n\nFinance & Leasing opened booths. Finance & Leasing opened booths. The The\n\nexhibition, visited on successive days exhibition, visited on successive days by by\n\nMalaysia Malaysia’s King, prime minister, some of s King, prime minister, some of\n\nthe regional Kings of Malaysia, the regional Kings of Malaysia, and and\n\ncabinet ministers, raised awareness cabinet ministers, raised awareness of of\n\nenvironmental businesses in the nation. environmental businesses in the nation.\n\nAt the same time, in April 2011, the bank At the same time, in April 2011, the bank’s s\n\nMalaysia unit Sumitomo Mitsui Banking Malaysia unit Sumitomo Mitsui Banking\n\nCorporation Malaysia Berhad began Corporation Malaysia Berhad began\n\noperations. This unit is broadening support operations. This unit is broadening support\n\nmeasures to contribute to the development measures to contribute to the development\n\nof environmental businesses in Malaysia. of environmental businesses in Malaysia.\n\nMeanwhile, in August 2010, the Japan Meanwhile, in August 2010, the Japan\n\nResearch Institute, SMBC and a number of Research Institute, SMBC and a number of\n\nother companies publicly recruited by Japan other companies publicly recruited by Japan’s s\n\nNew Energy and Industrial Technology New Energy and Industrial Technology\n\nDevelopment Organization (NEDO) were Development Organization (NEDO) were\n\njointly commissioned to carry out basic jointly commissioned to carry out basic\n\nresearch into Malaysia research into Malaysia’s Green Township s Green Township\n\nconcept, a national town-planning project concept, a national town-planning project\n\nbacked by NEDO. backed by NEDO.\n\nLooking ahead, SMBC plans to jointly Looking ahead, SMBC plans to jointly\n\ncompile an action plan with the Malaysian compile an action plan with the Malaysian\n\ngovernment and related enterprises for government and related enterprises for\n\nestablishment of “green townships” based establishment of “green townships” based\n\non the cities Putrajaya and Cyberjaya Prime on the cities Putrajaya and Cyberjaya Prime\n\nMinister Najib Razak is promoting. It also Minister Najib Razak is promoting. It also\n\nplans to propose specific projects in the plans to propose specific projects in the\n\nconcept. concept.\n\nIn China, which emits more carbon dioxide In China, which emits more carbon dioxide\n\nthan any other country, finding ways of than any other country, finding ways of\n\npromoting new energy-saving measures promoting new energy-saving measures\n\nand restructuring industry have become and restructuring industry have become\n\npressing issues. pressing issues.\n\nThe Japan Research Institute has built up a The Japan Research Institute has built up a\n\nsuccessful track record in the course of its successful track record in the course of its\n\nadvisory activities in China, in joint research advisory activities in China, in joint research\n\ninto local-level microgrid construction at into local-level microgrid construction at\n\nthe Tianjin Eco-City, and in policy-making the Tianjin Eco-City, and in policy-making\n\nrelating to renewable energy management relating to renewable energy management\n\nsys systems and other areas. ems and other areas.\n\nIn partnership with the Guangdong Provincial In partnership with the Guangdong Provincial\n\nDepartment of Science and Technology, the Department of Science and Technology, the\n\nJapan Research Institute also advises Japan Research Institute also advises\n\ngovernment departments on system government departments on system\n\nestablishment for new energy-saving establishment for new energy-saving\n\nbusinesses. Guangdong is China businesses. Guangdong is China’s richest s richest\n\nprovince by gross provincial product, and province by gross provincial product, and\n\nhere both needs and potential in the field here both needs and potential in the field\n\nof energy-saving are very great. The Japan of energy-saving are very great. The Japan\n\nResearch Institute also supports industrial Research Institute also supports industrial\n\nrestructuring and low-carbon projects in the restructuring and low-carbon projects in the\n\nprovince through model projects. province through model projects.\n\nIn the battle against global warming, both In the battle against global warming, both\n\npublic and private sectors are facing mounting public and private sectors are facing mounting\n\npressure to curb carbon dioxide pollution from pressure to curb carbon dioxide pollution from\n\ntransportation, one of the major sources of transportation, one of the major sources of\n\nemissions. Against this backdrop, the Japan emissions. Against this backdrop, the Japan\n\nResearch Institute is supporting environmental Research Institute is supporting environmental\n\nbusinesses that map out pathways and businesses that map out pathways and\n\ndevelop projects, tailored to the needs of develop projects, tailored to the needs of\n\nparticular localities, to bring about a particular localities, to bring about a\n\nlow-carbon society. Experimental projects are low-carbon society. Experimental projects are\n\ncurrently underway in Kanagawa Prefecture, currently underway in Kanagawa Prefecture,\n\nSaitama Prefecture, Kyoto and Sapporo. Saitama Prefecture, Kyoto and Sapporo.\n\nThese initiatives are aimed at hastening the These initiatives are aimed at hastening the\n\nadoption of electric vehicles and car-sharing adoption of electric vehicles and car-sharing\n\nto cut carbon dioxide emissions. The Institute to cut carbon dioxide emissions. The Institute\n\nis working in cooperation with government is working in cooperation with government\n\nbodies, car-rental, commercial vehicle-leasing bodies, car-rental, commercial vehicle-leasing\n\nand parking-facility management companies, and parking-facility management companies,\n\nrailways, communications providers and railways, communications providers and\n\nother entities. other entities.\n\nElectric vehicles not only emit no carbon dioxide,\n\nbut offer a comfortable drive as well\n\nIGEM2010 greeted many visitors\n\nSumitomo Mitsui Financial Group CSR Report\n\n**Taking a leading role in**\n\n**environmental businesses**\n\n**in Asia**\n\n**Promoting energy-saving**\n\n**and low-emission**\n\n**industries in China**\n\n**Support for adoption of**\n\n**electric vehicles and**\n\n**car-sharing**\n\n**International initiatives in Asian countries and others**\n\n#### **Environmental**\n\n#### **Activities**\n\n**For further details, please see our website.**",
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- "text": "At Sumitomo Mitsui Card, rare earths At Sumitomo Mitsui Card, rare earths\n\nextracted from IC chips from expired credit extracted from IC chips from expired credit\n\ncards are recycled. cards are recycled.\n\nAs part of its core leasing operations, As part of its core leasing operations,\n\nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is\n\nhelping reduce customers’ environmental helping reduce customers’ environmental\n\nSMBC jointly organizes the “eco japan cup,” an SMBC jointly organizes the “eco japan cup,” an\n\nenvironmental business contest, together with environmental business contest, together with\n\nthe Ministry of the Environment, the Ministry the Ministry of the Environment, the Ministry\n\nof Internal Affairs and of Internal Affairs and Communi Communications, cations,\n\nthe Ministry of Land, Infrastructure, he Ministry of Land, Infrastructure, Trans Trans-\n\nport and Tourism, Development Bank of port and Tourism, Development Bank of\n\nJapan Inc. and Environmental Business Japan Inc. and Environmental Business\n\nWomen. The competition has four major Women. The competition has four major\n\ncategories - business, culture, lifestyle, and categories - business, culture, lifestyle, and\n\npolicy-making. policy-making.\n\nIn eco japan cup 2010, the “SMBC Eco-Banking In eco japan cup 2010, the “SMBC Eco-Banking\n\nOffice Prize” was launched in the cultural Office Prize” was launched in the cultural\n\ndivision. Entries were solicited on creating division. Entries were solicited on creating\n\neco-friendly bank branches through envi eco-friendly bank branches through envi-\n\nronment protection measures including ronment protection measures including\n\nadvanced energy initiatives and reduction advanced energy initiatives and reduction\n\nof carbon dioxide. Some of the prize-winning of carbon dioxide. Some of the prize-winning\n\nproposals (for example, efficient use of proposals (for example, efficient use of\n\ntimber from forest thinning) have been timber from forest thinning) have been\n\nadopted at environment-friendly model adopted at environment-friendly model\n\nbranches that the bank is developing. branches that the bank is developing.\n\n* After intermediate processing, waste materials\n\nother than the rare earths and the cards with\n\nno IC chips are both sent off for final disposal,\n\nin conformity with established procedures.\n\nThe Eco-Products exhibition, held each The Eco-Products exhibition, held each\n\nDecember, is one of Japan December, is one of Japan’s largest envi s largest envi-\n\nronmental exhibitions. Under it, SMFG held ronmental exhibitions. Under it, SMFG held\n\nthe SMFG Environmental Business Forum, the SMFG Environmental Business Forum,\n\na unique event to which the whole SMFG a unique event to which the whole SMFG\n\nGroup contributed. Group contributed.\n\nThe SMFG Environmental Business Forum The SMFG Environmental Business Forum\n\nenables encounters and information enables encounters and information\n\nexchange in the field of environmental exchange in the field of environmental\n\nbusiness. SMFG and its Group companies business. SMFG and its Group companies\n\nprovide various platforms, including business provide various platforms, including business\n\nmatching events, stands and catalogue matching events, stands and catalogue\n\nexhibitions, and lectures and seminars, exhibitions, and lectures and seminars,\n\nwith the aim of giving new business with the aim of giving new business\n\nopportunities to companies and other opportunities to companies and other\n\norganizations that are considering entering organizations that are considering entering\n\nthe environmental business, expanding the environmental business, expanding\n\ntheir marketing channels within it, or just their marketing channels within it, or just\n\ngathering information. gathering information.\n\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare\n\nearth product per expired card. earth product per expired card.\n\nRare earths are special metals, unobtainable Rare earths are special metals, unobtainable\n\nin Japan, which are essential to in Japan, which are essential to PCs and s and\n\ncellphones, electric vehicles and solar power cellphones, electric vehicles and solar power\n\ngenerators. Given that Japan is dependent on generators. Given that Japan is dependent on\n\nimports for nearly its entire supply, we believe imports for nearly its entire supply, we believe\n\nrecycling rare earths is a worthwhile endeavor recycling rare earths is a worthwhile endeavor\n\nin terms of national energy policy. in terms of national energy policy.\n\nCard microcircuits that have become unusable Card microcircuits that have become unusable\n\ndue to changes in card design are collected due to changes in card design are collected\n\nfrom cards with IC chips, which are separated from cards with IC chips, which are separated\n\nfrom cards without IC chips. Both types are from cards without IC chips. Both types are\n\npulverized at the company pulverized at the company’s Shimura Center s Shimura Center\n\nin Tokyo and sealed separately in recycling in Tokyo and sealed separately in recycling\n\nbags, under supervision of a company official. bags, under supervision of a company official.\n\nThe bags are then sent off for processing by The bags are then sent off for processing by\n\nan outside company, which analyzes and an outside company, which analyzes and\n\npurifies the contents and then extracts the purifies the contents and then extracts the\n\nrare earths. rare earths.\n\nExpired\n\ncredit cards\n\nwith IC chips\n\nRecovery\n\nAnalysis\n\nand\n\npurification\n\nRare earth\n\nproduct\n\nBase metals, alloys,\n\nchemical products, etc. ( )\n\nRecycling and reuse of old equipment and machinery\n\nEnvironment-friendly model branches Environmental business matching\n\nEco-Products is one of Japan’s largest comprehensive environmental exhibitions\n\nload through measures such as “carbon load through measures such as “carbon\n\nneutral leases” (with carbon credits allocated neutral leases” (with carbon credits allocated\n\nin proportion to emission volumes of leased in proportion to emission volumes of leased\n\nassets) and leasing of environment-friendly assets) and leasing of environment-friendly\n\nand energy-saving equipment. and energy-saving equipment.\n\nLikewise, by trading used machinery and Likewise, by trading used machinery and\n\nsemiconductor- manufacturing equipment, semiconductor- manufacturing equipment,\n\nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is\n\nsupporting more efficient capital investment supporting more efficient capital investment\n\nby its customers, while itself evolving into a by its customers, while itself evolving into a\n\nrecycling-oriented, environment-friendly recycling-oriented, environment-friendly\n\ncompany. company.\n\n**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report\n\n**A new venue for confabs:**\n\n**SMFG Environmental**\n\n**Business Forum**\n\n**at Eco-Products**\n\n**The eco japan cup:**\n\n**“A Contest for Unearthing**\n\n**and Growing Seeds of**\n\n**New Businesses”**\n\n**Sumitomo Mitsui**\n\n**Finance & Leasing:**\n\n**Promoting recycling**\n\n**and reuse**\n\n**Recycling of rare earths**\n\n**used in smart cards**\n\n#### **Environmental**\n\n#### **Activities**\n\n**Committed to supporting environmental businesses, a CSR priority,**\n\n**through our core businesses**",
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- "text": "The Minato Bank has created a position The Minato Bank has created a position\n\ntitled “Service Care Manager” at each of titled “Service Care Manager” at each of\n\nits branches, filled by at least one branch its branches, filled by at least one branch\n\nmanagerial staffer, as part of measures to managerial staffer, as part of measures to\n\nmake branch visits more pleasant for make branch visits more pleasant for\n\ncustomers, following earlier nuts-and-bolts customers, following earlier nuts-and-bolts\n\nimprovements. improvements.\n\nService Care Managers are dedicated to Service Care Managers are dedicated to\n\nimproving support and services for the improving support and services for the\n\ncustomer at each branch. Their training customer at each branch. Their training\n\nincludes simulations of the problems faced includes simulations of the problems faced\n\nby persons with disabilities, awareness by persons with disabilities, awareness\n\nraising and support methods for the elderly raising and support methods for the elderly\n\nand persons with disabilities. and persons with disabilities.\n\nFor many years, food supply networks in For many years, food supply networks in\n\nJapan were premised on mass production and Japan were premised on mass production and\n\nmass consumption, enabling the country to mass consumption, enabling the country to\n\nmeet soaring food demand at a time of rapid meet soaring food demand at a time of rapid\n\ngrowth in the population and economy. growth in the population and economy.\n\nBut in recent years, consumers have come to But in recent years, consumers have come to\n\nplace more priority on factors other than place more priority on factors other than\n\nvolume and price, such as food safety and volume and price, such as food safety and\n\nhealthiness, and the cultural aspects of diet. healthiness, and the cultural aspects of diet.\n\nAs discussion continues on the need for As discussion continues on the need for\n\nfarmers to increase production scale and farmers to increase production scale and\n\nmove into processing and marketing, major move into processing and marketing, major\n\nchanges are underway in the agriculture and changes are underway in the agriculture and\n\nfisheries sector in Japan. fisheries sector in Japan.\n\nAgainst this backdrop, SMBC has developed Against this backdrop, SMBC has developed\n\na new financial product for this sector. a new financial product for this sector.\n\n**New queue-number display system**\n\n**installed at bank counters**\n\nColors and special designs are used to make\n\nqueue-number displays more visible to all customers\n\n(The Minato Bank)\n\nSpecific Examples of CSR Activities\n\n**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report\n\nThe SMBC Food and Agricultural Assessment The SMBC Food and Agricultural Assessment\n\nLoan comes with conditions, depending on Loan comes with conditions, depending on\n\nthe results of an evaluation of food-producers’ the results of an evaluation of food-producers’\n\nprogress in areas such as food safety and progress in areas such as food safety and\n\nenvironment-friendliness, healthiness and environment-friendliness, healthiness and\n\nnutritional value, and efficiency of distribution. nutritional value, and efficiency of distribution.\n\nThe Japan Research Institute researches The Japan Research Institute researches\n\nmeasures in the measures in the\n\nareas areas of food and of food and\n\nfarming being taken farming being taken\n\nby the loan applicant, by the loan applicant,\n\nand drafts a simple and drafts a simple\n\n“diagnosis” stating “diagnosis” stating\n\nwhether there is room whether there is room\n\nfor future improvement. Ernst & Young for future improvement. Ernst & Young\n\nShinNihon LLC provides expert opinions on ShinNihon LLC provides expert opinions on\n\nongoing improvement of this system. ongoing improvement of this system.\n\nBy backing customer companies’ own By backing customer companies’ own\n\ninitiatives in the areas of food and agriculture initiatives in the areas of food and agriculture\n\nin this way, SMBC will be supporting measures in this way, SMBC will be supporting measures\n\nto improve the diet of the Japanese and to improve the diet of the Japanese and\n\nstrengthen the agriculture and fisheries sector. strengthen the agriculture and fisheries sector.\n\n**The financial sector’s role in**\n\n**improving the nation’s diet and**\n\n**in strengthening the agricultural**\n\n**and fisheries sectors**\n\n**Roundtable session: SMBC Food and Agricultural Assessment Loan**\n\n**Making banking**\n\n**a more pleasant experience**\n\n**for all customers**\n\n**Peace of mind**\n\n**at the bank counter**\n\n**Preparing our businesses**\n\n**for a higher old-age**\n\n**dependency ratio**\n\nWith the old-age dependency ratio soaring, With the old-age dependency ratio soaring,\n\nthe SMFG Group aims to provide friendly, the SMFG Group aims to provide friendly,\n\neasy-to-use banking services for all its easy-to-use banking services for all its\n\ncustomers. customers.\n\nSome Group companies are likewise making Some Group companies are likewise making\n\ntheir facilities barrier-free at bank branches their facilities barrier-free at bank branches\n\nwith large numbers of customers, to tailor with large numbers of customers, to tailor\n\nservices to the needs of all customers. services to the needs of all customers.\n\nFor example at the Minato Bank, we have For example at the Minato Bank, we have\n\nequipped all ATMs at all our branches and equipped all ATMs at all our branches and\n\ncashpoints with voice-guidance handsets for cashpoints with voice-guidance handsets for\n\nthe visually impaired. the visually impaired.\n\nIn addition, we have set up priority seating In addition, we have set up priority seating\n\nin the lobby of each of our branches for in the lobby of each of our branches for\n\ncustomers who are very old or who have customers who are very old or who have\n\nmobility problems. We are also steadily mobility problems. We are also steadily\n\nintroducing queue-number displays using introducing queue-number displays using\n\nColor Universal Design (CUD) principles, Color Universal Design (CUD) principles,\n\nwhich are easier to read for customers with which are easier to read for customers with\n\neyesight concerns. eyesight concerns. A roundtable session with experts held in August 2011\n\nconsidered the role of the new SMBC Food and Agricultural\n\nAssessment Loan in improving the food supply chain that\n\nlinks food and fishery producers with food processors and\n\nconsumers. Opinions were also exchanged on what other\n\nfuture role the bank might assume in this regard, given\n\nthe current situation and issues facing the food industry\n\nand agriculture\n\nin Japan.\n\n“We want to deliver value by creating demand and quality combined with safety, peace\n\nof mind and trust.”\n\nA further measure is installation of handheld A further measure is installation of handheld\n\nhearing support devices at all branches hearing support devices at all branches\n\n(except housing loan promotion offices), to (except housing loan promotion offices), to\n\nallay the concerns of hearing-impaired allay the concerns of hearing-impaired\n\ncustomers who find it difficult to converse customers who find it difficult to converse\n\nand follow spoken instructions. By using the and follow spoken instructions. By using the\n\ndevices as communication tools, bank devices as communication tools, bank\n\nemployees can respect customer privacy employees can respect customer privacy\n\nand do not have to talk loudly. and do not have to talk loudly.\n\nFurther measures include posting of “green Further measures include posting of “green\n\near” logos at branches to reassure customers ear” logos at branches to reassure customers\n\nthat the bank has facilities for conversing that the bank has facilities for conversing\n\nin in writing. All branches are being equipped writing. All branches are being equipped\n\nwith white boards and special message with white boards and special message\n\ntablets for dialogue with customers who ablets for dialogue with customers who\n\nhave concerns about their hearing and who have concerns about their hearing and who\n\ndislike written conversations. dislike written conversations.\n\nHandheld hearing support device\n\n(The Minato Bank)\n\nTelephone handset-type ATM\n\n(The Minato Bank)\n\n####### **Key comments of participants**\n\n#### **Together with Our Customers**\n\nKatsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd.\n\n“Eating should be something that generates emotion. New potential exists in the world of cuisine.”\n\nYasuhiro Nakashima Associate Professor Graduate School of Agricultural and Life Sciences,\n\nThe University of Tokyo\n\n“As consumer tastes go through a time of great change, I think it is important to\n\nprioritize ingredients and the attitude of customers toward eating.”\n\nDaisuke Yamamoto, Vice Senior Consultant, Research Department,\n\nThe Japan Research Institute, Limited\n\n“An important concept is multilateral dialogue as the number of parties involved in food\n\nproduction increases throughout the supply chain.”\n\nYoichiro Fukayama, Planning Dept., Deputy Head (with powers of representation) of\n\nthe Corporate Banking Unit & Middle Market Banking Unit, SMBC\n\nModerated by Kenji Sawami, Partner, Ernst & Young ShinNihon LLC\n\n**For further details, please see our website.**\n\nIn addition to removing mobility barriers at In addition to removing mobility barriers at\n\nbranches, the bank plans to aggressively branches, the bank plans to aggressively\n\nsupport installation of facilities needed to support installation of facilities needed to\n\ncope with the rapidly rising old-age cope with the rapidly rising old-age\n\ndependency ratio. As a first step, SMBC dependency ratio. As a first step, SMBC\n\nhas established clear guidelines for has established clear guidelines for\n\nsupporting the construction of rental supporting the construction of rental\n\nhousing for the elderly, expected to be a housing for the elderly, expected to be a\n\nfuture growth area. future growth area.\n\nWhile continuing to tailor business While continuing to tailor business\n\nactivities to the needs of the community at activities to the needs of the community at\n\nlarge and ensuring a friendly banking large and ensuring a friendly banking\n\nenvironment for our customers, the SMFG environment for our customers, the SMFG\n\nGroup also plans to support the creation of Group also plans to support the creation of\n\nframeworks that enable the elderly to live frameworks that enable the elderly to live\n\nactive lives with peace of mind. active lives with peace of mind.\n\n**We work as a team to improve customer satisfaction and product quality, and, while supporting the customer,**\n\n**contribute to the sustainable development of society as a whole.**\n\n14",
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- "source_file": "NYSE_SMFG_2011.pdf"
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- "text": "9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (“WPFP”), tax-qualified\n\npension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts\n\nof which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain\n\nforeign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as\n\nof March 31, 2005 and 2004 for the Company’s and the consolidated subsidiaries’ defined benefit plans:\n\n*Thousands of*\n\n*Millions of yen* *U.S. dollars*\n\n2004 2003 2004 *As of* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2005*\n\nRetirement benefit obligation <sup>.......................................................................................................................................</sup> ¥(1,217,260) ¥(1,041,483) $(11,376,262)\n\nPlan assets at fair value <sup>....................................................................................................................................................</sup> 500,815 377,169 4,680,514\n\nUnfunded retirement benefit obligation <sup>...............................................................................................................</sup> (716,445) (664,314) (6,695,748)\n\nUnrecognized net retirement benefit obligation at transition <sup>...........................................................</sup> 120,718 131,666 1,128,206\n\nUnrecognized actuarial gain or loss <sup>........................................................................................................................</sup> 154,689 152,867 1,445,691\n\nUnrecognized prior service cost <sup>.................................................................................................................................</sup> (66,720) (61,833) (623,551)\n\nNet retirement benefit obligation <sup>..............................................................................................................................</sup> (507,758) (441,614) (4,745,402)\n\nPrepaid pension cost <sup>...........................................................................................................................................................</sup> 445 652 4,159\n\nAccrued retirement benefits <sup>..........................................................................................................................................</sup> ¥ (508,203) ¥ (442,266) $ (4,749,561)\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\n\nThe Company received the approval from the Minister of Health, Labor and Welfare (“MHLW”) in the year ended March 31, 2003 with respect\n\nto its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP.\n\nCertain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accordance with\n\nthe transitional provision stipulated in “Practical Guidelines for Accounting for Retirement Benefits,” the Company and the domestic consolidated\n\nsubsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation\n\nunder their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional\n\nportion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Company recognized a\n\nloss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate gain of ¥3,669\n\nmillion and an aggregate loss of ¥1,587 million for the year ended March 31, 2004. The pension assets to be transferred were calculated at\n\n¥35,770 million for the domestic consolidated subsidiaries at March 31, 2004 and ¥241,203 million for the Company at March 31, 2003.\n\nThe components of retirement benefit expenses for the years ended March 31, 2005, 2004 and 2003 are outlined as follows:\n\n*Thousands of*\n\n*Millions of yen* *U.S. dollars*\n\n2004 2003 2002 2004 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2005*\n\nService cost <sup>.......................................................................................................................................................................</sup> ¥47,802 ¥48,418 ¥ 51,543 $446,748\n\nInterest cost <sup>......................................................................................................................................................................</sup> 33,288 33,012 45,269 311,103 Expected return on plan assets <sup>........................................................................................................................</sup> (17,999) (15,523) (26,708) (168,215)\n\nAmortization of net retirement benefit obligation at transition <sup>................................................</sup> 12,009 14,169 24,280 112,234\n\nAmortization of actuarial gain or loss <sup>...........................................................................................................</sup> 12,298 18,689 11,464 114,934\n\nAmortization of prior service cost <sup>....................................................................................................................</sup> (5,431) (7,049) (7,762) (50,757)\n\nOther <sup>.......................................................................................................................................................................................</sup> 179 57 5 1,673\n\nRetirement benefit expenses <sup>.............................................................................................................................</sup> 82,146 91,773 98,091 767,720\n\n(Gain) loss on return of the substitutional portion of\n\nwelfare pension fund plans <sup>...............................................................................................................................</sup> (1,107) (5,594) 30,945 (10,346)\n\nTotal <sup>.........................................................................................................................................................................................</sup> ¥81,039 ¥86,179 ¥129,036 $757,374 FINANCIAL SECTION",
- "page_start": 83,
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- "text": "ⓒ UNICEF\n\nMozambique/Arild Drivdal\n\n**International cooperation begins at home**\n\nThe SMFG Group is engaged in a range of activities The SMFG Group is engaged in a range of activities\n\nthat contribute to development at both the regional that contribute to development at both the regional\n\nand international level. In addition to overseas units’ and international level. In addition to overseas units’\n\nindependent initiatives, which are geared to host independent initiatives, which are geared to host\n\ncountry issues and characteristics, the Group supports country issues and characteristics, the Group supports\n\nprojects that have contributed to achievement of the projects that have contributed to achievement of the\n\nUnited Nations’ global Millennium Development Goals, United Nations’ global Millennium Development Goals,\n\nsuch as poverty eradication, health improvement and such as poverty eradication, health improvement and\n\nstatus improvement for education and women in status improvement for education and women in\n\ndeveloping countries. Our support takes the form of developing countries. Our support takes the form of\n\ndonations to non-profit and non-governmental donations to non-profit and non-governmental\n\norganizations, through the employee volunteer fund. organizations, through the employee volunteer fund.\n\n(The map shows areas where fund money is used, (The map shows areas where fund money is used,\n\nmarked with a marked with a ★ symbol). Please see our website for symbol). Please see our website for\n\nmore details. more details.\n\nEurope & Africa Middle East & Asia North America\n\n**Scholarships at major universities 2**\n\n**2**\n\n**China**\n\nSumitomo Mitsui Banking Corporation (China) Limited Sumitomo Mitsui Banking Corporation (China) Limited\n\nestablished a scholarship program for students of Zhejiang established a scholarship program for students of Zhejiang\n\nUniversity, Shanghai Inter University, Shanghai Inter-\n\nnational Studies University, national Studies University,\n\nSun Yat-sen University, Sun Yat-sen University,\n\nand other universities. and other universities.\n\nSMBC Hong Kong Branch makes donations to the Asian SMBC Hong Kong Branch makes donations to the Asian\n\nYouth Orchestra (AYO), Youth Orchestra (AYO),\n\ncomprising young Asian comprising young Asian\n\nmusicians selected musicians selected\n\nthrough auditioning who through auditioning who\n\nperform all over Asia. perform all over Asia.\n\nAs a way of increasing understanding of Japanese culture, As a way of increasing understanding of Japanese culture,\n\nSMBC SMBC’s Seoul Branch donates funds to make possible the s Seoul Branch donates funds to make possible the\n\nholding of a competition holding of a competition\n\ninvolving theatrical perfor involving theatrical perfor-\n\nmances in the Japanese mances in the Japanese\n\nlanguage by South Korean language by South Korean\n\nstudents of Japanese. students of Japanese.\n\n**Donations to charity groups**\n\n**Europe**\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe Employees of Sumitomo Mitsui Banking Corporation Europe\n\n(SMBCE) conducted volunteer activities in their time off. (SMBCE) conducted volunteer activities in their time off.\n\nSMBCE contributes to charitable organizations through an SMBCE contributes to charitable organizations through an\n\nin-house fund and also uses a matching gifts program under in-house fund and also uses a matching gifts program under\n\nwhich it donates a which it donates a\n\ncertain amount for certain amount for\n\nevery donation made every donation made\n\nby its employees. by its employees.\n\n**Support for a South Korean students’**\n\n**Japanese-language theater competition**\n\n**1**\n\n**1**\n\n**South Korea**\n\n**Supporting performances**\n\n**by young Asian musicians**\n\n**3 Hong Kong**\n\nThe European office of the Japan Research Institute (JRI) The European office of the Japan Research Institute (JRI)\n\nmade a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech\n\ncontest. contest.\n\n**Donating furniture to**\n\n**welfare facilities**\n\n**6 Malaysia**\n\nSMBC SMBC’s Labuan Branch in s Labuan Branch in\n\nMalaysia, following its relocation, Malaysia, following its relocation,\n\ndonated desks, chairs and donated desks, chairs and\n\ncabinets to occupational training cabinets to occupational training\n\ncenters for the disabled. centers for the disabled.\n\n####### **Employees put school meals on the table**\n\n####### **through their purchases in staff canteens**\n\nSMBC and Sumitomo Mitsui Finance and Leasing SMBC and Sumitomo Mitsui Finance and Leasing\n\nhave a program that provides donations to the non have a program that provides donations to the non-\n\nprofit organization TABLE FOR TWO International to profit organization TABLE FOR TWO International to\n\nfund school meals in developing fund school meals in developing\n\ncountries, for every low-calorie countries, for every low-calorie\n\nmeal ordered for lunch. SMBC meal ordered for lunch. SMBC\n\nFriend Securities has also Friend Securities has also\n\ninstalled vending machines installed vending machines\n\nselling healthy drinks, donating selling healthy drinks, donating\n\npart of their sales to TABLE FOR part of their sales to TABLE FOR\n\nTWO International. TWO International.\n\n####### **Donation boxes for foreign currency coins**\n\nSMBC places donation boxes for foreign currency SMBC places donation boxes for foreign currency\n\ncoins at the entrances of all manned branches and coins at the entrances of all manned branches and\n\noffices in Japan, and sorts such collected coins by offices in Japan, and sorts such collected coins by\n\ncurrency for delivery to UNICEF. currency for delivery to UNICEF.\n\n####### **The SMBC Foundation**\n\n####### **for International Cooperation**\n\nThe SMBC Foundation for International Cooperation The SMBC Foundation for International Cooperation\n\nstrives to assist in developing the human resources strives to assist in developing the human resources\n\nnecessary to achieve sustainable growth in develop necessary to achieve sustainable growth in develop-\n\ning economies as well as to promote international ing economies as well as to promote international\n\nexchange activities. The foundation has provided exchange activities. The foundation has provided\n\nfinancial support for students from Asian countries financial support for students from Asian countries\n\neach year, enabling them to attend universities in each year, enabling them to attend universities in\n\nJapan. The foundation also offers subsidies to Japan. The foundation also offers subsidies to\n\nresearch institutes and researchers undertaking research institutes and researchers undertaking\n\nprojects related to developing countries. projects related to developing countries.\n\n**Supporting farming**\n\n**villages in the northeast**\n\n**5 Thailand**\n\n**Providing work**\n\n**experience to students**\n\n**4 Vietnam 7**\n\nBased in the United States, SMBC Global Foundation has Based in the United States, SMBC Global Foundation has\n\nprovided scholarships to more than 5,000 university students provided scholarships to more than 5,000 university students\n\nin Asian countries since its establishment in 1994. In the in Asian countries since its establishment in 1994. In the\n\nUnited States, it supports educational trips to Japan United States, it supports educational trips to Japan\n\norganized by a high school located in Harlem, New York City, organized by a high school located in Harlem, New York City,\n\nand volunteer employees of SMBC and JRI to participate in and volunteer employees of SMBC and JRI to participate in\n\nschool beautification programs. The foundation also provides school beautification programs. The foundation also provides\n\nmatching gifts for SMBC employees. matching gifts for SMBC employees.\n\n####### **Donation for a Japanese-language speech contest 8 Europe**\n\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank\n\nhas supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting\n\nchildren and improving children and improving\n\nthe water-supply and the water-supply and\n\nsanitary environment. sanitary environment.\n\n**UNICEF support initiatives 9 Mozambique**\n\n**SMBC GLOBAL FOUNDATION 10 The United States**\n\n**3**\n\n**6**\n\n**4**\n\n**5**\n\n**7 8**\n\n## **9**\n\n## **10**\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\nSMBC SMBC’s Bangkok Branch assisted s Bangkok Branch assisted\n\nfarmers by donating underground farmers by donating underground\n\nwater storage tanks and assisting water storage tanks and assisting\n\nwith vegetable planting and with vegetable planting and\n\nharvesting. harvesting.\n\nHigh school students from New York\n\nwho visited Japan on a study trip\n\nScholarship students at Sun Yat-sen University\n\nDonated furniture\n\nEmployee volunteers who participated in\n\nlandscape improvement projects\n\nPerforming a Japanese-language drama\n\nBank employees helped plant\n\nvegetables as volunteers\n\nPhotographs supplied by AYO\n\nScholarship award ceremony for university students in Vietnam\n\n*Please see this website\n\nfor further details (in\n\nJapanese):\n\nwww.smbc.co.jp/ccs/\n\nSumitomo Mitsui Financial Group CSR Report\n\n**Helping build prosperity**\n\n**in Asia and the world**\n\n#### **Social Contribution Activities**\n\n**For further details, please see our website.**\n\nSMBC SMBC’s Hanoi Branch provided s Hanoi Branch provided\n\ninternational school students international school students\n\nwith vocational experiences. with vocational experiences.",
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- "query": "What is the trend of flood risk in Canada in 2024?",
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- "target_passage": "(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed",
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- "text": "Trois façons dont des\n\ncollectivités au Canada\n\n[réduisent leurs risques](https://www.newscanada.com/en/Trois-fa-ons-dont-des-collectivit-s-au-Canada-r-duisent-leurs-risques-d-inondation-139848)\n\nd’inondation\n\nISSUE\n\nDecember 2024\n\nCATEGORIES\n\n[Home - Safety](https://www.newscanada.com/en/home-safety/content)\n\n[Community Affairs](https://www.newscanada.com/en/community/content)\n\n[Finance - Insurance](https://www.newscanada.com/en/finance-insurance/content)\n\n[Editor's Picks](https://www.newscanada.com/en/editor-picks/content)\n\nFRANÇAIS\n\nHave your say! Complete our\n\n[2025 Media Survey](https://www.newscanada.com/en/have-your-say-complete-our-2025-media-survey-137263)\n\n[Retrain your way to a new job](https://www.newscanada.com/en/retrain-your-way-to-a-new-job-139857)\n\n[The top AI-powered tech trends](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\nin 2025\n\nEDITOR'S PICKS\n\n### [](https://facebook.com/sharer/sharer.php?u=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n### [](https://twitter.com/share?url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844&text=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.)\n\n### [](https://pinterest.com/pin/create/bookmarklet/?&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844&description=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.)\n\n### [](https://www.linkedin.com/shareArticle?mini=true&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n## **Three ways Canadian communities are reducing flood**\n\n## **risks**\n\nwww.newscanada.com\n\nWord Count: 281\n\n[Media Attachments](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[View](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[Related Posts](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[Terms of Use](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly\n\nexposed. There are large-scale programs available across the country providing flood protection\n\nmeasures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This\n\nprogram is helping build the resilience of communities and homes through a variety of\n\npreventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically\n\nfound in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community\n\nGardens created a wetland on downtown’s east side, an area historically prone to flooding. Made\n\nup of natural elements like ponds and marshes, the wetland reduces the community’s flood risk\n\nby catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the\n\nCity of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online\n\nflood prevention guidance. Residents can input their addresses to see if they are at risk and learn\n\ntips to reduce the risk of flooding around their properties. The portal launched in the summer of\n\n2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might\n\notherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of\n\neligible material and labour costs, up to a maximum of $1,000. More than 90 properties\n\ncompleted upgrades, including installing sump pumps, backup batteries, backwater valves, and\n\nwater monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\n−\n\n+\n\n+\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
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- "text": "ISSUE\n\nDecember 2024\n\nCATEGORIES\n\n[Technology & Cybersecurity](https://www.newscanada.com/en/Technology/content)\n\n[Editor's Picks](https://www.newscanada.com/en/editor-picks/content)\n\n[Finance - Personal](https://www.newscanada.com/en/personal-finance/content)\n\n[Home - Interior](https://www.newscanada.com/en/house-home/content)\n\n### [](https://facebook.com/sharer/sharer.php?u=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854) [](https://twitter.com/share?url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&text=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://pinterest.com/pin/create/bookmarklet/?&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&description=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://www.linkedin.com/shareArticle?mini=true&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854)\n\n## **The top AI-powered tech trends in 2025**\n\nwww.newscanada.com\n\nWord Count: 346\n\n[M ed i a A ttach m en ts](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n[View](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From\n\nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and\n\npersonalization.\n\nAI-powered computing\n\nAI-powered computing, such as Intel-powered laptops - or AI PC - is at the forefront of technological\n\nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors\n\n- also known as the brain of the computer - which optimizes performance, enhances security and\n\nprovides a more personalized experience as they learn from your usage patterns. For consumers, this\n\nmeans faster, smarter and more secure computing tailored to your individual needs.\n\nSmart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a\n\nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home\n\nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to\n\nsecurity and entertainment, making your home smarter and more responsive than ever before.\n\nHealth and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications\n\ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and\n\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights,\n\nhelping individuals make informed decisions about their well-being.\n\nFinancial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage\n\nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud\n\ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify\n\ntrends and make more informed financial decisions.\n\nEnhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each\n\nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students\n\nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative\n\ntasks and providing insights into student performance, allowing for more focused and effective\n\nteaching.\n\nLearn more at intel.com/aipc.\n\n−\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
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- "text": "**25** A detailed investigation of these factors is beyond the scope of this paper; nevertheless, this\n\nresult illustrates the important point that the nature and patterns of the climate forcing at a\n\nparticular level of global warming can play an important role in determining the patterns of\n\nregional impacts.\n\n## 5. Conclusion\n\nThe higher-resolution HadGEM3 simulations project consistent increases in temperature-related\n\nextremes, with larger changes at 2°C compared to 1.5°C and local changes being larger than the\n\nglobal annual mean. There is a higher degree of spatial variation in our projections compared\n\nwith CMIP5-based studies.\n\nIn the model projections examined here, changes relating to the water cycle are complex, both\n\nin their geographical pattern and in the variation between different models. The length of flooding\n\nevents generally increases across world in all models, but maximum rainfall can either increase or\n\ndecrease depending on locations. Global patterns of increase and decrease show some consistency\n\nbetween the different GWLs, but also some local differences. Worldwide, most impacts broadly\n\ntend to increase with global warming in most areas. For global mean changes, even when the sign\n\nof change is uncertain, individual realizations generally show reduced impact at 1.5°C compared\n\nwith 2°C. However, this does not always hold even at the scale of major global river basins.\n\nVulnerability to food insecurity increases more at 2°C global warming than 1.5°C in\n\napproximately three-quarters of countries assessed. The vulnerability increase can arise from\n\nincreases in either flooding or drought. Reduced drought leads to decreased vulnerability in a\n\nlimited number of cases.\n\nMost simulations here project a general increase in mean streamflow in most of the basins\n\nexamined, but with a number of notable exceptions in the tropics. While flows in the Ganges are\n\nconsistently projected to increase by 30- 110% at 2°C, Amazon flows could either increase by 3%\n\nor decrease by 25%. Ensemble-mean changes in river flow often do not give a full impression of\n\nthe magnitude of changes that may be possible, so adaptation planning in particular should not\n\nrely on ensemble-mean projections and instead consider a range of outcomes. The seasonal low\n\nstreamflows also increase in many basins, but not as many as for the mean flows—many basins\n\nsee decreased low flows in some or all projections.\n\nBroadly, changes in weather extremes at 1.5°C global warming could be estimated by scaling-\n\nback the impacts at 2°C, if this is done with individual ensemble members rather than the\n\nensemble mean. However, this was not always the case for impacts that depend on more complex\n\nprocess or interactions between more than one climate variable, such as run-off and an indicator\n\nof vulnerability to food insecurity.\n\nData accessibility. This article has no additional data.\n\nCompeting interests. We declare we have no competing interests.\n\nFunding. This research received funding from the European Union Seventh Framework Programme FP7/2007-\n\n2013 under grant agreement no. 603864 (HELIX: ‘High-End cLimate Impacts and eXtremes’; www.\n\nhelixclimate.eu ). The work of R.A.B., C.B., J.C., L.G., K.L. and K.R. was additionally supported by the Joint\n\nUK BEIS/Defra Met Office Hadley Centre Climate Programme (GA01101).\n\nAcknowledgements. The authors thank Ed Pope, Jason Lowe and Dann Mitchell for advice and discussion,\n\nAlissa Haward and Maria Pearce for project management and administration of HELIX, and two anonymous\n\nreviewers whose comments substantially improved the paper.\n\n## References\n\n1. IPCC. 2014 Summary for policymakers. In *Climate change 2014: impacts, adaptation, and*\n\n*vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth*\n\n*Assessment Report of the Intergovernmental Panel on Climate Change* (eds CB Field *et al* .), pp.\n\n1- 32. Cambridge, UK: Cambridge University Press.",
- "page_start": 24,
- "page_end": 24,
- "source_file": "pubmed11.pdf"
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- {
- "text": "**26** 2. Murphy JM *et al.* 2009 *UK climate projections science report: climate change projections* . Exeter, UK:\n\nMet Office Hadley Centre. See [ http://ukclimateprojections.metoffice.gov.uk](http://ukclimateprojections.metoffice.gov.uk) .\n\n3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in\n\nCopenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference\n\nof the Parties at its fifteenth session. See [ http://unfccc.int/resource/docs/2009/cop15/eng/](http://unfccc.int/resource/docs/2009/cop15/eng/11a01.pdf)\n\n[11a01.pdf](http://unfccc.int/resource/docs/2009/cop15/eng/11a01.pdf) .\n\n4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris,\n\n30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of\n\nthe Parties at its twenty-first session. 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Betts RA *et al.* 2015 Climate and land use change impacts on global terrestrial ecosystems and\n\nriver flows in the HadGEM2-ES Earth system model using the representative concentration\n\npathways. *Biogeosciences* **12** , 1317. ( [doi:10.5194/bg-12-1317-2015](http://dx.doi.org/10.5194/bg-12-1317-2015) )\n\n29. Falloon PD, Betts RA. 2006 The impact of climate change on global river flow in HadGEM1\n\nsimulations. *Atmos. Sci. Lett.* **7** , 62- 68. ( [doi:10.1002/asl.133](http://dx.doi.org/10.1002/asl.133) )\n\n30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C,\n\nBetts R. 2013 The importance of population, climate change and CO 2 plant physiological forcing in determining future global water stress. *Glob. Environ. Change* **23** , 1083- 1097.\n\n( [doi:10.1016/j.gloenvcha.2013.06.005](http://dx.doi.org/10.1016/j.gloenvcha.2013.06.005) )\n\n31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change\n\nimpact on European runoff and low flows - exploring the effects of forcing biases. *Hydrol.*\n\n*Earth Syst. Sci.* **20** , 1785- 1808. ( [doi:10.5194/hess-20-1785](http://dx.doi.org/10.5194/hess-20-1785) )\n\n32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying. *Nat. Clim.*\n\n*Change* **6** , 946- 949. ( [doi:10.1038/nclimate3046](http://dx.doi.org/10.1038/nclimate3046) )\n\n33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing\n\nCO 2 reduce estimates of climate impacts on drought severity. *Proc. Natl Acad. Sci. USA* **113** ,\n\n10 019- 10 024. ( [doi:10.1073/pnas.1604581113](http://dx.doi.org/10.1073/pnas.1604581113) )\n\n34. Betts RA *et al.* 2007 Projected increase in future river runoff through plant responses to carbon\n\ndioxide rise. *Nature* **448** , 1037- 1042. ( [doi:10.1038/nature06045](http://dx.doi.org/10.1038/nature06045) )\n\n35. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2017 The effect of GCM biases\n\non global runoff simulations of a land surface model. *Hydrol. Earth Syst. Sci.* **21** , 4379- 4401.\n\n( [doi:10.5194/hess-21-4379-2017](http://dx.doi.org/10.5194/hess-21-4379-2017) )\n\n36. Sheffield J, Goteti G, Wood EF. 2006 Development of a 50-year high-resolution global\n\ndataset of meteorological forcings for land surface modeling. *J. Climate* **19** , 3088- 3111.\n\n( [doi:10.1175/JCLI3790.1](http://dx.doi.org/10.1175/JCLI3790.1) )\n\n37. Grillakis MG, Koutroulis AG, Tsanis IK. 2013 Multisegment statistical bias correction of daily\n\nGCM precipitation output. *J. Geophys. Res. Atmos.* **118** , 3150- 3162. ( [doi:10.1002/jgrd.50323](http://dx.doi.org/10.1002/jgrd.50323) )\n\n38. Wartenburger R, Hirschi M, Donat MG, Greve P, Pitman AJ, Seneviratne SI. 2017 Changes in\n\nregional climate extremes as a function of global mean temperature: an interactive plotting\n\nframework. *Geosci. Model Dev.* **10** , 3609- 3634. ( [doi:10.5194/gmd-10-3609-2017](http://dx.doi.org/10.5194/gmd-10-3609-2017) )\n\n39. Mitchell D, James R, Forster PM, Betts RA, Shiogama H, Allen M. 2016 Realizing the impacts\n\nof a 1.5°C warmer world. *Nat. Clim. Change* **6** , 735- 737. ( [doi:10.1038/nclimate3055](http://dx.doi.org/10.1038/nclimate3055) )\n\n40. Cox P *et al.* 2008 Increase risk of Amazonian drought due to decreasing aerosol pollution.\n\n*Nature* **453** , 212- 216. ( [doi:10.1038/nature06960](http://dx.doi.org/10.1038/nature06960) )\n\n41. Betts RA, Cox PM, Collins M, Harris PP, Huntingford C, Jones CD. 2004 The role of\n\necosystem-atmosphere interactions in simulated Amazonian precipitation decrease and forest\n\ndieback under global climate warming. *Theor. Appl. Climatol.* **78** , 157- 175. ( [doi:10.1007/](http://dx.doi.org/10.1007/s00704-004-0050-y)\n\n[s00704-004-0050-y](http://dx.doi.org/10.1007/s00704-004-0050-y) )\n\n42. Skinner CB, Poulsen CJ, Chadwick R, Diffenbaugh NS, Fiorella RP. 2017 The role of CO2\n\nplant physiological forcing in shaping future daily-scale precipitation. *J. Climate* **30** , 2319- 2340.\n\n( [doi:10.1175/JCLI-D-16-0603.1](http://dx.doi.org/10.1175/JCLI-D-16-0603.1) )",
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- "text": "13\n\n9. Dong, W. H., Liu, Z., Liao, H., Tang, Q. H. & Li, X. E. New climate and socio-economic scenarios for assessing global human health challenges due to heat risk. *Clim. Change* **130** (4), 505- 518 (2015). 10. Brown, S. C., Wigley, T. M. L., Otto-Bliesner, B. L., Rahbek, C. & Fordham, D. A. Persistent Quaternary climate refugia are hospices for biodiversity in the Anthropocene. *Nat. Clim. Change* **10** , 244- 248 (2020). 11. Fischer, H., Amelung, D. & Said, N. The accuracy of German citizens’ confidence in their climate change knowledge. *Nat. Clim.* *Change* **9** , 776- 780 (2020). 12. Hasegawa, T. *et al.* Risk of increased food insecurity under stringent global climate change mitigation policy. *Nat. Clim. Change* **8** , 699- 703 (2018). 13. Lobell, D. B., Schlenker, W. & Costa-Roberts, J. Climate trends and global crop production since 1980. *Science* **333** , 616- 620 (2011). 14. UNFCCC. The Paris Agreement. 2015, [https://unfccc.int/process-and-meetings/the-paris-agreement/the-paris-agreement](https://unfccc.int/process-and-meetings/the-paris-agreement/the-paris-agreement) . 15. Roche, K. R., Müller-Itten, M., Dralle, D. N., Bolster, D. & Müller, M. F. Climate change and the opportunity cost of conflict. *PNAS* **117** (4), 1935- 1940 (2020). 16. Challinor, A. J. *et al.* A meta-analysis of crop yield under climate change and adaptation. *Nat. Clim. Change* **4** , 287- 291 (2014). 17. Lobell, D. B. *et al.* Prioritizing climate change adaptation needs for food security in 2030. *Science* **319** , 607- 610 (2017). 18. Lv, S. *et al.* Yield gap simulations using ten maize cultivars commonly planted in Northeast China during the past five decades. *Agric. For. Meteorol.* **205** , 1- 10 (2015). 19. Chao, W., Kehui, C. & Shah, F. Heat stress decreases rice grain weight: Evidence and physiological mechanisms of heat effects prior to flowering. *Int. J. Mol. Sci.* **23** (18), 10922 (2022). 20. Chao, W. *et al.* Estimating the yield stability of heat-tolerant rice genotypes under various heat conditions across reproductive stages: A 5-year case study. *Sci. Rep.* **11** , 13604 (2021). 21. IPCC. Food security and food production systems. In *Climate Change 2014: Impacts, Adaptation, and Vulnerability. Part A: Global* *and Sectoral Aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel of Climate* *Change* 485- 533 (Cambridge University Press, 2014). 22. Tigchelaar, M., Battisti, D. S., Naylor, R. L. & Ray, D. K. Future warming increases probability of globally synchronized maize production shocks. *PNAS* **115** (26), 6644- 6649 (2018). 23. Zhao, C. *et al.* Temperature increase reduces global yields of major crops in four independent estimates. *PNAS* **114** , 9326- 9331 (2017). 24. Diffenbaugh, N. S., Hertel, T. W., Scherer, M. & Verma, M. Response of corn markets to climate volatility under alternative energy futures. *Nat. Clim. Change* **2** , 514- 518 (2012). 25. Jensen, H. G. & Anderson, K. Grain price spikes and beggar-thy-neighbor policy responses: A global economywide analysis. *World* *Bank Econ. Rev.* **31** , 158- 175 (2017). 26. Fraser, E. D. G., Simelton, E., Termansen, M., Gosling, S. N. & South, A. “Vulnerability hotspots”: Integrating socio-economic and hydrological models to identify where cereal production may decline in the future due to climate change induced drought. *Agric.* *For. Meteorol.* **170** , 195- 205 (2013). 27. Puma, M. J., Bose, S., Chon, S. Y. & Cook, B. I. Assessing the evolving fragility of the global food system. *Environ. Res. Lett.* **10** , 024007 (2015). 28. Wheeler, T. & Braun, J. V. Climate change impacts on global food security. *Science* **341** (6145), 508- 513 (2013). 29. Lunt, T., Jones, A. W., Mulhern, W. S., Lezaks, D. P. M. & Jahn, M. M. Vulnerabilities to agricultural production shocks: An extreme, plausible scenario for assessment of risk for the insurance sector. *Clim. Risk Manag.* **13** , 1- 9 (2016). 30. Jägermeyr, J. & Frieler, K. Spatial variations in crop growing seasons pivotal to reproduce global fluctuations in maize and wheat yields. *Sci. Adv.* **4** (11), eaat4517 (2018). 31. Elliott, J. *et al.* Characterizing agricultural impacts of recent large-scale US droughts and changing technology and management. *Agric. Syst.* **159** , 275- 281 (2017). 32. Tack, J., Barkley, A. & Nalley, L. L. Effect of warming temperatures on US wheat yields. *Proc. Natl. Acad. Sci.* **112** , 6931- 6936 (2015). 33. Tao, F., Zhang, Z., Liu, J. & Yokozawa, M. Modelling the impacts of weather and climate variability on crop productivity over a large area: A new super-ensemblebased probabilistic projection. *Agric. For. Meteorol.* **149** , 1266- 1278 (2009). 34. Parent, B. *et al.* Maize yields over Europe may increase in spite of climate change, with an appropriate use of the genetic variability of flowering time. *PNAS* **115** (42), 10642- 10647 (2018). 35. Yang, C. Y., Fraga, H., Ieperen, W. V. & Santos, J. A. Assessment of irrigated maize yield response to climate change scenarios in Portugal. *Agric. Water Manag.* **184** , 178- 190 (2017). 36. Miller, S. A. & Moore, F. C. Climate and health damages from global concrete production. *Nat. Clim. Change* [https://doi.org/10.](https://doi.org/10.1038/s41558-020-0733-0) [1038/s41558-020-0733-0](https://doi.org/10.1038/s41558-020-0733-0) (2020). 37. Kassie, B. T. *et al.* Exploring climate change impacts and adaptation options for maize production in the Central Rift Valley of Ethiopia using different climate change scenarios and crop models. *Clim. Change* **129** , 145- 158 (2015). 38. Tao, F. & Zhang, Z. Climate change, high-temperature stress, rice productivity, and water use in Eastern China: A new superensem- ble-based probabilistic projection. *J. Appl. Meteorol. Climatol.* **52** , 531- 551 (2013). 39. Glotter, M. & Elliott, J. Simulating US agriculture in a modern Dust Bowl drought. *Nat. Plants* **3** , 16193 (2016). 40. Challinor, A. J., Koehler, A. K., Ramirez-Villegas, J., Whitfield, S. & Das, B. Current warming will reduce yields unless maize breeding and seed systems adapt immediately. *Nat. Clim. Change* **6** , 954- 958 (2016). 41. Cammarano, D. *et al.* Using historical climate observations to understand future climate change crop yield impacts in the South- eastern US. *Clim. Change* **134** , 311- 326 (2016). 42. Etten, J. V. *et al.* Crop variety management for climate adaptation supported by citizen science. *PNAS* **116** (10), 4194- 4199 (2019). 43. Urban, D. W., Sheffield, J. & Lobell, D. B. The impacts of future climate and carbon dioxide changes on the average and variability of US maize yields under two emission scenarios. *Environ. Res. Lett.* **10** , 045003 (2015). 44. IPCC. Summary for policymakers. In *Global Warming of 1.5°C. An IPCC Special Report on the Impacts of Global Warming of 1.5°C* *Above Pre-industrial Levels and Related Global Greenhouse Gas Emission Pathways, in the Context of Strengthening the Global* *Response to the Threat of Climate Change, Sustainable Development, and Efforts to Eradicate Poverty* 32 (World Meteorological Organization, 2018). 45. Ruane, A. C., Goldberg, R. & Chryssanthacopoulos, J. Climate forcing datasets for agricultural modeling: Merged products for gap-filling and historical climate series estimation. *Agr. For. Meteorol.* **200** , 233- 248 (2015). 46. Hempel, S., Frieler, K., Warszawski, L., Schewe, J. & Piontek, F. A trendpreserving bias correction-the ISI-MIP approach. *Earth* *Syst. Dyn.* **4** , 219- 236 (2013). 47. Monfreda, C., Ramankutty, N. & Foley, J. A. Farming the planet: 2. Geographic distribution of crop areas, yields, physiological types, and net primary production in the year 2000. *Glob. Biogeochem. Cycles* **22** , 1022 (2008). 48. You, L.Z., *et al* . *Spatial Production Allocation Model (SPAM) 2000 Version 3.2* . [http://mapspam.info](http://mapspam.info) (2015). 49. Hoogenboom, G., *et al* . *Decision Support System for Agrotechnology Transfer (DSSAT) Version 4.6* (DSSAT Foundation, 2015). [http://dssat.net](http://dssat.net) (2015). 50. Sacks, W. J., Deryng, D., Foley, J. A. & Ramankutty, N. Crop planting dates: An analysis of global patterns. *Glob. Ecol. Biogeogr.* **19** , 607- 620 (2010). 51. Batjes, H.N. *A Homogenized Soil Data File for Global Environmental Research: A Subset of FAO. ISRIC and NRCS Profiles (Version* *1.0)* . Working Paper and Preprint 95/10b (International Soil Reference and Information Centre, 1995).",
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- "text": "#### Summary of expected outputs\n\nTable 1 below indicates the likely dimensions of the outputs for each of the components as of July 2017.\n\n* Data also available for whole UK, administrative regions, devolved administrations and river basin regions.\n\n†Additional information on variability and observations available at Class A tide gauges (see **[http://www.ntslf.org/](http://www.ntslf.org/data/uk-network-real-time)**\n\n**[data/uk-network-real-time](http://www.ntslf.org/data/uk-network-real-time)** ).\n\n‡An ensemble of regional climate model results over Europe (see **[ http://www.euro-cordex.net](http://www.euro-cordex.net)** ).\n\n+Now included due to user request and Peer Review Panel advice.\n\n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of\n\nmodels.\n\n| | Observations (UK State of the Climate) | Marine and coastal projections | Global projections | Probabilistic projections | High resolution projections | High resolution projections |\n|:---|:---|:---|:---|:---|:---|:---|\n| Characteristics | Observed trends; long-term climatologies; weather events for the preceding year | Updated sea level rise and surge projections based on operational storm surge model (CS3) using CMIP5, EURO-CORDEX‡ | Ensemble of ~20 spatially coherent time series of the Met Office Hadley Centre model and a similar number of CMIP5 models | Updated probability density functions presented as 30- year and monthly time series based on Met Office models (HadCM3, ESPPE) and CMIP5 | Downscaled projections over the UK for ~10 spatially coherent time series. 2.2 km model provides realistic information on heavy rainfall events | Downscaled projections over the UK for ~10 spatially coherent time series. 2.2 km model provides realistic information on heavy rainfall events |\n| Scale | UK | UK | Global | UK | UK | UK |\n| Spatial resolution* | To match land projections | UK Coastline † | 60km | 25km | 12km + | 2.2km |\n| Highest temporal resolution | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| Period of data | bulk of 20th century to present day | 1950-2100 | 1900-2100 | 1961-2100 | 1981-2080 | 1981-2000 2021-2040 2061-2080 |\n| Emissions scenarios | N/A | RCP2.6, RCP4.5, RCP8.5 H ++ | RCP8.5; additional lower scenario (for Met Office Hadley Centre model only) | SRES A1B, RCP2.6, RCP4.5, RCP6.0 RCP8.5 | RCP8.5 | RCP8.5 |\n| Variables available ++ | Temperature, precipitation (including snow), sunshine, wind | Sea level rise, storm surge | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation |\n\n####### **Land**\n\n#### How can I get the information and when?\n\nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available\n\nthrough a dedicated website.\n\nA dedicated user interface will provide users with a means to download the data and produce customised\n\nvisualisations. The exact nature of these outputs is still the subject of consultation with users.\n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the\n\nlatest information visit:\n\n####### **[http://ukclimateprojections.metoffice.gov.uk/24125](http://ukclimateprojections.metoffice.gov.uk/24125)**\n\n*UKCP Project Team*\n\n*July 2017*",
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- "text": "8 The latest update can be found at **[http://www.metoffice.gov.uk/climate/uk/about/state-of-climate](http://www.metoffice.gov.uk/climate/uk/about/state-of-climate )**\n\n9 **http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/**\n\n10 **[https://www.ipcc.ch/report/ar5/ ](https://www.ipcc.ch/report/ar5/ )**\n\n#### What can users expect from UKCP18?\n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land.\n\nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at\n\na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\n\n### **OBSERVATIONS**\n\n###### **Annual report: State of the UK Climate. Downloadable data.**\n\nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package,\n\nbringing the observed data right up to date. This annual update <sup>8</sup> covers trends, the multi-\n\ndecade climate record and significant weather events such as the early July 2015 hot spell\n\nand the exceptionally mild and wet December of the same year.\n\nQuality controlled UK observational datasets from the Met Office observing network, provided\n\nat spatial resolutions to match the land projections and for pre-defined administrative regions\n\nand river basins, will be available under an Open Government Licence <sup>9</sup> . For variables such as\n\ntemperature and precipitation these data sets will span the late 19th Century to the present\n\nday and will be provided for daily, monthly, seasonal, annual and long term averages.\n\n### **MARINE PROJECTIONS**\n\n###### **Sea level rise. Storm surge. Past event case studies.**\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers,\n\nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include\n\nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely”\n\nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making\n\nsea level rise projections to 2300. The projections will use the latest information from the\n\nCMIP5 models and application of the methods used in the Intergovernmental Panel on\n\nClimate Change’s (IPCC) Fifth Assessment Report <sup>10</sup> .\n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change\n\nin high water levels over the 21st Century. These estimates will be based on a combination of\n\nprojected mean sea level change and projections of change in the extremes due to changes in\n\natmospheric storminess. These “storminess” projections will use the same surge model used\n\nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to\n\ndrive the surge. New understanding of the modification of large-scale sea level change signals\n\nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into\n\nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies\n\nderived from applying plausible future sea level change to historical extreme events.",
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- "text": "annual report 2002",
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- "text": "## **Contents**\n\nKey points 2\n\n1. Central Scenario 4\n\n2. Recent trends in the population 6\n\n3. Modelling methodology and projection scenarios 8\n\n4. Results 11\n\n5. Previous Projections 13\n\n6. Caveats on prison population projections 14\n\nAppendix A: Additional tables 15\n\nAppendix B: Detail of models, scenarios and assumptions 21\n\nContact Points for further information 28\n\n1",
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- "query": "How flooding was prevented in Vancouver? ",
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- "target_passage": "In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown’s east side, an area historically prone to flooding. ",
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- "text": "Trois façons dont des\n\ncollectivités au Canada\n\n[réduisent leurs risques](https://www.newscanada.com/en/Trois-fa-ons-dont-des-collectivit-s-au-Canada-r-duisent-leurs-risques-d-inondation-139848)\n\nd’inondation\n\nISSUE\n\nDecember 2024\n\nCATEGORIES\n\n[Home - Safety](https://www.newscanada.com/en/home-safety/content)\n\n[Community Affairs](https://www.newscanada.com/en/community/content)\n\n[Finance - Insurance](https://www.newscanada.com/en/finance-insurance/content)\n\n[Editor's Picks](https://www.newscanada.com/en/editor-picks/content)\n\nFRANÇAIS\n\nHave your say! Complete our\n\n[2025 Media Survey](https://www.newscanada.com/en/have-your-say-complete-our-2025-media-survey-137263)\n\n[Retrain your way to a new job](https://www.newscanada.com/en/retrain-your-way-to-a-new-job-139857)\n\n[The top AI-powered tech trends](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\nin 2025\n\nEDITOR'S PICKS\n\n### [](https://facebook.com/sharer/sharer.php?u=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n### [](https://twitter.com/share?url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844&text=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.)\n\n### [](https://pinterest.com/pin/create/bookmarklet/?&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844&description=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.)\n\n### [](https://www.linkedin.com/shareArticle?mini=true&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n## **Three ways Canadian communities are reducing flood**\n\n## **risks**\n\nwww.newscanada.com\n\nWord Count: 281\n\n[Media Attachments](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[View](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[Related Posts](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[Terms of Use](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly\n\nexposed. There are large-scale programs available across the country providing flood protection\n\nmeasures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This\n\nprogram is helping build the resilience of communities and homes through a variety of\n\npreventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically\n\nfound in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community\n\nGardens created a wetland on downtown’s east side, an area historically prone to flooding. Made\n\nup of natural elements like ponds and marshes, the wetland reduces the community’s flood risk\n\nby catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the\n\nCity of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online\n\nflood prevention guidance. Residents can input their addresses to see if they are at risk and learn\n\ntips to reduce the risk of flooding around their properties. The portal launched in the summer of\n\n2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might\n\notherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of\n\neligible material and labour costs, up to a maximum of $1,000. More than 90 properties\n\ncompleted upgrades, including installing sump pumps, backup batteries, backwater valves, and\n\nwater monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\n−\n\n+\n\n+\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
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- "text": "## BASIC ENGLISH language skills",
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- "text": "*cover:* 100 & 200 Eagle Street, Cambridge, Ontario",
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- "text": "annual report 2002",
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- "text": "###### Board of Directors",
- "page_start": 29,
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- "source_file": "NYSE_HIG_2001.pdf"
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- "text": "Killam properties Inc\n\n**2013 annual report**",
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- "text": "[This page intentionally left blank.]",
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- "text": "ANNUAL REPORT 2014",
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- "text": "audits and investigations.",
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- "query": "How can citizens in Fredericton easily access flood risk data?",
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- "target_passage": "New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance.",
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- "text": "Trois façons dont des\n\ncollectivités au Canada\n\n[réduisent leurs risques](https://www.newscanada.com/en/Trois-fa-ons-dont-des-collectivit-s-au-Canada-r-duisent-leurs-risques-d-inondation-139848)\n\nd’inondation\n\nISSUE\n\nDecember 2024\n\nCATEGORIES\n\n[Home - Safety](https://www.newscanada.com/en/home-safety/content)\n\n[Community Affairs](https://www.newscanada.com/en/community/content)\n\n[Finance - Insurance](https://www.newscanada.com/en/finance-insurance/content)\n\n[Editor's Picks](https://www.newscanada.com/en/editor-picks/content)\n\nFRANÇAIS\n\nHave your say! Complete our\n\n[2025 Media Survey](https://www.newscanada.com/en/have-your-say-complete-our-2025-media-survey-137263)\n\n[Retrain your way to a new job](https://www.newscanada.com/en/retrain-your-way-to-a-new-job-139857)\n\n[The top AI-powered tech trends](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\nin 2025\n\nEDITOR'S PICKS\n\n### [](https://facebook.com/sharer/sharer.php?u=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n### [](https://twitter.com/share?url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844&text=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.)\n\n### [](https://pinterest.com/pin/create/bookmarklet/?&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844&description=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.)\n\n### [](https://www.linkedin.com/shareArticle?mini=true&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthree-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n## **Three ways Canadian communities are reducing flood**\n\n## **risks**\n\nwww.newscanada.com\n\nWord Count: 281\n\n[Media Attachments](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[View](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[Related Posts](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n[Terms of Use](https://www.newscanada.com/en/three-ways-canadian-communities-are-reducing-flood-risks-139844)\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly\n\nexposed. There are large-scale programs available across the country providing flood protection\n\nmeasures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This\n\nprogram is helping build the resilience of communities and homes through a variety of\n\npreventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically\n\nfound in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community\n\nGardens created a wetland on downtown’s east side, an area historically prone to flooding. Made\n\nup of natural elements like ponds and marshes, the wetland reduces the community’s flood risk\n\nby catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the\n\nCity of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online\n\nflood prevention guidance. Residents can input their addresses to see if they are at risk and learn\n\ntips to reduce the risk of flooding around their properties. The portal launched in the summer of\n\n2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might\n\notherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of\n\neligible material and labour costs, up to a maximum of $1,000. More than 90 properties\n\ncompleted upgrades, including installing sump pumps, backup batteries, backwater valves, and\n\nwater monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\n−\n\n+\n\n+\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
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- "text": "website that tracks which councils have published public toilet open data, and which have not. A\n\nmap like this solves one specific, concrete problem in the ordinary, daily life of many people:\n\n*\"Many older people have continence concerns and only go to places where they know there is a*\n\n*toilet. \"*\n\nIt is also possible and useful to pass the message that, when it comes to participation, activism and\n\ntransparency in politics, Open Data are a concrete and pacific weapon that is both very effective and\n\nvery easy to use for everybody. Dino Amenduni [explained the first point well](http://www.ilfattoquotidiano.it/2010/12/26/after-gelmini-idee-per-una-protesta-efficace/83705/) at the end of 2010\n\nwith words and arguments that, while tightly bound to the current situation in Italy, apply, in spirit,\n\nalso to other countries:\n\n*in order to have your voice heard, it is necessary to threaten the private interests of*\n\n*politicians. The ways to achieve this goal are, in my opinion... Communication*\n\n*guerrilla: physical violence doesn't generate change anymore. Power is in the hands of*\n\n*those who have data. But those data must be communicated, made usable, fun to use,*\n\n*shareable, in order to give the feeling that knowledge brings a concrete (economic or*\n\n*intangible) personal advantage*\n\nProofs that participation to generation and usage of Open Data is easy would include, instead,\n\nexamples like [electionleaflets](http://www.electionleaflets.org/) . All citizens who can use a computer scanner and have Internet access\n\ncan upload on that website the leaflets distributed by the candidates during a campaign, making\n\nmuch easier (after other, more skilled volunteers have inserted the content of the leaflets in\n\nsearchable databases) comparisons between the candidates positions or making public some\n\ndisrespectful material (racist, insulting…).\n\n### **4.7. Involve NGOs, charities and business associations**\n\nAs a final note and recommendation of this report, we'll note that, in comparison with hackers and\n\npublic officers, there are other parties that could and should play a role in Open Data adoption much\n\nbigger than what they have had so far.\n\nNGOs and charities, as well as professionals or business associations, all have lots to gain from\n\nOpen Data but don't seem, in many cases, to have realized this yet. Members of the first category\n\nshould routinely ask for support directly to Open Data civic hackers to gather (either from\n\ngovernment or citizens) more up to date information that is specifically relevant for their\n\ncampaigns.\n\nThe other associations, instead, should be much more active both in publishing Open Data about\n\ntheir activities, to gain better access to customers and guarantee fair market competition, and in",
- "page_start": 31,
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- "source_file": "Open_Data_Report.pdf"
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- "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that\n\nmakes it possible to use it on local issues, for the reasons and in the ways discussed in the next\n\nparagraph. For example, visualization techniques like those used by ABC News to show the effects\n\nof the [March 2011 Japan Earthquake](http://www.abc.net.au/news/events/japan-quake-2011/beforeafter.htm) , in which all the user has to do to compare scenes from before\n\nand after the earthquake is to move a slider, should be routinely used to explain proposals about\n\nurban planning, zoning and related topics.\n\n### **4.6. Focus on local, specific issues to raise interest for Open**\n\n**Data**\n\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens\n\nto use Open Data in their political, economic and professional decisions, one of the final\n\nrecommendations of the Open Data, Open Society report confirms its importance and needs to be\n\nrepeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of\n\ncitizens that demand and use Open Data in the shortest possible time, to practice all the\n\nrecommendations of this report *at the local level* ,\n\nMost people encounter their local governments much more often then their national ones. When\n\nworking within a single city or region it is much easier to inform citizens, raise their interest and\n\ninvolve them, because they would be searching *local* solutions to improve *local* services and/or\n\nsave *local* money. There may also be much more opportunities to do so, especially in this period of\n\nfinancial crisis that will see substantial decreases both in credit by financial institutions and in\n\nsubsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\"\n\nmust be the keys for local activists and public employees working on local Open Data:\n\n- work on specific issues and with precise objectives\n\n- focus on immediate usefulness\n\n- work on demand, on the *services* that people want. Required services define what data must\n\nbe open, not the contrary\n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data:\n\n*\"how do we get people to use the data that we publish?\"* . The right question, instead, is \"what data\n\ndo people want?\". Even if citizens don't realize yet that what they actually want is more Open Data,\n\nor that what they need can be done more quickly and cheaply by releasing some information in that\n\nway.\n\nA great example of what all this means is the [Great British Public Toilet Map](http://www.guardian.co.uk/technology/2011/mar/29/toilets-government-open-data) : a public participation",
- "page_start": 30,
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- "source_file": "Open_Data_Report.pdf"
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- "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first\n\nis to protect a public administration from having to pay *twice* for those data, if it needs it again in\n\nthe future for some other internal activity, not explicitly mentioned in the initial contract. The\n\nsecond reason is to not spend more than what is absolutely necessary to respond to public records\n\nrequests, that is to comply with Freedom of Information laws.\n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is\n\nsharing it with all the citizens using the public services based on those data. A [real world example ](http://blog.okfn.org/2010/10/29/open-data-in-public-private-partnerships-how-citizens-can-become-true-watchdogs/)\n\nof this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bike-\n\nsharing scheme started in May 2009, through a partnerships with a private company: JCDecaux\n\nfinances the infrastructure and operates it, in exchange for advertising space on the bikes\n\nthemselves and on billboards at the bike sharing stations. The availability of bikes and parking\n\nspaces of each station is published online in real time on the official Villo's website.\n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website\n\nthat reuses those data to measure where and how often there aren't enough available bikes and\n\nparking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated\n\nit to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because\n\ncitizens could monitor the service by themselves, were possible just because the data from the\n\nofficial website were legally and automatically reusable.\n\n### **3.4. The price of digitization**\n\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if\n\nit is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that\n\nalready existed and must be fixed anyway, regardless (again) of openness. Any substantial increase\n\nof efficiency and reduction of the costs of Public Administrations can only happen when data and\n\nprocedures are digitized. The problem is that such digitization (which, obviously, must happen\n\nanyway sooner or later) can be very expensive and we are only now starting to really realize how\n\nmuch. Actual, material costs are not the worst problem here. Activities like semi-automatic\n\nscanning of paper documents or typing again their content inside some database, are relatively low,\n\none-time expenses that are also very easy to calculate and budget in advance with great precision.\n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is\n\nreally difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less\n\nautomatic procedures and file templates, formats, habits and customs developed, maybe over",
- "page_start": 13,
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- "source_file": "Open_Data_Report.pdf"
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- "text": "*since 1996. Such growth might be manageable if the costs of handling each requests was dropping*\n\n*rapidly, but it has more than quadrupled.*\n\nUnfortunately, alternatives like charging for access to data or cutting the budget for providing them\n\nto citizens remain very common in spite of their negative effects. According to Eaves, the first\n\npractice has already caused *a reduction* in the number of freedom of information requests filed by\n\ncitizens, while budget cuts invariably and greatly delay processing times.\n\n### **3.2. Creative, unforeseen uses of local Open Data increase**\n\nProofs that, as cited in the Open Data, Open Society report, \"Data is like soil\", that is valuable not\n\nin itself, but because of what *grows* on it, often in ways that the landowner couldn't imagine,\n\ncontinue to arrive. Here is an example from [Day Two: Follow the Data, Iterating and the $1200 ](http://codeforamerica.org/2011/01/06/day-two-follow-the-data-iterating-and-the-1200-problem/)\n\n[problem](http://codeforamerica.org/2011/01/06/day-two-follow-the-data-iterating-and-the-1200-problem/) :\n\n*Ed Reiskin noticed a problem with street cleaning. Some trucks would go out, coming*\n\n*back with little or no trash depending on the day and route they took. After getting the*\n\n*tonnage logs, his team quickly realized that changing certain routes and reducing*\n\n*service on others would save money (less gas, parts, labor) and the environment (less*\n\n*pollution, gas consumption, water). A year later, the department realized a little over a*\n\n*million dollars in savings. The point?* * **Follow the data** * .\n\nThe value embedded in data isn't only economical or political, but also social. Here are a few\n\nexamples.\n\nAt the Amsterdam fire brigade, once a fire alarm starts, [all sorts of data is collected](http://blog.okfn.org/2010/10/25/getting-started-with-governmental-linked-open-data/) , to maximize\n\nthe probabilities to save lives and property, about the location and the route to the emergency:\n\nconstructions on the way, latest updates from OpenStreetMap, the type of house and if possible\n\nmore data such as construction dates, materials, people living there and so on.\n\nUsing the geographical coordinates embedded in online photo databases like Flickr, digital\n\ncartographer Eric Fischer creates maps that highlight people behavior. For example, he documented\n\nhow, in Berlin, most locals tend to stay in the same neighborhoods and don't go to West Berlin or to\n\nthe outskirts of the city. This information has economic value, journalist Kayser-Bril noted: *\"You*\n\n*can then sell this for instance to businessmen who want to open a shop in Berlin for tourists, and*\n\n*telling them where to go and where not to go.\"*\n\nNorwegian transport company Kolumbus has embedded 1,200 bus stops with barcodes in the square\n\nQR format, that can encode text or URLs. Scanning those codes with a free software application for\n\nsmartphones loads a website that lists upcoming bus departure times. Later, Kolumbus [partnered ](http://www.grist.org/article/2011-02-17-norways-facebook-killer-is-for-buses-only)",
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- "text": "based PSI analysis and presentation, not just to crime mapping:\n\nIn general, a map is just a map, not reality. It doesn't always and necessarily provide\n\nscientific evidence. Crime maps, for example, are NOT safety maps, as most citizens\n\nwould, more or less consciously, like them to be: a tool that tells them where to buy a\n\nhouse their according to the level of criminality in the district.\n\nWhen used in that way, crime maps can give unprepared users two false impressions:\n\nthe first, obvious one, is that certain areas are only criminal spaces, exclusively\n\ninhabited by criminals. The other is to encourage a purely egoistic vision of the city,\n\nwhere the need for safety becomes paranoia and intolerance and all that matters is to be\n\ninside some gated community. This doesn't lower crime levels at all: the only result is to\n\nincrease urban segregation.\n\nTo make things worse, crime data not analyzed and explained properly don't just contribute to\n\nstrengthen egoistic attitudes and lock the urban areas that are actually the most plagued by crime\n\ninto their current difficult state indefinitely. Sometimes, they may even perpetuate beliefs that are,\n\nat least in part, simply false. Of course, when those beliefs not grounded in facts already existed,\n\nopen crime data can help, by finding and proving the gaps between perception of criminality and\n\nreality. Belleri, for example, [notes](http://ilgirodellanera.wordpress.com/2011/01/10/mappe-del-crimine-istruzioni-per-luso/) that residents of Milan consider the outskirts of their city more\n\ndangerous than downtown Milan, while Londoners think the opposite about London... but in both\n\ncities the truth emerging from data is exactly the opposite (at least for certain categories of crime) of\n\nwhat their residents believe.\n\n#### **3.6.3. Unequal access**\n\nEven ignoring crime mapping, in some worst case scenarios, data openness may be not only\n\nhindered by social divisions, but also create or enhance them. If citizens can't find and recognize\n\nreal, relevant *meaning* and practical value in data, as well as way to use them to make change\n\nhappen, there won't be any widespread, long lasting benefit from openness. How can we guarantee,\n\ninstead, that such meaning and value will be evident and usable? What are the ingredients for\n\nsuccess here?\n\nEnhancing access to PSI it's harder than it may seem because it isn't just a matter of physical\n\ninfrastructure. It is necessary that those who access Open Data are in a position to actually\n\nunderstand them and use them in their own interest.\n\nThis is far from granted also because, sometimes, the citizens who would benefit the most from\n\ncertain data are just those, already poor, marginalized and/or without the right education, who have\n\nthe least chances to actually discover and be able to use them. This is what G. Friedman was",
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- "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides\n\nthat those from (properly done) Open Data are a really tiny percentage of the total.\n\nThis is a consequence of the fact that data about us end up online from the most different sources\n\n(including ourselves and our acquaintances), and that often it would be very hard to discover, never\n\nmind *prove* , that they've been used against our interest. There have been concerns, for example, that\n\ninsurance companies may charge higher fees for life insurance to those among their customers\n\nwho... put online a family tree from which it shows that they come from families with an average\n\nlife expectancy lower than usual.\n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of\n\ndata, that weren't even published by any Public Administration? Of course, publishing online\n\ncomplete, official Census data of several generations, in a way that would make such automatic\n\nanalysis possible would be a totally different matter.\n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is\n\nneeded to dismiss for good the idea that Open Data is a generalized attack to privacy is to always\n\nremember and explain that:\n\n1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air\n\npollution measurements....)\n\n2. The majority of data that are directly related to individuals (e.g. things like names and\n\naddress of people with specific diseases, or who were victims of some crime) have no reason\n\nto be published, **nor there is any actual demand for them by Open Data advocates**\n\n3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to\n\npublic offices, Government and Parliament members etc...) already exist in many countries\n\n4. Very often, in practice, Open Data struggles only happen about *when and how* to make\n\navailable in the most effective way for society information that was *already* recognized as\n\npublic. *What* to declare public, hence open, is indeed a serious issue (more on this in the next\n\nparagraph) but is a separate one.\n\n### **3.8. Need to better define what is Public Data**\n\nTogether with citizens education, there is a huge challenge that Governments and the Open Data\n\nmovement will have to face (hopefully together) in 2011 and beyond. This challenge is to update\n\nand expand the definition of Public Data and to have it accepted by lawmakers and public\n\nadministrators.",
- "page_start": 22,
- "page_end": 22,
- "source_file": "Open_Data_Report.pdf"
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- "text": "#### **3.6.1. Data alterations and financial sustainability**\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, *before*\n\nthey are published online. The most common concerns of this type are (from [Open Public Data: ](http://blog.okfn.org/2011/01/28/open-public-data-then-what-part-1/)\n\n[Then What? - Part 1](http://blog.okfn.org/2011/01/28/open-public-data-then-what-part-1/) ):\n\n1. Opening up PSI causes those data to not be produced anymore, or to be only produced as\n\nprivate property by private corporations, because the public agencies whose job was to\n\nproduce those data, can't sell them anymore.\n\n2. total accessibility of data provides more incentives to tinker with them, at the risk of\n\nreducing trust in institutions and inhibiting decision-making even more than today.\n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account\n\nis that, once data are open, routinely used and monitored by as many independent users as possible,\n\neven the cost of keeping them up to date may be sensibly reduced: in other words, in the\n\nmedium/long term Open Data may reduce the need to periodically perform complete, that is very\n\nexpensive, studies and surveys to update a whole corpus of data in one run.\n\nBesides, and above all, even if opening data always destroyed any source of income for the public\n\noffice that used to create and maintain them, this problem would only exist for the PSI datasets that\n\nare *already* sold today. Such data, even if of strategic importance as is the case with digital\n\ncartography, are only a minimal fraction of all the PSI that could and should be opened to increase\n\ntransparency, reduce the costs of Government and stimulate the economy. In all these other cases:\n\n- the money to generate the data already arrives by some other source than sales and\n\nlicensing(but even with those data it may be possible to generate them by crowdsourcing,\n\nthereby reducing those costs!)\n\n- the only extra expense caused by publishing those data online (assuming they're already\n\navailable in some digital format, of course!), would be the hosting and bandwidth costs, that\n\nmay be greatly reduced by mirroring and other technical solutions like torrents, already\n\nwidely used to distribute Free/Open Source Software (FOSS) through the Internet.\n\n#### **3.6.2. Real impact of data manipulation or misunderstanding**\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but\n\nto simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance\n\nof occasions to secretly play with data and how they are managed is a symptom of excessive, or\n\npeak complexity: again, problems and risks with Open Data are a symptom of a [pre-",
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- "text": "the availability of Open Data. Of course, this isn't always possible.\n\n#### **3.6.6. Unprepared Public Administrators**\n\nIt is undeniable that today, especially at the local level, most Public Administrators that should or\n\nmay contribute to open the public data held by their organizations still ignore, and sometimes\n\ndisdain, Open Data proposals, principles and practices. This happens for many reasons. We'll only\n\nmention two of them that are quite common. They are interesting because, while being somewhat\n\nrelated and sharing common origins, one is very hard to fix, the other, at least in comparison, very\n\neasy.\n\nTo begin with, most of these administrators are people that, albeit very competent and committed to\n\ntheir work, were not really trained to live with so much of what they perceive as \"their\" documents\n\nand daily activities as Open Data implies regularly exposed to the public. This is true even among\n\nadministrators who are already well acquainted with mainstream \"Web 2.0\" practices. Many\n\nofficers who already have a regular presence on Facebook, Twitter or other social networks and\n\nregularly use those platforms to discuss their work with their constituents feel diffident about Open\n\nData in the same measure as their colleagues who don't even use computers yet. A cultural barrier\n\nlike this requires both strong demand from citizens and detailed examples of how Open Data can be\n\ngood for the local budget to be overcome in acceptable time frames.\n\nAnother factor that may keep administrators away from Open Data is the more or less unconscious\n\nassumption that, in order to use them, a City Major or Region Governor should be very skilled\n\nhimself, if not with actual programming, with \"Web 2.0\" tools, modern online services and/or\n\ngeneral software engineering principles. This is simply not true. Surely, Open Data is something\n\nthat is made *possible* only by modern digital technologies and the Internet, but at the end of the day\n\nit's \"simply\" a way to increase transparency, efficiency and cost reductions inside Public\n\nAdministration, and to create local jobs. If these hypotheses are as concrete as this and many other\n\nstudies explain, there is no need for a Major to have programming skills, like social networks or\n\nhave any other personal \"2.0\" skill or training to see the advantages of Open Data and delegate to\n\nhis or her IT staff their implementation.\n\n### **3.7. The privacy problem**\n\nBeing perceived as a lethal attack to privacy remains one of the biggest misunderstandings that\n\nprevents adoption of Open Data. On one hand, there is no doubt that in an increasingly digital world\n\nit becomes harder and harder to protect privacy. But, exactly *because* the whole world is going",
- "page_start": 21,
- "page_end": 21,
- "source_file": "Open_Data_Report.pdf"
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- "text": "officially lobbying Public Administrations to get the PSI they could use for the same purposes. As\n\nother suggestions made here, these are activities that should start at the city and regional level, first\n\nwith custom-made education initiatives, then with specific data-based services. Engaging all these\n\nactors in the adoption of (local) Open Data will be one of the big challenges of the next years.\n\n## **5. Bibliography**\n\nBesides those explicitly linked from the text, this report has drawn inspiration by many other\n\nresources. The most important ones are listed here, but the complete list should be much longer. We\n\nwish to thank first the authors of the works listed below and, immediately after, to all the activists,\n\ninside and outside governments worldwide, who are working on this topic.\n\n1. [ Are you prepared for the pitfalls of Gov 2.0?](http://smartblogs.com/socialmedia/2010/08/09/are-you-prepared-for-the-pitfalls-of-gov-2-0/)\n\n2. [ Can we use Mobile Tribes to pay for the costs of Open Data?](http://mfborman.wordpress.com/2011/02/22/can-we-use-mobile-tribes-to-pay-for-the-costs-of-open-data/)\n\n3. [ Canada launches data.gc.ca - what works and what is broken](http://eaves.ca/2011/03/17/canada-launches-data-gc-ca-what-works-and-what-is-broken/)\n\n4. [ Creative Commons and data bases: huge in 2011, what you can do](http://creativecommons.org/weblog/entry/26283)\n\n5. [ Defining Gov 2.0 and Open Government](http://gov20.govfresh.com/social-media-fastfwd-defining-gov-2-0-and-open-government-in-2011/)\n\n6. [ How Government Data Can Improve Lives](http://www.nytimes.com/2011/03/13/business/13view.html?_r=1)\n\n7. [ If you like solar, tell your utility to publish this map](http://www.grist.org/solar-power/2011-04-18-if-you-like-solar-tell-your-utility-to-publish-this-map)\n\n8. [ Indian corruption backlash builds after \"year of the treasure hunters\"](http://www.guardian.co.uk/world/2011/jan/02/india-corruption-backlash-treasure-hunters)\n\n9. [ Información Cívica / Just What is Civic Information?](http://informacioncivica.info/mexico/just-what-is-civic-information-2/)\n\n10. [Is open government just about information?](http://ingridkoehler.com/2011/01/is-open-government-just-about-information/)\n\n11. [LSDI : In un click la mappa del crimine](http://www.lsdi.it/2011/01/18/in-un-click-la-mappa-del-crimine/)\n\n12. [La casta è online: dategli la caccia!](http://www.ilfattoquotidiano.it/2011/03/16/la-casta-e-online-dategli-la-caccia/97961/)\n\n13. [Linee guida UK sull'opendata](http://www.innovatoripa.it/posts/2010/09/1346/linee-guida-uk-sull%E2%80%99opendata)\n\n14. [MSc dissertation on Open Government Data in the UK](http://practicalparticipation.co.uk/odi/report/)\n\n15. [Open Data (2): Effective Data Use](http://gurstein.wordpress.com/2010/09/09/open-data-2-effective-data-use/) .\n\n16. [Open Data: quali prospettive per la pianificazione?](http://www.slideshare.net/ernestobelisario/presentazione-belisario-input)\n\n17. [Open Knowledge Foundation Blog \" Blog Archive \" Keeping Open Government Data](http://blog.okfn.org/2011/03/01/keeping-open-government-data-open/)\n\n[Open?](http://blog.okfn.org/2011/03/01/keeping-open-government-data-open/)\n\n18. [Open data, democracy and public sector reform](http://practicalparticipation.co.uk/odi/report/)\n\n19. [Pubblicato Camere Aperte 2011 - blog - OpenParlamento](http://parlamento.openpolis.it/blog/2011/02/28/pubblicato-camere-aperte-2011)\n\n20. [Reasons for not releasing data in government](http://egovau.blogspot.com/2010/11/reasons-for-not-releasing-data-in.html)\n\n21. [The impact of open data: first evidence](http://egov20.wordpress.com/2010/10/21/the-impact-of-open-data-first-evidence/)",
- "page_start": 32,
- "page_end": 32,
- "source_file": "Open_Data_Report.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "pubmed2.pdf",
- "query": "In these mice, which lumbar levels were the dorsal root ganglion removed from?",
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- "target_passage": "L3 to L5 DRGs were removed and postfixed for another 2 hours",
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- "text": "cell death and apoptosis with more than 10 genes were\n\nexamined. Filtered count data of expressed and nondifferentially\n\nexpressed genes were used as a background.\n\n2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgD <sup>CreERT2</sup> ;Ai32 and\n\nCalca <sup>CreERT2</sup> ;Ai32 mice . 1 week after dosing with tamoxifen and\n\nenzymatically digested at 37˚˚C for 80 minutes in dispase type II\n\n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously. <sup>63</sup> Mechanically dissoci-\n\nated cells were plated onto laminin/poly-D-lysine (R&D Systems,\n\nMinneapolis, MN) treated coverslips in complete Neurobasal Plus\n\nmedium (Neurobasal Plus media supplemented with 2% (vol/vol)\n\nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic- antimycotic\n\n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth\n\nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech,\n\nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor\n\n(GDNF, PeproTech) were added to the media under some\n\nconditions. Cytosine b -D-arabinofuranoside (4 m M) was added to\n\nthe media for 24 hours the day after plating to reduce the\n\nproliferation of nonneuronal cells. Media was refreshed 3 times\n\nper week thereafter. Cultures were fixed for 10 minutes at room\n\ntemperature with 4% paraformaldehyde and subsequently\n\nprocessed by immunocytochemistry (described earlier).\n\n2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified,\n\nand P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7. <sup>15</sup> A quantitative Venn diagram was created using BioVenn. <sup>25</sup> All\n\nother statistical analyses were performed in Prism 10 (GraphPad\n\nSoftware, Inc, Boston, MA) or R using paired t tests or 1- or 2-way\n\nRM ANOVAs (repeated measures analysis of variance), where\n\nappropriate. Normality was assessed by the Shapiro- Wilk test. If\n\nthe main analysis of variance effect was significant, <sup>ˇ</sup> S´ıd ´ak or\n\nTukey multiple comparisons tests were performed. To compare\n\npopulation distributions of soma cross-sectional area or volume,\n\nKolmogorov- Smirnov tests were performed.\n\n3. Results\n\n3.1. Peripheral nerve injury induces a loss of small neurons\n\nfrom the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve\n\ninjury, we generated the Avil <sup>FlpO</sup> ;Atf3 <sup>CreERT2</sup> ;RC::FLTG mouse\n\nline in which na¨ıve and axotomized sensory neurons were\n\ndifferentially labelled. In this mouse line, all neurons express\n\ntdTomato (Flp-dependent) in the na¨ıve state and switch to\n\nexpressing green fluorescent protein (GFP) upon axonal damage\n\nand concurrent tamoxifen treatment (Flp- and Cre-dependent)\n\n( Figs. 1A and B ). Following pilot experiments to optimize\n\ntamoxifen dosing regimen, this approach was both highly efficient\n\nand specific (with the caveat that it was necessary to wait for\n\nseveral days after nerve injury for Cre-induced GFP expression):\n\n14 days after SNI trans surgery, GFP was expressed by 99.1 6\n\n0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we\n\nobserved GFP in only 4.6 6 0.7% of contralateral DRG neurons\n\n[(Figs. S2A- D, http://links.lww.com/PAIN/C84). We then used](http://links.lww.com/PAIN/C84)\n\na stereological approach to quantify the total number of neurons\n\nin L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNI trans, as\n\nwell as contralateral to injury. One week after SNI trans , we\n\nobserved 7809 6 153 neurons per DRG; this was not significantly\n\ndifferent to the number of neurons in the contralateral DRG\n\n(7917 6 349), whereas cell number approximately halved by\n\n8 weeks postinjury to 3963 6 410 neurons per DRG ( Fig. 1C ).\n\nSeparating analysis into intact vs axotomized afferents revealed\n\nthat only axotomized afferents were lost, with no difference\n\nobserved in numbers of intact afferents ( Fig. 1D ). Between 1 and\n\n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the\n\nnumber of GFP 1 neurons. This loss of injured afferents resulted\n\nin a loss of neuron-containing (ie, excluding white matter regions)\n\nDRG volume ( Fig. 1E ), but not neuron density ( Fig. 1F ). Cell loss\n\npredominantly occurred between 1 and 2 weeks postinjury and\n\nstabilized after this timepoint. Population distributions of the\n\ncross-sectional area of nucleated, tdTomato-expressing cell\n\nprofiles were not significantly different at 1 vs 8 weeks post-\n\nSNI trans , in contrast to GFP-expressing/injured afferents, in which\n\na loss of a population of small afferents at 8 weeks postinjury was\n\nobserved ( Fig. 1G ).\n\nSNI trans resulted in a mixed population of axotomized and intact\n\nafferents within the L4 DRG. Therefore, we developed an approach\n\nto restrict our analysis to axotomized afferents, without relying on\n\ntransgenic labelling, and used this as a complementary approach to\n\nconfirm our findings. We injected the neuronal tracer FB into the\n\nglabrous, tibial innervation territory of both hindpaws 1 week before\n\ncommon peroneal and tibial transection (SNI trans ) or crush (SNI crush )\n\nsurgeries ( Figs. 2A and B ). FastBlue-uptake was complete across\n\n[neurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/](http://links.lww.com/PAIN/C84)\n\n[C84), so this approach allowed us to profile a sample of the](http://links.lww.com/PAIN/C84)\n\naxotomized afferents. Both SNI trans ( Fig. 2C ) and SNI crush ( Fig. 2D )\n\ninjuries resulted in a rightward shift in population distributions of the\n\ncross-sectional area of nucleated, FB-labelled DRG neurons when\n\ncompared with contralateral DRG, consistent with a loss of small\n\nafferents post- nerve injury.\n\nAs a third complementary approach, we applied semiauto-\n\nmated volumetric analyses of nuclei size following tissue clearing.\n\nIn this study, whole DRGs were cleared 4 weeks after SNI trans for\n\nnuclei counting in “complete” tissue ( Figs. 2E- H ). Nuclei were labelled by TDP-43, in line with the study by West et al., <sup>67</sup> and\n\nwere quantified using Imaris software ( Fig. 2F , Video 1). We\n\nobserved a slight but significant rightward shift in nuclear spot\n\nvolume population distribution 4 weeks after SNI trans ( Fig. 2G ). In\n\naddition, there was a significant reduction in the number of small\n\nbut not medium or large nuclear spots, in support of a loss of\n\nsmall-diameter neuron populations ( Fig. 2H ).\n\nTogether, our data derived from several different experimental\n\napproaches show that a population of small-diameter afferents\n\nare lost following peripheral nerve injury.\n\n3.2. Spared nerve crush or transection results in death of\n\nMrgprd-expressing neurons\n\nTo date, determining cell loss among specific populations of\n\nafferent neurons has proved challenging due to the down-\n\nregulation of subpopulation-specific marker genes following axonal transection. <sup>37,44</sup> To overcome this issue, we took\n\nadvantage of transgenic strategies to label populations in\n\na manner that persisted after injury. Owing to the bias for the\n\nloss of small neurons and the known loss of IB4-binding central terminals postinjury, <sup>36</sup> we initially focused on nonpeptidergic nociceptive neurons. We used MrgD <sup>ChR2-YFP</sup> mice to identify\n\nneurons belonging to the largest of the 3 classes of non- peptidergic nociceptors, NP1. <sup>55,59</sup> To determine whether these\n\nneurons are lost following nerve injury, we used a stereological method to quantify L4 DRG MrgD-YFP <sup>1</sup> (yellow fluorescent",
- "page_start": 4,
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- "source_file": "pubmed2.pdf"
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- {
- "text": "[30] Liang Z, Hore Z, Harley P, Uchenna Stanley F, Michrowska A, Dahiya M,\n\nLa Russa F, Jager SE, Villa-Hernandez S, Denk F. A transcriptional\n\ntoolbox for exploring peripheral neuroimmune interactions. PAIN 2020;\n\n161:2089- 106.\n\n[31] Love MI, Huber W, Anders S. Moderated estimation of fold change and\n\ndispersion for RNA-seq data with DESeq2. Genome Biol 2014;15:550.\n\n[32] Madisen L, Mao T, Koch H, Zhuo J, Berenyi A, Fujisawa S, Hsu YWA,\n\nGarcia AJ, Gu X, Zanella S, Kidney J, Gu H, Mao Y, Hooks BM, Boyden\n\nES, Buzs ´aki G, Ramirez JM, Jones AR, Svoboda K, Han X, Turner EE,\n\nZeng H. A toolbox of Cre-dependent optogenetic transgenic mice for\n\nlight-induced activation and silencing. Nat Neurosci 2012;15:793- 802.\n\n[33] Madisen L, Zwingman TA, Sunkin SM, Oh SW, Zariwala HA, Gu H, Ng LL,\n\nPalmiter RD, Hawrylycz MJ, Jones AR, Lein ES, Zeng H. A robust and\n\nhigh-throughput Cre reporting and characterization system for the whole\n\nmouse brain. 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Functional\n\ncharacterization of pulmonary neuroendocrine cells in lung development,\n\ninjury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531- 6.\n\n[52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of\n\nGDNF in the uninjured DRG exerts analgesic effects on neuropathic pain\n\nfollowing segmental spinal nerve ligation in mice. J Pain 2011;12:\n\n1130- 1139.\n\n[53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root\n\nganglion cells after transection of the rat sciatic nerve. J Comp Neurol\n\n2000;422:172- 80.\n\n[54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons:\n\ndiagnosis and prevention. J Hand Surg Eur Vol 2011;36:730- 4.\n\n[55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, Hjerling-\n\nLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S,\n\nErnfors P. Unbiased classification of sensory neuron types by large-scale\n\nsingle-cell RNA sequencing. 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Neuroscience 2003;\n\n121:815- 24.\n\n[61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan\n\nfluorescent protein (CFP) expressing cells in the retina of Thy1-CFP\n\ntransgenic mice before and after optic nerve injury. Neurosci Lett 2010;\n\n468:110- 4.\n\n[62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM,\n\nAdelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR.\n\nMrgprdCre lineage neurons mediate optogenetic allodynia through an\n\nemergent polysynaptic circuit. PAIN 2021;162:2120- 31.\n\n[63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB,\n\nBennett DL. Using an engineered glutamate-gated chloride channel to\n\nsilence sensory neurons and treat neuropathic pain at the source. Brain\n\n2017;140:2570- 85.\n\n[64] Welin D, Novikova LN, Wiberg M, Kellerth JO, Novikov LN. Survival and\n\nregeneration of cutaneous and muscular afferent neurons after peripheral\n\nnerve injury in adult rats. Exp Brain Res 2008;186:315- 23.\n\n[65] West CA, Davies KA, Hart AM, Wiberg M, Williams SR, Terenghi G.\n\nVolumetric magnetic resonance imaging of dorsal root ganglia for the\n\nobjective quantitative assessment of neuron death after peripheral nerve\n\ninjury. Exp Neurol 2007;203:22- 33.\n\n[66] West CA, Ljungberg C, Wiberg M, Hart A. Sensory neuron death after\n\nupper limb nerve injury and protective effect of repair: clinical evaluation\n\nusing volumetric magnetic resonance imaging of dorsal root ganglia.\n\nNeurosurgery 2013;73:632- 40.\n\n[67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological\n\nautomated analysis of biological structures. bioRxiv 2020:648337.\n\n[68] Wiberg R, Novikova LN, Kingham PJ. Evaluation of apoptotic pathways in\n\ndorsal root ganglion neurons following peripheral nerve injury.\n\nNeuroreport 2018;29:779- 85.\n\n[69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum\n\nAI. Dorsal root ganglion macrophages contribute to both the initiation and\n\npersistence of neuropathic pain. Nat Commun 2020;11:264.\n\n[70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia\n\ngelatinosa mediate interaction of signals from primary afferents. J Physiol\n\n2010;588:2065- 75.",
- "page_start": 13,
- "page_end": 13,
- "source_file": "pubmed2.pdf"
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- "text": "an industrial partnership grant from the BBSRC and AstraZeneca.\n\nThe remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.-\n\n[A.W.—gregory.weir@glasgow.ac.uk. Further information and](mailto:gregory.weir@glasgow.ac.uk)\n\nrequests for reagents and/or reagents used in this study should\n\nalso be directed to G.A.W., and we will endeavour to fulfil these.\n\nAcknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp\n\ntransgenic mouse line and Prof Andrew Todd and Dr David\n\nHughes for their critical feedback on the manuscript. Neuron and\n\nganglion illustrations in Figure 1 [ and S1 (http://links.lww.com/](http://links.lww.com/PAIN/C84)\n\n[PAIN/C84) were adapted from images provided by Servier](http://links.lww.com/PAIN/C84)\n\nMedical Art, licensed under CC BY 4.0. The research was funded\n\nby an MRC Fellowship grant awarded to GAW. (MR/T01072X/1)\n\nand a Tenovus Scotland Pilot Grant awarded to AHC and GAW\n\n(S22-17). This work was also funded by the Wellcome Trust (DPhil\n\nscholarship to AMB, 215145/Z/18/Z) and a Wellcome Investiga-\n\ntor Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/\n\nT020113/1), and with funding from the MRC and Versus Arthritis\n\nto the PAINSTORM consortium as part of the Advanced Pain\n\nDiscovery Platform (MR/W002388/1). AMB further received\n\na GTC MSDTC Scholarship.\n\nSupplemental digital content\n\nSupplemental digital content associated with this article can be\n\n[found online at http://links.lww.com/PAIN/C84.](http://links.lww.com/PAIN/C84)\n\nSupplemental video content\n\nVideo content associated with this article can be found on the\n\nPAIN Web site.\n\nArticle history:\n\nReceived 14 November 2023\n\nReceived in revised form 11 April 2024\n\nAccepted 25 May 2024\n\nAvailable online 15 August 2024\n\nReferences\n\n[1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman\n\nAL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O’Neill TG, Zhuo J,\n\nTsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M,\n\nDymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. The cellular and\n\nsynaptic architecture of the mechanosensory dorsal horn. Cell 2017;168:\n\n295- 310.e19.\n\n[2] Bailey AL, Ribeiro-Da-Silva A. 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- "page_start": 12,
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- "text": "Research Paper PAIN 165 (2024) 2863- 2876\n\n### Peripheral nerve injury results in a biased loss of\n\n### sensory neuron subpopulations\n\n#### Andrew H. Cooper <sup>a</sup> , Allison M. Barry <sup>b</sup> , Paschalina Chrysostomidou <sup>a</sup> , Romane Lolignier <sup>a</sup> , Jinyi Wang <sup>a</sup> ,\n\n#### Magdalena Redondo Canales <sup>a</sup> , Heather F. Titterton <sup>a</sup> , David L. Bennett <sup>b</sup> , Greg A. Weir <sup>a,</sup> *\n\nAbstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability\n\nof discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury\n\nhas recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label\n\nmolecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared\n\nnerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron\n\nloss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of\n\nMrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%)\n\nfollowing sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic\n\nnociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG\n\nneuron subpopulations can survive axotomy, with implications for our understanding of nerve injury- induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly\n\nand functionally heterogeneous population. Under normal\n\nconditions, this diversity contributes to the ability of the\n\nsomatosensory nervous system to detect a myriad of sensory\n\nstimuli that result in the perceptions of touch, temperature,\n\nitch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability, <sup>57</sup> which is a key pathological driver of neuropathic pain. <sup>20,63</sup> Concomitant\n\nmolecular changes in discrete subpopulations also occur,\n\nand these have recently been comprehensively described in single-cell <sup>37,44</sup> and subpopulation-specific sequencing stud- ies. <sup>3</sup> These studies describe a transient and generalized\n\nreduction in the expression of subpopulation-specific genes\n\nfollowing nerve injury. <sup>3,37,44</sup>\n\nIn addition to molecular changes, there is a rich literature\n\ndescribing the frank loss of DRG neurons following traumatic\n\nnerve injury in experimental rodent models. <sup>24,50,53,56</sup> Some\n\nstudies have suggested that neuron loss occurs in certain patient cohorts, <sup>48,66</sup> but this is yet to be definitively demonstrated in\n\nhumans. In rodents, most studies support a preferential loss of small cells that give rise to unmyelinated fibers <sup>53</sup> but some contrasting studies describe the preferential loss of large cells <sup>6</sup> or loss of cells of all sizes. <sup>46</sup> Variation is evident across studies in\n\nterms of experimental species, age, type of injury, and quantification methods. <sup>56</sup> Shi et al. <sup>50</sup> used stereological counting\n\nmethods to identify a 54% loss of DRG neuron number 4 weeks\n\nafter “mid-thigh” sciatic nerve transection in C57BL/6 mice.\n\nEstimates for the degree of loss following commonly used nerve\n\ninjury paradigms (eg, spared nerve injury [SNI] and sciatic nerve\n\ncrush) are not available and because of the neurochemical\n\nchanges following injury and the loss of subpopulation marker gene expression, <sup>5,44,50</sup> the vulnerability of molecularly defined\n\nsubpopulations has not been characterized. Moreover, more\n\nrecent studies have cast doubt on the extent or even presence of\n\nDRG neuron death following nerve injury. One study which\n\ndeveloped a deep learning approach to assess rat DRG cellular\n\nplasticity found no loss of neurons up to 2 weeks post-SNI, <sup>49</sup>\n\nwhile another observed no loss of genetically labelled damaged\n\nDRG neurons 2 months after sciatic nerve crush. <sup>44</sup>\n\nThe issue of whether neuron loss occurs, and if so, in what\n\nsubpopulations, is important. It will likely have implications for our\n\nunderstanding of reinnervation and functional recovery in patients.\n\nFurthermore, better insight will provide critical context for those\n\ninvestigating the plasticity that occurs following nerve injury and\n\nmay inform therapeutic targeting of sensory neuron populations.\n\nAn expanding repertoire of transgenic recombinase driver lines\n\nnow makes it possible to permanently label DRG neuron\n\nsubpopulations and study their fate in rodent nerve injury paradigms.\n\nThe aim of this study was to use this technology to characterize\n\nSponsorships or competing interests that may be relevant to content are disclosed\n\nat the end of this article.\n\na School of Psychology and Neuroscience, University of Glasgow, Glasgow, United Kingdom, <sup>b</sup> Nuffield Department of Clinical Neurosciences, University of\n\nOxford, Oxford, United Kingdom\n\n*Corresponding author. Address: School of Psychology and Neuroscience,\n\nUniversity of Glasgow, Glasgow G12 8QQ, United Kingdom. Tel.: 1 44 (0) 141 330\n\n[7023. E-mail address: gregory.weir@glasgow.ac.uk (G.A. Weir).](mailto:gregory.weir@glasgow.ac.uk)\n\nSupplemental digital content is available for this article. Direct URL citations appear\n\nin the printed text and are provided in the HTML and PDF versions of this article on\n\n[the journal’s Web site (www.painjournalonline.com).](http://www.painjournalonline.com)\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf\n\nof the International Association for the Study of Pain. This is an open access article\n\n[distributed under the Creative Commons Attribution License 4.0 (CCBY), which](http://creativecommons.org/licenses/by/4.0/)\n\npermits unrestricted use, distribution, and reproduction in any medium, provided the\n\noriginal work is properly cited.\n\n[http://dx.doi.org/10.1097/j.pain.0000000000003321](http://dx.doi.org/10.1097/j.pain.0000000000003321)\n\nDecember 2024 · Volume 165 · Number 12 www.painjournalonline.com 2863",
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- "text": "3.3. Spared nerve injury induces a loss of Trpm8 <sup>1</sup> and calcitonin gene-related peptide <sup>1</sup> but not myelinated dorsal\n\nroot ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully\n\naccount for the degree of total neuron loss that we observed.\n\nTherefore, we studied a range of other subpopulations, both\n\nsmall and large in diameter, for their vulnerability to injury-\n\ninduced loss. To investigate potential loss of Trpm8 <sup>1</sup> (cold- sensitive), calcitonin gene-related peptide <sup>1</sup> (CGRP) (peptider-\n\ngic), and myelinated subpopulations of DRG neurons following\n\nnerve injury, we applied our FB-labelling approach in Trpm8 <sup>FlpO</sup> ;\n\nRC::FLTG (FlpO-dependent tdTom expression), Calca <sup>CreERT2</sup> ;\n\nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP\n\nmice, respectively ( Figs. 4A- D ). Trpm8-tdTom was expressed\n\nFigure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous\n\ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNI trans or SNI crush surgery. (B) Representative image of FB labelling and NeuN\n\nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3- m m intervals through the entirety of a 30- m m-thick tissue section. Scale bar 5\n\n100 m m. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNI trans (C) or SNI crush injury (D)\n\nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov- Smirnov tests of cumulative distributions; SNI trans : D 5 0.25, P ,\n\n0.001; n 5 183 or 191 neurons from 3 mice; SNI crush : D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG\n\nvolumetric analyses after SNI trans . (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot\n\ndetection feature. Scale bar 5 100 m m. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNI trans . Kolmogorov- Smirnov tests of\n\ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size,\n\nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F 2,14 5 8.26, P 5 0.004; n 5 4 to 5 mice; <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests:**\nP , 0.01. ANOVA,\n\nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures. Figure 3. Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgD <sup>ChR2-YFP</sup> L4",
- "page_start": 6,
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- "text": "[injury (Fig. S6A- C, http://links.lww.com/PAIN/C84), indicating](http://links.lww.com/PAIN/C84)\n\nthat any loss of neurons within specific neuronal subpopulations\n\nwas not biased towards soma size. Collectively, these data show\n\nthat unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm8 <sup>1</sup> and CGRP <sup>1</sup> subpopulations,\n\nbut no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic\n\nnociceptors, we re-analyzed a previous population-specific\n\ntranscriptomic dataset of mouse DRG neurons following nerve\n\ninjury for potential upregulation of cell death pathways (Fig. S7, [http://links.lww.com/PAIN/C84).](http://links.lww.com/PAIN/C84) <sup>3</sup> We found that early after injury\n\n(3 days post-SNI trans ), nonpeptidergic (MrgD <sup>CreERT2</sup> -expressing)\n\nneurons showed enhanced enrichment of GO terms associated\n\nwith apoptosis, in contrast to a broad population of nociceptors\n\n(labelled with Scn10a <sup>CreERT2</sup> ), peptidergic nociceptors (Calca-\n\nCreERT2 ), C-LTMRs (Th CreERT2 ), and A b -RA (rapidly adapting) and\n\nA d -LTMRs (A d /A b -LTMR, Ntrk2 <sup>CreERT2</sup> ;Advillin <sup>FlpO</sup> ), in which\n\nthere was less or no enrichment of cell death pathways. By\n\n4 weeks, only C-LTMR and A d /A b -LTMR subtypes show any\n\noverrepresentation of cell death pathways (in the populations\n\nstudied). Both injury-specific and apoptotic signatures in non-\n\npeptidergic neurons were no longer significantly enriched,\n\nconsistent with a loss of axotomized nonpeptidergic afferents\n\nby this late timepoint postinjury. These data suggest that\n\napoptotic pathways are upregulated acutely after injury in a cell-\n\ntype-specific manner.\n\n3.4. Mrgprd dorsal root ganglion neurons are sensitive to\n\nloss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support\n\nunderlies neuronal loss, which is supported by the observation\n\nthat exogenous GDNF treatment at the time of injury, or shortly\n\nafter, rescues the loss of IB4-binding central terminals posttransection. <sup>5</sup> We sought to use the DRG neurons from\n\nMrgD <sup>CreERT2</sup> ;Ai32 mice to test this postulate and establish an\n\nin vitro platform capable of probing the molecular basis of loss,\n\nwith axonal transection during isolation providing a correlate\n\nfor in vivo nerve injury ( Figs. 5A- E ). Twenty-four hours after\n\nplating, YFP was expressed by 16.3 6 1.3% of DRG neurons,\n\nwhich was reduced to 11.8 6 1.7% after 28 days of culture in\n\nthe presence of exogenous GFs, NGF and GDNF ( Fig. 5F ).\n\nHowever, in the absence of GFs, YFP <sup>1</sup> neurons only\n\naccounted for 1.7 6 0.6% of neurons after 28 days,\n\naccompanied by an apparent reduction in the overall number\n\nof neurons within the culture, despite all conditions being seeded at the same initial density ( Figs. 5C and F ). YFP <sup>1</sup> cell\n\nloss was partially rescued by the presence of GDNF, but not\n\nNGF alone, in the culture media ( Figs. 5D- F ). These results\n\ncontrasted with experiments using neurons derived from\n\nCalca <sup>CreERT2</sup> ;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP <sup>1</sup> after 28 days\n\nin culture, regardless of exogenous GF addition ( Figs. 5G- L ).\n\nCollectively, these data support the use of DRG cultures to\n\nprobe the mechanisms underlying selective loss of sensory\n\nneurons following nerve injury and suggest a role for trophic\n\nsupport, particularly by GDNF signaling, in preventing the loss\n\nof nonpeptidergic nociceptors.\n\n4. Discussion\n\nWe present data herein to support the hypothesis that\n\ntraumatic nerve injury in rodents leads to a profound loss of\n\nsmall-diameter DRG neurons. Taking advantage of newly\n\ndeveloped transgenic recombinase driver lines, we have\n\nshown that loss is biased across molecularly defined\n\nsubpopulations. Nonpeptidergic nociceptive neurons are\n\nparticularly susceptible to loss, with almost all Mrgprd <sup>1</sup>\n\naxotomized afferents lost following an unrepaired transection\n\ninjury (SNI trans ) and roughly half lost following a model which\n\ncontrastingly allows for nerve regenerations (SNI crush ).\n\nFinally, we have observed that the vulnerability of Mrgprd <sup>1</sup>\n\nneurons extends to the in vitro setting and provide data to\n\nsupport the hypothesis that loss is driven by a lack of\n\nneurotrophic support following injury.\n\n4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic\n\ninjury has been addressed by several groups over the last few\n\ndecades. Despite contrasting findings on the extent, timing, and\n\nform that loss takes, most studies have observed frank loss of DRG neurons. <sup>6,38,46,53</sup> However, more recent studies using\n\nrecombinase driver lines and novel machine-learning approaches have cast doubt on this consensus. <sup>44,49</sup> Our data strongly\n\nsupport the loss hypothesis and suggest that approximately 60%\n\nof axotomized afferents die within 2 weeks of SNI. The\n\ndiscrepancy between our findings and other recent studies may\n\nbe partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al. <sup>49</sup> developed\n\na novel machine-learning approach and found no reduction in\n\nneuron density across serial sections of rat DRG following SNI,\n\nand they inferred from this that frank loss did not occur. Our\n\nresults are congruous, in that we also observed no reduction in\n\nneuron density. However, we found a substantial loss in the total\n\nneuron-containing volume of injured DRG, which underlies our\n\ncontrasting conclusion of frank loss. Of note, morphological\n\nvolumetric analysis and MRI have also previously demonstrated\n\nvolume loss in both rodent and human DRG following nerve injury. <sup>35,65,66</sup> These findings occur despite a major increase of nonneuronal cells in the injured DRG <sup>30</sup> and support the notion\n\nthat the total DRG neuron number is decreased.\n\n4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined\n\nsubpopulations was challenging before the advent of recombi-\n\nnase driver lines, a consensus emerged that small-diameter\n\nneurons are more vulnerable to nerve injury- induced loss. <sup>50,53</sup>\n\nOur data support this consensus and extend it to reveal that while\n\nthere is a generalized partial loss of C-fiber populations including\n\nCGRP- and Trpm8-expressing neurons, Mrgprd-expressing\n\nneurons are particularly sensitive to loss. This selective vulnera-\n\nbility has been hinted at previously by the stark reduction in the\n\nnumber of DRG neurons and their central terminals that bind IB4\n\nand express canonical markers such as the P2X 3 receptor following nerve injury. <sup>5,8,29,36</sup> Type 1a glomeruli are also reduced\n\nin lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding. <sup>2</sup> However, it was not clear\n\nwhether these data represented phenotypic changes in non-\n\npeptidergic nociceptors or frank loss of neurons. We describe\n\nneuron loss that is delayed (occurring . 7 days postinjury) with\n\nrespect to histochemical and structural changes (occurring 1-\n\n5 days postinjury <sup>2,29</sup> ), suggesting that these changes precede\n\nand are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous\n\nwith recent subpopulation bulk RNA-seq data, which found that",
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- "text": "neuron loss after nerve injury and to test the hypothesis that loss is\n\nnot equally distributed across molecular populations.\n\n2. Methods\n\n2.1. Animals\n\nMice were housed in groups in humidity- and temperature-controlled\n\nrooms with free access to food and water, on a 12-hour light- dark\n\ncycle, and with environmental enrichment. Animal procedures were\n\nperformed under a UK Home Office Project Licence and in\n\naccordance with the UK Home Office (Scientific Procedures) Act\n\n(1986). All studies were approved by the Ethical Review Process\n\nApplicationsPaneloftheUniversityofGlasgoworOxfordandconform\n\nto the ARRIVE guidelines. Experiments were performed on adult male\n\nandfemalemiceaged7to16weeksatthestartoftheexperiments.All\n\nexperimental cohorts contained a mix of male and female mice, apart\n\nfrom the cohort of Mrgprd <sup>CreERT2</sup> ;Ai32 mice that underwent SNI crush\n\nsurgery, which was exclusively female. Details of transgenic lines are\n\nprovided in Table 1 . Tamoxifen was administered by i.p. injection of\n\n20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil\n\n(doses described in Table 1 ). There were 2 instances where animals\n\nwere excluded from data analysis: One (cyan fluorescent protein)\n\nThy1-CFP died of unknown causes not related to the procedure and\n\nbefore the experimental endpoint, and one MrgD <sup>CreERT2</sup> ;Ai32\n\nexhibited no fluorophore expression and was therefore deemed to\n\nhave been incorrectly genotyped. Group sizes were based on the\n\nextent of neuronal loss 28d following sciatic nerve transection identified by Shi et al. <sup>50</sup> Given a 5 0.05, power 5 0.8, and an effect\n\nsize of 4.81, power analysis projects that a group size of 3 mice would\n\nbe needed.\n\n2.2. Spared nerve transection and crush surgeries\n\nSpared nerve injury (transection of the common peroneal and\n\ntibial branches of the sciatic nerve; SNI trans ) and common\n\nperoneal and tibial crush injury (SNI crush ), in which nerve axons\n\nwere severed but the epineurium remained intact, were performed as previously described. <sup>12</sup> Anesthesia was induced\n\nwith 3% to 5% isoflurane and then maintained at 1.5% to 2% as\n\nrequired. Analgesia, consisting of carprofen (10 mg/kg) and\n\nbuprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg)\n\nand local bupivacaine (2 mg/kg) (Oxford) was provided perioper-\n\natively. The left hindpaw was secured with tape in hip abduction,\n\nand the operative field (lateral surface of the thigh) was shaved.\n\nOphthalmic ointment was applied to the eyes, and the shaved\n\narea was swabbed with chlorhexidine solution. A longitudinal\n\nincision was made in the skin at the lateral mid-thigh. Using blunt\n\ndissection, an opening was made through the biceps femoris,\n\nexposing the sciatic nerve and the 3 peripheral branches (sural,\n\ntibial, and common peroneal nerves). For SNI trans , the common\n\nperoneal and tibial nerves were ligated using a 6-0 Vicryl suture\n\n(Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture\n\nwas removed using spring scissors. For SNI crush , the exposed\n\ntibial and common peroneal nerves were clamped using a pair of\n\nfine hemostats (Fine Science Tools, Heidelberg, Germany) closed\n\nto their second clip, leaving the nerve branches intact but\n\ntranslucent. The muscle was closed with one 6-0 Vicryl suture\n\n(Ethicon), and the skin incision was closed with one 10 mm\n\nwound clip (Alzet, Cupertino, CA). Animals were monitored daily\n\nfor self-mutilation, and no animals required sacrifice due to tissue\n\ndamage.\n\nTable 1\n\nTransgenic lines used in the study.\n\nUsed name Full name Putative population Ref Source Tamoxifen regime\n\nAtf3 <sup>CreERT2</sup> Atf3 <sup>tm1.1(cre/ERT2)Msra</sup> Axotomised afferents 13 Gift: Dr Franziska Denk 50 mg/kg on days 0, 3, and 7 after surgery\n\nAvil <sup>FlpO</sup> Avil <sup>tm1(flpo)Ddg</sup> Sensory neurons 1 Gift: Prof David Ginty N.A.\n\nMrgD <sup>CreERT2</sup> Mrgprd <sup>tm1.1(cre/ERT2)Wql</sup> Major class of nonpeptidergic\n\nneurons\n\n39 The Jackson Laboratory (RRID:\n\nIMSR_JAX:031286)\n\nGeneral: 1x 50 mg/kg in adulthood, ( . 1 week\n\nbefore experiment)\n\n3D volumetric analysis: 5x i.p. (0.5 mg/animal/\n\nday), beginning between P10 and P17\n\nMrgD <sup>ChR2-</sup>\n\nYFP\n\nMrgprd <sup>tm4.1(COP4)Mjz</sup> Major class of nonpeptidergic\n\nneurons\n\n59 Mutant Mouse Resource & Research\n\nCenters (RRID:MMRRC_036112-UNC)\n\nN.A.\n\nCalca <sup>CreERT2</sup> Calca <sup>tm1.1(cre/ERT2)Ptch</sup> Peptidergic neurons 51 Gift: Prof Pao-Tien Chuang 1x 75 mg/kg in adulthood ( . 1 week before\n\nexperiment)\n\nTrpm8 <sup>FlpO</sup> Cold afferents 4 Gift: Dr Mark Hoon N.A.\n\nThy1-CFP B6.Cg-Tg(Thy1-CFP)\n\n23Jrs/J\n\nSample of myelinated afferents 16 The Jackson Laboratory (RRID:\n\nIMSR_JAX:003710)\n\nN.A.\n\nTh <sup>CreERT2</sup> Th <sup>tm1.1(cre/ERT2)Ddg</sup> /J C low threshold\n\nmechanoreceptors\n\n1 Gift: Prof David Ginty; The Jackson\n\nLaboratory (RRID:IMSR_JAX:025614)\n\n1x 50 mg/kg in adulthood ( . 2 weeks before\n\nexperiment)\n\nRC::FLTG B6.Cg- Gt(ROSA)\n\n26Sor <sup>tm1.3(CAG-tdTomato,-</sup>\n\nEGFP)Pjen /J\n\nFlp-mediated tdTomato;\n\nCre 1 Flp-mediated GFP\n\nexpression\n\n40 The Jackson Laboratory (RRID:\n\nIMSR_JAX:026932)\n\nN.A.\n\nAi14 B6.Cg- Gt(ROSA)\n\n26Sor <sup>tm14(CAG-tdTomato)Hze</sup> /\n\nJ\n\nCre-mediated tdTomato\n\nexpression\n\n33 The Jackson Laboratory (RRID:\n\nIMSR_JAX:007914)\n\nN.A.\n\nAi32 B6.Cg- Gt(ROSA)\n\n26Sor <sup>tm32(CAG-</sup>\n\nCOP4*H134R/EYFP)Hze\n\nCre-mediated ChR2-eYFP\n\nexpression\n\n32 The Jackson Laboratory (RRID:\n\nIMSR_JAX:024109)\n\nN.A.\n\nCFP, cyan fluorescent protein; GFP, Green fluorescent protein; YFP, yellow fluorescent protein.",
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- "text": "DRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3- m m intervals through the entirety of 30- m m-thick tissue\n\nsections. Scale bars 5 100 m m. (C) Quantification of total number of MrgD-YFP 1 cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG.\n\nTwo-way RM ANOVA with <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F 1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach\n\nused to generate data presented in (E- G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralateral to\n\ninjury. White boxes represent regions enlarged in (F). Scale bars 5 100 m m (E) or 20 m m (F). (G) The proportion of FB-labelled DRG neurons decreased after spared\n\nnerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests; side 3 injury interaction:\n\nF 1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: * P , 0.05,**\nP , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB,\n\nFastBlue; RM, repeated measures.",
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- "text": "SNI-related gene expression signatures were less evident in\n\nMrgprd-expressing and C-LTMR neurons at later timepoints, compared with other populations in injured DRG. <sup>3</sup> This could be\n\nexplained by a loss of axotomized neurons of these classes and\n\ntherefore sampling of only uninjured neurons at this time- point. <sup>24,43,64</sup> In terms of the transcriptional response to injury,\n\nnonpeptidergic nociceptors show enrichment of individual proapoptotic factors early after injury, <sup>23,68</sup> and we extend these\n\nresults in this study, by describing a subpopulation-specific\n\nenrichment of GO terms associated with apoptosis that is evident\n\nas early as 3 days after injury. Such data and single-cell\n\ntranscriptomic profiling of all DRG neurons following injury <sup>37,44</sup>\n\nmay offer the opportunity to elucidate the cell death pathways\n\nengaged and upstream effectors that enrich this process to\n\nnonpeptidergic nociceptive neurons.\n\n4.3. Implications for pain pathogenesis\n\nNeuronal loss has been proposed as a key contributor to poor functional recovery following nerve injury, <sup>54</sup> and biased survival of\n\ndifferent afferent types might be expected to contribute to\n\nmodality-specific sensory deficits. Beyond loss of function, does\n\nDRG neuron loss contribute to chronic pain, in either an adaptive or\n\nmaladaptive manner? Intrathecal delivery of GDNF is neuro-\n\nprotective and reverses the reduction in the number of IB4-binding\n\nDRG neurons and central terminals seen following transection. <sup>5</sup>\n\nTreatment is concurrently analgesic and abrogates pain-related behaviors. <sup>7,60</sup> However, the pleiotropic nature of GDNF makes it\n\nimpossible to directly attribute the analgesic effects to the reversal\n\nof neuron loss. Indeed, it is possible that GDNF exerts its effect by actions on intact nonpeptidergic nociceptive afferents, <sup>52</sup> activation\n\nof which is known to drive aversive behaviors in the neuropathic state. <sup>62</sup> These data leave the contribution of nonpeptidergic\n\nnociceptor loss to behavior in the GDNF treatment paradigm\n\nambiguous. Other pharmacological approaches have been found\n\neffective at reversing a neuronal loss in rodent models, but the\n\nimpact on pain behavior was not studied. <sup>21,22</sup>\n\nRodents develop marked mechanical and thermal hypersen-\n\nsitivity rapidly following nerve injury and before timepoints at which neuron loss is observed. <sup>10</sup> This lack of a temporal\n\ncorrelation may suggest a limited contribution to evoked hyper-\n\nsensitivities. The temporal profile of ongoing tonic pain (eg, pain\n\naversiveness as measured by condition place preference\n\nassays <sup>26</sup> ) is less defined and so is its correlation to the timing of\n\nneuron loss.\n\nThere are many anatomical sites within the somatosensory\n\nnervous system where differential loss of sensory neuron\n\npopulations could impact neurobiology. For example, loss of\n\ncutaneous afferents may afford more opportunity for plasticity in\n\nreinnervation patterns, such as collateral sprouting of uninjured or\n\nsurviving afferents, and the types of nerve endings made by different molecular subpopulations. <sup>17,27</sup> It also seems likely that the\n\ndeath of many neurons within a DRG could contribute to the\n\nexpansion and activation of immune cell types, which are known to play a major role in neuropathic pain. <sup>30,69</sup> Finally, under normal\n\nconditions, peripheral sensory input is integrated into the dorsal\n\nhorn of the spinal cord by complex interneuron circuitry. Many\n\nspinal circuits are engaged by convergent input from different afferent types. <sup>9,41,70</sup> Therefore, selective loss of input from discrete\n\nafferent types could undoubtedly impact the normal processing of remaining afferent signals. <sup>34</sup> Experimentally abrogating neuronal\n\nloss may be a fruitful approach to assess the contribution to\n\nnervous system plasticity (adaptive or maladaptive) following injury.\n\nIn this regard, our in vitro readout would be a useful experimental\n\nplatform to help delineate the precise cell death pathways and\n\nsignaling cascades engaged (which could then be experimentally\n\nmanipulated). Such studies should consider that plasticity may evolve over time. The loss of IB4 <sup>1</sup> central terminals is transient\n\nfollowing crush and has even been observed to reverse at longer\n\ntimepoints following SNI trans . <sup>36</sup> These observations, in conjunction\n\nwith ours of loss of neurons, raise the intriguing question of the\n\nsource of such central reinnervation.\n\n4.4. Study limitations\n\nOur efforts focused on traumatic nerve injury paradigms owing to\n\nprevious contrasting results using these robust and reproducible\n\nexperimental models. We did not extend our studies to systemic\n\nneuropathy models, such as chemotherapy or diabetic neurop-\n\nathy. A recent postmortem analysis reported a neuronal loss in\n\nthe DRG from patients with painful diabetic peripheral neurop- athy. <sup>19</sup> Transcriptional responses vary substantially across different nerve insults, <sup>44</sup> so it would be of interest to test whether\n\nneuronal loss and the subpopulation vulnerability reported in this\n\nstudy are common features across different types of insults.\n\nUsing multiple approaches, we assess the na¨ıve mouse L4\n\nDRG to contain approximately 8000 neurons, consistent with a previous estimate, <sup>67</sup> and observed a frank loss of small-\n\ndiameter neurons following injury. However, the extent of loss\n\nobserved using our semiautomated approach was less than that observed using manual techniques. <sup>67</sup> Two major limitations in\n\nthis study may explain this discrepancy: First, owing to technical\n\nissues, the cleared DRG dataset is unpaired ipsilateral- contra-\n\nlateral which adds larger variability. Second, the analysis method\n\nis prone to undercounting deep nuclei. The signal-to-noise is\n\nbetter for superficial nuclei and smaller tissue volumes. Given the\n\nreduction in DRG volume after SNI trans , nuclei in larger\n\ncontralateral DRG may be undercounted.\n\nWhile we made efforts to profile the loss of several molecularly\n\ndiscrete sensory neuron populations, we acknowledge that not all\n\nsubtypes were profiled. Furthermore, recent single-cell RNA\n\nsequencing has given us a more granular appreciation of the heterogeneity of sensory neurons. <sup>42</sup> Future studies could\n\nleverage our experimental approach and new transgenic lines\n\nto characterize the loss of neurons in more detail. Such\n\nexperiments may be pertinent before embarking on molecular\n\nor functional profiling of populations post- nerve injury.\n\n4.5. Conclusions\n\nIn sum, we have provided data from multiple complementary\n\nexperimental approaches to support the hypothesis that DRG\n\nneurons are lost following nerve injury in mice. We describe\n\na substantial loss, which is biased towards specific subpopula-\n\ntions and particularly present in small-diameter nonpeptidergic\n\nnociceptive neurons.\n\nConflict of interest statement\n\nD.L.B. has acted as a consultant in the last 2 years for AditumBio,\n\nBiogen, Biointervene, Combigene, LatigoBio, GSK, Ionis, Lexicon\n\ntherapeutics, Neuvati, Olipass, Orion, Replay, SC Health Manag-\n\ners, Theranexus, Third RockVentures, and Vida Ventures on behalf\n\nof Oxford University Innovation. D.L.B. has received research\n\nfunding from Lilly and Astra Zeneca, and G.A.W. has received\n\nresearch funding from Ono Pharmaceutical. D.L.B. has received",
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- "text": "Figure 5. Neurotrophic support ameliorates MrgD 1 cell loss in vitro. (A- E) Representative fields of view of MrgD-YFP and b -tubulin III expression in neuronal\n\ncultures of isolated MrgD <sup>CreERT2</sup> ;Ai32 DRGs, 24 hours (A) or 4 weeks (B- E) after plating, with the addition of the growth factors (GFs) NGF, GDNF, both, or neither.\n\nScale bars 5 20 m m. (F) Quantification of the percentage of neurons that express MrgD-YFP under the conditions shown in (A- E). One-way ANOVA with Tukey\n\nposttests; F 4 , 15 5 39.7, P , 0.001; n 5 4 mice. Posttests: * P , 0.05,**\nP , 0.01, *** P , 0.001. (G- K) Representative fields of view of Calca-YFP and b -tubulin III\n\nexpression in neuronal cultures of isolated Calca <sup>CreERT2</sup> ;Ai32 DRGs, with the addition of NGF, GDNF, both, or neither. Scale bars 5 20 m m. (L) Quantification of the\n\npercentage of neurons that express Calca-YFP. One-way ANOVA; F 4 , 14 5 0.46, P 5 0.76; n 5 3 to 4 mice. ANOVA, analysis of variance; DRG, dorsal root\n\nganglion; GDNF, glial-derived neurotrophic factor; NGF, nerve growth factor; YFP, Yellow fluorescent protein.",
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- "query": "Did the researcher responsible for quantifying the cells in the dorsal root ganglion know which group each mouse belonged to?",
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- "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image\n\nstacks with a 2- to 3- m m interval in the Z-axis were obtained\n\nthrough a 20 3 dry lens (0.8 NA) with the confocal aperture set to 1\n\nAiry unit or less. All image capture was performed using Zen Blue\n\nEdition software (Carl Zeiss Microscopy GmbH, Jena, Germany),\n\nand analyses were performed using Zen Blue or FIJI. <sup>45</sup>\n\n2.5. Image analysis\n\nDuring all image quantification, the experimenter was blind to the\n\nexperimental groups. For quantification of the total number of cells\n\nwithin the DRG, a modified optical dissector stereological method was used <sup>11,18,47</sup> [(Fig. S1, http://links.lww.com/PAIN/C84). To](http://links.lww.com/PAIN/C84)\n\naccount for tissue shrinkage during processing, the mean thickness\n\n( t ) of each section on one slide (ie, 1 in 5 sections) was calculated by\n\ntaking the mean of the thickest and thinnest cell-containing regions\n\n(ie, not fiber tract-containing regions) of the section (NB: no optical\n\ncorrection to thickness was applied; given the use of a dry lens, this\n\nvalue will not reflect actual section thickness, though this was kept\n\nconsistent throughout the study). The cell-containing, cross-\n\nsectional area ( a ) was then calculated, using the middle optical\n\nsection from the series and drawing around the cell-containing\n\nregions. Section volume ( V sec ) was then calculated:\n\nVsec ¼ t 3 a\n\nUsing the Cavalieri principle, the cell-containing volume of the\n\nDRG was calculated <sup>11</sup> :\n\nVDRG ¼ <sup>�</sup> a 3 <sup>�</sup> t 3 l\n\nwhere <sup>�</sup> a 5 mean cell-containing cross-sectional area, <sup>�</sup> t 5\n\nmean section thickness, and l 5 “length” of the DRG (determined\n\nfrom the total number of sections collected). The number of\n\nneurons per section ( N sec ) was quantified in all immunostained\n\nsections. This included only neurons with a visible nucleus (in the\n\nNeuN channel), excluded cells with a nucleus visible within the\n\ntop frame of the Z-stack, and included any neurons with a nucleus\n\nvisible in any other field within Z-stack, including the bottom frame\n\nof Z-stack. The cell density or the number of cells per unit vol ( N v )\n\nwas then calculated:\n\nN v ¼ <sup>Nsec</sup> Vsec\n\nFinally, the total number of cells per DRG ( N DRG ) was\n\ncalculated:\n\nN DRG ¼ N v 3 V DRG\n\nFor quantification of the proportion of FB-labelled cells co-\n\nlabelled with afferent subpopulation markers, initially, the total\n\nnumber of FB-filled neuronal cell profiles with a visible nucleus\n\nanywhere within the section was counted, with the observer blind\n\nto other channels. The other channel was then revealed, and\n\ninstances of co-labelling were quantified. No stereological\n\ncorrection was applied, given that the similar size of neuronal\n\nnuclei would prevent over-counts of large neurons and that no\n\ncomparisons of the total number of labelled cells were made. For\n\nsoma area analyses, the area of neuronal soma expressing the\n\nappropriate marker was measured in the optical section within\n\nthe Z-stack in which that neuron was at its largest, by drawing\n\naround the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n\n2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks post-\n\nSNI trans for whole DRG analyses. In this study, tissue was extracted\n\nfrom a combination of MrgD <sup>CreERT2</sup> ;Ai14, Th <sup>CreERT2</sup> ;Ai14, and\n\nCalca <sup>CreERT2</sup> ;Ai14 lines (mixed sex). <sup>3</sup> One month after SNI trans ,\n\nanimals were transcardially perfused with sterile saline followed by\n\na fixative containing 4% formaldehyde. Ipsilateral and contralateral\n\nL4 DRG were removed and postfixed for 24 hours on a shaker at\n\nroom temperature before being washed in PBS and stored\n\nat 2 80˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol\n\nin PBS) until clearing. Tissue clearing was then performed as previously described. <sup>67</sup> In brief, the tissue was exposed to\n\na gradient of 1-propanol containing 0.3% triethylamine (30, 50,\n\n75, 90, 95, 100, 100%) and washed in this solution at 37˚C for\n\n24 hours. The tissue was then rehydrated in PBS and labelled with\n\nprimary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x\n\nanti-RFP, Table 2 ). The tissue was washed for 24 hours and\n\nincubated with appropriate secondary antibodies ( Table 2 ) for\n\nanother week at 37˚C. The tissue was subsequently washed for\n\n24 hours, dehydrated again in increasing concentrations of 1-\n\npropanol containing 0.3% triethylamine, and mounted in benzyl\n\nalcohol with benzyl benzoate (1:2 ratio) containing 0.3% triethyl-\n\namine on glass slides with silicone spacers. Imaging was\n\nperformed on an Olympus spinning disk confocal microscope at\n\n20x, with 2- m m z-steps. The tissue was stored at 4˚C for\n\n; 16 months before imaging, so only the tissue that remained\n\ntransparent at this time was used for downstream analyses.\n\nVolumetric analyses were performed using Imaris using the “spots”\n\nfeature with region growth (to allow for different-sized spots),\n\nbackground subtraction, and point spread function elongation\n\n(standard 2 3 XY). Initial spot diameters were set based on\n\nMrgD <sup>CreERT2</sup> ;Ai14 nuclear size (as labelled by red fluorescent\n\nprotein (RFP)). Spot classification was then performed blind by\n\nadjusting the quality threshold to balance detection in superficial\n\nand deep tissue. This step was necessary due to differences in\n\ntissue quality after long-term storage. Any labelled spots in the\n\nadjacent nerve were then deleted (eg, labelled Schwann cells or\n\ndebris). Count and volumetric data were then exported for analysis\n\nin R. Data were filtered for very small ( , 5 m m <sup>3</sup> ) and very large\n\n( . 2000 m m <sup>3</sup> ) spots to further remove any debris, labelled satellite\n\nglia or doublets within the ganglia. In both cases, these filters were\n\napproximate and did not exclude the possibility that some spots\n\ncorrespond to either class in the final dataset. The upper limit of the\n\n“small” DRG nuclei size category was defined as the upper bound\n\nof 32 easily identifiable MrgD 1 nuclei (258 m m <sup>3</sup> ). The boundary\n\nbetween “medium” and “large” bins (400 m m <sup>3</sup> ) was less clearly\n\ndefined in the samples and was therefore set as the approximate\n\nmidpoint of the volume distribution. A combined size category for all nuclei greater than 258 m m <sup>3</sup> was also examined, and the results\n\nmirrored those of “medium” and “large” bins.\n\n2.7. Gene Ontology\n\nGene Ontology term analyses were performed on previously\n\npublished mouse subtype RNA-seq after SNI (GSE216444 <sup>3</sup> ). In\n\nthis study, subtype-specific bulk RNA-seq was performed on 5\n\ntransgenic mouse lines through reporter labelling and fluores-\n\ncence activated cell sorting. spliced transcripts alignment to\n\na reference was used to map reads to the GRCm38 (mm10) Mouse Genome, <sup>14</sup> and Samtools was used to sort, index, and\n\nmerge Binary Alignment Map files in line with published reports. <sup>28</sup> Quality control was performed as per Barry et al. <sup>3</sup> Downstream\n\nanalyses were performed using DESeq2 on grouped male and female samples. <sup>31</sup> For differentially expressed genes (false\n\ndiscovery rate) (FDR , 0.05, LFC . 1) (log-fold change), GO\n\nanalyses were performed using the Wallenius method using\n\ngoSeq (R). In this study, significantly regulated terms related to",
- "page_start": 3,
- "page_end": 3,
- "source_file": "pubmed2.pdf"
- },
- {
- "text": "cell death and apoptosis with more than 10 genes were\n\nexamined. Filtered count data of expressed and nondifferentially\n\nexpressed genes were used as a background.\n\n2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgD <sup>CreERT2</sup> ;Ai32 and\n\nCalca <sup>CreERT2</sup> ;Ai32 mice . 1 week after dosing with tamoxifen and\n\nenzymatically digested at 37˚˚C for 80 minutes in dispase type II\n\n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously. <sup>63</sup> Mechanically dissoci-\n\nated cells were plated onto laminin/poly-D-lysine (R&D Systems,\n\nMinneapolis, MN) treated coverslips in complete Neurobasal Plus\n\nmedium (Neurobasal Plus media supplemented with 2% (vol/vol)\n\nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic- antimycotic\n\n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth\n\nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech,\n\nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor\n\n(GDNF, PeproTech) were added to the media under some\n\nconditions. Cytosine b -D-arabinofuranoside (4 m M) was added to\n\nthe media for 24 hours the day after plating to reduce the\n\nproliferation of nonneuronal cells. Media was refreshed 3 times\n\nper week thereafter. Cultures were fixed for 10 minutes at room\n\ntemperature with 4% paraformaldehyde and subsequently\n\nprocessed by immunocytochemistry (described earlier).\n\n2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified,\n\nand P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7. <sup>15</sup> A quantitative Venn diagram was created using BioVenn. <sup>25</sup> All\n\nother statistical analyses were performed in Prism 10 (GraphPad\n\nSoftware, Inc, Boston, MA) or R using paired t tests or 1- or 2-way\n\nRM ANOVAs (repeated measures analysis of variance), where\n\nappropriate. Normality was assessed by the Shapiro- Wilk test. If\n\nthe main analysis of variance effect was significant, <sup>ˇ</sup> S´ıd ´ak or\n\nTukey multiple comparisons tests were performed. To compare\n\npopulation distributions of soma cross-sectional area or volume,\n\nKolmogorov- Smirnov tests were performed.\n\n3. Results\n\n3.1. Peripheral nerve injury induces a loss of small neurons\n\nfrom the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve\n\ninjury, we generated the Avil <sup>FlpO</sup> ;Atf3 <sup>CreERT2</sup> ;RC::FLTG mouse\n\nline in which na¨ıve and axotomized sensory neurons were\n\ndifferentially labelled. In this mouse line, all neurons express\n\ntdTomato (Flp-dependent) in the na¨ıve state and switch to\n\nexpressing green fluorescent protein (GFP) upon axonal damage\n\nand concurrent tamoxifen treatment (Flp- and Cre-dependent)\n\n( Figs. 1A and B ). Following pilot experiments to optimize\n\ntamoxifen dosing regimen, this approach was both highly efficient\n\nand specific (with the caveat that it was necessary to wait for\n\nseveral days after nerve injury for Cre-induced GFP expression):\n\n14 days after SNI trans surgery, GFP was expressed by 99.1 6\n\n0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we\n\nobserved GFP in only 4.6 6 0.7% of contralateral DRG neurons\n\n[(Figs. S2A- D, http://links.lww.com/PAIN/C84). We then used](http://links.lww.com/PAIN/C84)\n\na stereological approach to quantify the total number of neurons\n\nin L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNI trans, as\n\nwell as contralateral to injury. One week after SNI trans , we\n\nobserved 7809 6 153 neurons per DRG; this was not significantly\n\ndifferent to the number of neurons in the contralateral DRG\n\n(7917 6 349), whereas cell number approximately halved by\n\n8 weeks postinjury to 3963 6 410 neurons per DRG ( Fig. 1C ).\n\nSeparating analysis into intact vs axotomized afferents revealed\n\nthat only axotomized afferents were lost, with no difference\n\nobserved in numbers of intact afferents ( Fig. 1D ). Between 1 and\n\n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the\n\nnumber of GFP 1 neurons. This loss of injured afferents resulted\n\nin a loss of neuron-containing (ie, excluding white matter regions)\n\nDRG volume ( Fig. 1E ), but not neuron density ( Fig. 1F ). Cell loss\n\npredominantly occurred between 1 and 2 weeks postinjury and\n\nstabilized after this timepoint. Population distributions of the\n\ncross-sectional area of nucleated, tdTomato-expressing cell\n\nprofiles were not significantly different at 1 vs 8 weeks post-\n\nSNI trans , in contrast to GFP-expressing/injured afferents, in which\n\na loss of a population of small afferents at 8 weeks postinjury was\n\nobserved ( Fig. 1G ).\n\nSNI trans resulted in a mixed population of axotomized and intact\n\nafferents within the L4 DRG. Therefore, we developed an approach\n\nto restrict our analysis to axotomized afferents, without relying on\n\ntransgenic labelling, and used this as a complementary approach to\n\nconfirm our findings. We injected the neuronal tracer FB into the\n\nglabrous, tibial innervation territory of both hindpaws 1 week before\n\ncommon peroneal and tibial transection (SNI trans ) or crush (SNI crush )\n\nsurgeries ( Figs. 2A and B ). FastBlue-uptake was complete across\n\n[neurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/](http://links.lww.com/PAIN/C84)\n\n[C84), so this approach allowed us to profile a sample of the](http://links.lww.com/PAIN/C84)\n\naxotomized afferents. Both SNI trans ( Fig. 2C ) and SNI crush ( Fig. 2D )\n\ninjuries resulted in a rightward shift in population distributions of the\n\ncross-sectional area of nucleated, FB-labelled DRG neurons when\n\ncompared with contralateral DRG, consistent with a loss of small\n\nafferents post- nerve injury.\n\nAs a third complementary approach, we applied semiauto-\n\nmated volumetric analyses of nuclei size following tissue clearing.\n\nIn this study, whole DRGs were cleared 4 weeks after SNI trans for\n\nnuclei counting in “complete” tissue ( Figs. 2E- H ). Nuclei were labelled by TDP-43, in line with the study by West et al., <sup>67</sup> and\n\nwere quantified using Imaris software ( Fig. 2F , Video 1). We\n\nobserved a slight but significant rightward shift in nuclear spot\n\nvolume population distribution 4 weeks after SNI trans ( Fig. 2G ). In\n\naddition, there was a significant reduction in the number of small\n\nbut not medium or large nuclear spots, in support of a loss of\n\nsmall-diameter neuron populations ( Fig. 2H ).\n\nTogether, our data derived from several different experimental\n\napproaches show that a population of small-diameter afferents\n\nare lost following peripheral nerve injury.\n\n3.2. Spared nerve crush or transection results in death of\n\nMrgprd-expressing neurons\n\nTo date, determining cell loss among specific populations of\n\nafferent neurons has proved challenging due to the down-\n\nregulation of subpopulation-specific marker genes following axonal transection. <sup>37,44</sup> To overcome this issue, we took\n\nadvantage of transgenic strategies to label populations in\n\na manner that persisted after injury. Owing to the bias for the\n\nloss of small neurons and the known loss of IB4-binding central terminals postinjury, <sup>36</sup> we initially focused on nonpeptidergic nociceptive neurons. We used MrgD <sup>ChR2-YFP</sup> mice to identify\n\nneurons belonging to the largest of the 3 classes of non- peptidergic nociceptors, NP1. <sup>55,59</sup> To determine whether these\n\nneurons are lost following nerve injury, we used a stereological method to quantify L4 DRG MrgD-YFP <sup>1</sup> (yellow fluorescent",
- "page_start": 4,
- "page_end": 4,
- "source_file": "pubmed2.pdf"
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- "page_start": 13,
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- "source_file": "pubmed2.pdf"
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- "text": "an industrial partnership grant from the BBSRC and AstraZeneca.\n\nThe remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.-\n\n[A.W.—gregory.weir@glasgow.ac.uk. Further information and](mailto:gregory.weir@glasgow.ac.uk)\n\nrequests for reagents and/or reagents used in this study should\n\nalso be directed to G.A.W., and we will endeavour to fulfil these.\n\nAcknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp\n\ntransgenic mouse line and Prof Andrew Todd and Dr David\n\nHughes for their critical feedback on the manuscript. Neuron and\n\nganglion illustrations in Figure 1 [ and S1 (http://links.lww.com/](http://links.lww.com/PAIN/C84)\n\n[PAIN/C84) were adapted from images provided by Servier](http://links.lww.com/PAIN/C84)\n\nMedical Art, licensed under CC BY 4.0. The research was funded\n\nby an MRC Fellowship grant awarded to GAW. (MR/T01072X/1)\n\nand a Tenovus Scotland Pilot Grant awarded to AHC and GAW\n\n(S22-17). This work was also funded by the Wellcome Trust (DPhil\n\nscholarship to AMB, 215145/Z/18/Z) and a Wellcome Investiga-\n\ntor Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/\n\nT020113/1), and with funding from the MRC and Versus Arthritis\n\nto the PAINSTORM consortium as part of the Advanced Pain\n\nDiscovery Platform (MR/W002388/1). AMB further received\n\na GTC MSDTC Scholarship.\n\nSupplemental digital content\n\nSupplemental digital content associated with this article can be\n\n[found online at http://links.lww.com/PAIN/C84.](http://links.lww.com/PAIN/C84)\n\nSupplemental video content\n\nVideo content associated with this article can be found on the\n\nPAIN Web site.\n\nArticle history:\n\nReceived 14 November 2023\n\nReceived in revised form 11 April 2024\n\nAccepted 25 May 2024\n\nAvailable online 15 August 2024\n\nReferences\n\n[1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman\n\nAL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O’Neill TG, Zhuo J,\n\nTsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M,\n\nDymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. The cellular and\n\nsynaptic architecture of the mechanosensory dorsal horn. Cell 2017;168:\n\n295- 310.e19.\n\n[2] Bailey AL, Ribeiro-Da-Silva A. 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Exp Brain Res\n\n2002;145:182- 9.\n\n[23] Hu G, Huang K, Hu Y, Du G, Xue Z, Zhu X, Fan G. Single-cell RNA-seq\n\nreveals distinct injury responses in different types of DRG sensory\n\nneurons. Sci Rep 2016;6:31851.\n\n[24] Hu P, McLachlan EM. Selective reactions of cutaneous and muscle\n\nafferent neurons to peripheral nerve transection in rats. J Neurosci 2003;\n\n23:10559- 67.\n\n[25] Hulsen T, de Vlieg J, Alkema W. BioVenn—a web application for the\n\ncomparison and visualization of biological lists using area-proportional\n\nVenn diagrams. BMC Genomics 2008;9:488.\n\n[26] King T, Vera-Portocarrero L, Gutierrez T, Vanderah TW, Dussor G, Lai J,\n\nFields HL, Porreca F. Unmasking the tonic-aversive state in neuropathic\n\npain. Nat Neurosci 2009;12:1364- 6.\n\n[27] Leibovich H, Buzaglo N, Tsuriel S, Peretz L, Caspi Y, Katz B, Lev S,\n\nLichtstein D, Binshtok AM. Abnormal reinnervation of denervated areas\n\nfollowing nerve injury facilitates neuropathic pain. Cells 2020;9:1007.\n\n[28] Li H, Handsaker B, Wysoker A, Fennell T, Ruan J, Homer N, Marth G,\n\nAbecasis G, Durbin R; 1000 Genome Project Data Processing Subgroup.\n\nThe sequence alignment/map format and SAMtools. Bioinformatics\n\n2009;25:2078- 9.\n\n[29] Li L, Zhou XF. Pericellular Griffonia simplicifolia I isolectin B4-binding ring\n\nstructures in the dorsal root ganglia following peripheral nerve injury in\n\nrats. J Comp Neurol 2001;439:259- 74.",
- "page_start": 12,
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- "text": "Research Paper PAIN 165 (2024) 2863- 2876\n\n### Peripheral nerve injury results in a biased loss of\n\n### sensory neuron subpopulations\n\n#### Andrew H. Cooper <sup>a</sup> , Allison M. Barry <sup>b</sup> , Paschalina Chrysostomidou <sup>a</sup> , Romane Lolignier <sup>a</sup> , Jinyi Wang <sup>a</sup> ,\n\n#### Magdalena Redondo Canales <sup>a</sup> , Heather F. Titterton <sup>a</sup> , David L. Bennett <sup>b</sup> , Greg A. Weir <sup>a,</sup> *\n\nAbstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability\n\nof discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury\n\nhas recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label\n\nmolecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared\n\nnerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron\n\nloss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of\n\nMrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%)\n\nfollowing sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic\n\nnociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG\n\nneuron subpopulations can survive axotomy, with implications for our understanding of nerve injury- induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly\n\nand functionally heterogeneous population. Under normal\n\nconditions, this diversity contributes to the ability of the\n\nsomatosensory nervous system to detect a myriad of sensory\n\nstimuli that result in the perceptions of touch, temperature,\n\nitch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability, <sup>57</sup> which is a key pathological driver of neuropathic pain. <sup>20,63</sup> Concomitant\n\nmolecular changes in discrete subpopulations also occur,\n\nand these have recently been comprehensively described in single-cell <sup>37,44</sup> and subpopulation-specific sequencing stud- ies. <sup>3</sup> These studies describe a transient and generalized\n\nreduction in the expression of subpopulation-specific genes\n\nfollowing nerve injury. <sup>3,37,44</sup>\n\nIn addition to molecular changes, there is a rich literature\n\ndescribing the frank loss of DRG neurons following traumatic\n\nnerve injury in experimental rodent models. <sup>24,50,53,56</sup> Some\n\nstudies have suggested that neuron loss occurs in certain patient cohorts, <sup>48,66</sup> but this is yet to be definitively demonstrated in\n\nhumans. In rodents, most studies support a preferential loss of small cells that give rise to unmyelinated fibers <sup>53</sup> but some contrasting studies describe the preferential loss of large cells <sup>6</sup> or loss of cells of all sizes. <sup>46</sup> Variation is evident across studies in\n\nterms of experimental species, age, type of injury, and quantification methods. <sup>56</sup> Shi et al. <sup>50</sup> used stereological counting\n\nmethods to identify a 54% loss of DRG neuron number 4 weeks\n\nafter “mid-thigh” sciatic nerve transection in C57BL/6 mice.\n\nEstimates for the degree of loss following commonly used nerve\n\ninjury paradigms (eg, spared nerve injury [SNI] and sciatic nerve\n\ncrush) are not available and because of the neurochemical\n\nchanges following injury and the loss of subpopulation marker gene expression, <sup>5,44,50</sup> the vulnerability of molecularly defined\n\nsubpopulations has not been characterized. Moreover, more\n\nrecent studies have cast doubt on the extent or even presence of\n\nDRG neuron death following nerve injury. One study which\n\ndeveloped a deep learning approach to assess rat DRG cellular\n\nplasticity found no loss of neurons up to 2 weeks post-SNI, <sup>49</sup>\n\nwhile another observed no loss of genetically labelled damaged\n\nDRG neurons 2 months after sciatic nerve crush. <sup>44</sup>\n\nThe issue of whether neuron loss occurs, and if so, in what\n\nsubpopulations, is important. It will likely have implications for our\n\nunderstanding of reinnervation and functional recovery in patients.\n\nFurthermore, better insight will provide critical context for those\n\ninvestigating the plasticity that occurs following nerve injury and\n\nmay inform therapeutic targeting of sensory neuron populations.\n\nAn expanding repertoire of transgenic recombinase driver lines\n\nnow makes it possible to permanently label DRG neuron\n\nsubpopulations and study their fate in rodent nerve injury paradigms.\n\nThe aim of this study was to use this technology to characterize\n\nSponsorships or competing interests that may be relevant to content are disclosed\n\nat the end of this article.\n\na School of Psychology and Neuroscience, University of Glasgow, Glasgow, United Kingdom, <sup>b</sup> Nuffield Department of Clinical Neurosciences, University of\n\nOxford, Oxford, United Kingdom\n\n*Corresponding author. Address: School of Psychology and Neuroscience,\n\nUniversity of Glasgow, Glasgow G12 8QQ, United Kingdom. Tel.: 1 44 (0) 141 330\n\n[7023. E-mail address: gregory.weir@glasgow.ac.uk (G.A. Weir).](mailto:gregory.weir@glasgow.ac.uk)\n\nSupplemental digital content is available for this article. Direct URL citations appear\n\nin the printed text and are provided in the HTML and PDF versions of this article on\n\n[the journal’s Web site (www.painjournalonline.com).](http://www.painjournalonline.com)\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf\n\nof the International Association for the Study of Pain. This is an open access article\n\n[distributed under the Creative Commons Attribution License 4.0 (CCBY), which](http://creativecommons.org/licenses/by/4.0/)\n\npermits unrestricted use, distribution, and reproduction in any medium, provided the\n\noriginal work is properly cited.\n\n[http://dx.doi.org/10.1097/j.pain.0000000000003321](http://dx.doi.org/10.1097/j.pain.0000000000003321)\n\nDecember 2024 · Volume 165 · Number 12 www.painjournalonline.com 2863",
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- "text": "3.3. Spared nerve injury induces a loss of Trpm8 <sup>1</sup> and calcitonin gene-related peptide <sup>1</sup> but not myelinated dorsal\n\nroot ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully\n\naccount for the degree of total neuron loss that we observed.\n\nTherefore, we studied a range of other subpopulations, both\n\nsmall and large in diameter, for their vulnerability to injury-\n\ninduced loss. To investigate potential loss of Trpm8 <sup>1</sup> (cold- sensitive), calcitonin gene-related peptide <sup>1</sup> (CGRP) (peptider-\n\ngic), and myelinated subpopulations of DRG neurons following\n\nnerve injury, we applied our FB-labelling approach in Trpm8 <sup>FlpO</sup> ;\n\nRC::FLTG (FlpO-dependent tdTom expression), Calca <sup>CreERT2</sup> ;\n\nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP\n\nmice, respectively ( Figs. 4A- D ). Trpm8-tdTom was expressed\n\nFigure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous\n\ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNI trans or SNI crush surgery. (B) Representative image of FB labelling and NeuN\n\nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3- m m intervals through the entirety of a 30- m m-thick tissue section. Scale bar 5\n\n100 m m. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNI trans (C) or SNI crush injury (D)\n\nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov- Smirnov tests of cumulative distributions; SNI trans : D 5 0.25, P ,\n\n0.001; n 5 183 or 191 neurons from 3 mice; SNI crush : D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG\n\nvolumetric analyses after SNI trans . (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot\n\ndetection feature. Scale bar 5 100 m m. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNI trans . Kolmogorov- Smirnov tests of\n\ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size,\n\nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F 2,14 5 8.26, P 5 0.004; n 5 4 to 5 mice; <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests:**\nP , 0.01. ANOVA,\n\nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures. Figure 3. Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgD <sup>ChR2-YFP</sup> L4",
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- "text": "Figure 5. Neurotrophic support ameliorates MrgD 1 cell loss in vitro. (A- E) Representative fields of view of MrgD-YFP and b -tubulin III expression in neuronal\n\ncultures of isolated MrgD <sup>CreERT2</sup> ;Ai32 DRGs, 24 hours (A) or 4 weeks (B- E) after plating, with the addition of the growth factors (GFs) NGF, GDNF, both, or neither.\n\nScale bars 5 20 m m. (F) Quantification of the percentage of neurons that express MrgD-YFP under the conditions shown in (A- E). One-way ANOVA with Tukey\n\nposttests; F 4 , 15 5 39.7, P , 0.001; n 5 4 mice. Posttests: * P , 0.05,**\nP , 0.01, *** P , 0.001. (G- K) Representative fields of view of Calca-YFP and b -tubulin III\n\nexpression in neuronal cultures of isolated Calca <sup>CreERT2</sup> ;Ai32 DRGs, with the addition of NGF, GDNF, both, or neither. Scale bars 5 20 m m. (L) Quantification of the\n\npercentage of neurons that express Calca-YFP. One-way ANOVA; F 4 , 14 5 0.46, P 5 0.76; n 5 3 to 4 mice. ANOVA, analysis of variance; DRG, dorsal root\n\nganglion; GDNF, glial-derived neurotrophic factor; NGF, nerve growth factor; YFP, Yellow fluorescent protein.",
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- "text": "[injury (Fig. S6A- C, http://links.lww.com/PAIN/C84), indicating](http://links.lww.com/PAIN/C84)\n\nthat any loss of neurons within specific neuronal subpopulations\n\nwas not biased towards soma size. Collectively, these data show\n\nthat unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm8 <sup>1</sup> and CGRP <sup>1</sup> subpopulations,\n\nbut no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic\n\nnociceptors, we re-analyzed a previous population-specific\n\ntranscriptomic dataset of mouse DRG neurons following nerve\n\ninjury for potential upregulation of cell death pathways (Fig. S7, [http://links.lww.com/PAIN/C84).](http://links.lww.com/PAIN/C84) <sup>3</sup> We found that early after injury\n\n(3 days post-SNI trans ), nonpeptidergic (MrgD <sup>CreERT2</sup> -expressing)\n\nneurons showed enhanced enrichment of GO terms associated\n\nwith apoptosis, in contrast to a broad population of nociceptors\n\n(labelled with Scn10a <sup>CreERT2</sup> ), peptidergic nociceptors (Calca-\n\nCreERT2 ), C-LTMRs (Th CreERT2 ), and A b -RA (rapidly adapting) and\n\nA d -LTMRs (A d /A b -LTMR, Ntrk2 <sup>CreERT2</sup> ;Advillin <sup>FlpO</sup> ), in which\n\nthere was less or no enrichment of cell death pathways. By\n\n4 weeks, only C-LTMR and A d /A b -LTMR subtypes show any\n\noverrepresentation of cell death pathways (in the populations\n\nstudied). Both injury-specific and apoptotic signatures in non-\n\npeptidergic neurons were no longer significantly enriched,\n\nconsistent with a loss of axotomized nonpeptidergic afferents\n\nby this late timepoint postinjury. These data suggest that\n\napoptotic pathways are upregulated acutely after injury in a cell-\n\ntype-specific manner.\n\n3.4. Mrgprd dorsal root ganglion neurons are sensitive to\n\nloss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support\n\nunderlies neuronal loss, which is supported by the observation\n\nthat exogenous GDNF treatment at the time of injury, or shortly\n\nafter, rescues the loss of IB4-binding central terminals posttransection. <sup>5</sup> We sought to use the DRG neurons from\n\nMrgD <sup>CreERT2</sup> ;Ai32 mice to test this postulate and establish an\n\nin vitro platform capable of probing the molecular basis of loss,\n\nwith axonal transection during isolation providing a correlate\n\nfor in vivo nerve injury ( Figs. 5A- E ). Twenty-four hours after\n\nplating, YFP was expressed by 16.3 6 1.3% of DRG neurons,\n\nwhich was reduced to 11.8 6 1.7% after 28 days of culture in\n\nthe presence of exogenous GFs, NGF and GDNF ( Fig. 5F ).\n\nHowever, in the absence of GFs, YFP <sup>1</sup> neurons only\n\naccounted for 1.7 6 0.6% of neurons after 28 days,\n\naccompanied by an apparent reduction in the overall number\n\nof neurons within the culture, despite all conditions being seeded at the same initial density ( Figs. 5C and F ). YFP <sup>1</sup> cell\n\nloss was partially rescued by the presence of GDNF, but not\n\nNGF alone, in the culture media ( Figs. 5D- F ). These results\n\ncontrasted with experiments using neurons derived from\n\nCalca <sup>CreERT2</sup> ;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP <sup>1</sup> after 28 days\n\nin culture, regardless of exogenous GF addition ( Figs. 5G- L ).\n\nCollectively, these data support the use of DRG cultures to\n\nprobe the mechanisms underlying selective loss of sensory\n\nneurons following nerve injury and suggest a role for trophic\n\nsupport, particularly by GDNF signaling, in preventing the loss\n\nof nonpeptidergic nociceptors.\n\n4. Discussion\n\nWe present data herein to support the hypothesis that\n\ntraumatic nerve injury in rodents leads to a profound loss of\n\nsmall-diameter DRG neurons. Taking advantage of newly\n\ndeveloped transgenic recombinase driver lines, we have\n\nshown that loss is biased across molecularly defined\n\nsubpopulations. Nonpeptidergic nociceptive neurons are\n\nparticularly susceptible to loss, with almost all Mrgprd <sup>1</sup>\n\naxotomized afferents lost following an unrepaired transection\n\ninjury (SNI trans ) and roughly half lost following a model which\n\ncontrastingly allows for nerve regenerations (SNI crush ).\n\nFinally, we have observed that the vulnerability of Mrgprd <sup>1</sup>\n\nneurons extends to the in vitro setting and provide data to\n\nsupport the hypothesis that loss is driven by a lack of\n\nneurotrophic support following injury.\n\n4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic\n\ninjury has been addressed by several groups over the last few\n\ndecades. Despite contrasting findings on the extent, timing, and\n\nform that loss takes, most studies have observed frank loss of DRG neurons. <sup>6,38,46,53</sup> However, more recent studies using\n\nrecombinase driver lines and novel machine-learning approaches have cast doubt on this consensus. <sup>44,49</sup> Our data strongly\n\nsupport the loss hypothesis and suggest that approximately 60%\n\nof axotomized afferents die within 2 weeks of SNI. The\n\ndiscrepancy between our findings and other recent studies may\n\nbe partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al. <sup>49</sup> developed\n\na novel machine-learning approach and found no reduction in\n\nneuron density across serial sections of rat DRG following SNI,\n\nand they inferred from this that frank loss did not occur. Our\n\nresults are congruous, in that we also observed no reduction in\n\nneuron density. However, we found a substantial loss in the total\n\nneuron-containing volume of injured DRG, which underlies our\n\ncontrasting conclusion of frank loss. Of note, morphological\n\nvolumetric analysis and MRI have also previously demonstrated\n\nvolume loss in both rodent and human DRG following nerve injury. <sup>35,65,66</sup> These findings occur despite a major increase of nonneuronal cells in the injured DRG <sup>30</sup> and support the notion\n\nthat the total DRG neuron number is decreased.\n\n4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined\n\nsubpopulations was challenging before the advent of recombi-\n\nnase driver lines, a consensus emerged that small-diameter\n\nneurons are more vulnerable to nerve injury- induced loss. <sup>50,53</sup>\n\nOur data support this consensus and extend it to reveal that while\n\nthere is a generalized partial loss of C-fiber populations including\n\nCGRP- and Trpm8-expressing neurons, Mrgprd-expressing\n\nneurons are particularly sensitive to loss. This selective vulnera-\n\nbility has been hinted at previously by the stark reduction in the\n\nnumber of DRG neurons and their central terminals that bind IB4\n\nand express canonical markers such as the P2X 3 receptor following nerve injury. <sup>5,8,29,36</sup> Type 1a glomeruli are also reduced\n\nin lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding. <sup>2</sup> However, it was not clear\n\nwhether these data represented phenotypic changes in non-\n\npeptidergic nociceptors or frank loss of neurons. We describe\n\nneuron loss that is delayed (occurring . 7 days postinjury) with\n\nrespect to histochemical and structural changes (occurring 1-\n\n5 days postinjury <sup>2,29</sup> ), suggesting that these changes precede\n\nand are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous\n\nwith recent subpopulation bulk RNA-seq data, which found that",
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- "text": "DRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3- m m intervals through the entirety of 30- m m-thick tissue\n\nsections. Scale bars 5 100 m m. (C) Quantification of total number of MrgD-YFP 1 cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG.\n\nTwo-way RM ANOVA with <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F 1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach\n\nused to generate data presented in (E- G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralateral to\n\ninjury. White boxes represent regions enlarged in (F). Scale bars 5 100 m m (E) or 20 m m (F). (G) The proportion of FB-labelled DRG neurons decreased after spared\n\nnerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with <sup>ˇ</sup> S´ıd ´ak multiple comparisons tests; side 3 injury interaction:\n\nF 1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: * P , 0.05,**\nP , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB,\n\nFastBlue; RM, repeated measures.",
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- "text": "2.3. FastBlue tracer injections\n\nMice were briefly anesthetized during the procedure, induced with\n\n3%to5%isoflurane,andthenmaintainedat 1.5%to2%asrequired.\n\nHindlimbs were taped with the plantar surface of the paw facing up,\n\nand a custom, 26G removable needle with a 30˚ bevel, attached to\n\na 25- m L Hamilton syringe, was inserted between the 2 distal-most\n\nfootpads, towards the medial aspect of the hindpaw. The needle\n\nwas then rotated 90˚, so the bevel faced medially. Furthermore, 4- m L\n\nFastBlue (FB; 2% in sterile phosphate-buffered saline (PBS); CAS#\n\n73819-41-7; Polysciences, Inc, Warrington, PA) per paw was then\n\nslowly injected, and the needle was left in place for 10 seconds,\n\nbefore rotating and carefully retracting to avoid backflow of FB along\n\nthe needle track. This prevented the FB bolus from contacting the\n\nsural innervation territory of the lateral hindpaw, restricting it largely to\n\nthe tibial innervation territory of the glabrous hindpaw skin.\n\n2.4. Immunohistochemistry and image acquisition\n\nMice were anesthetized with an overdose of pentobarbital (20\n\nmg) and transcardially perfused with a fixative containing 4%\n\nformaldehyde. L3 to L5 DRGs were removed and postfixed for\n\nanother 2 hours, cryoprotected in 30% sucrose overnight, and\n\nthen embedded in optimal cutting temperature media (OCT;\n\nTissue Tek, Alphen aan den Rijn, the Netherlands). Dorsal root\n\nganglia were sectioned on a Leica CM1950 cryostat at 30 m m,\n\nwith every section collected serially on 5 Superfrost Plus slides\n\n(VWR, Lutterworth, United Kingdom) and each slide containing 1\n\nin every 5 sections (4-7 sections per slide). One slide per DRG was\n\nselected at random and was washed with PBS, before being\n\nincubated with appropriate primary antibodies ( Table 2 ) diluted in\n\n5% normal donkey serum and 0.3% Triton X-100 in PBS for\n\n3 days at 4˚C. After PBS washes, slides were incubated with\n\nappropriate secondary antibodies ( Table 2 ) in the same PBS/\n\n(normal donkey serum) NDS/Triton-X100 solution as for prima-\n\nries, overnight at room temperature. Slides were washed and\n\ncoverslipped with VectaShield Vibrance Hardset mounting media\n\n(Vector Labs, Newark, CA), with 4’,6-diamidino-2-phenylindole\n\nincluded in mounting media where FB-labelled cells were not\n\nbeing examined. Sections were imaged using a Zeiss LSM900\n\nAiryscan confocal microscope equipped with 405-, 488-, 561-,\n\nTable 2\n\nPrimary and secondary antibodies used in the study.\n\nAntibody Source Identifiers Working dilution\n\nAnti-GFP (Chicken polyclonal) Abcam, plc, Cambridge, United Kingdom Cat#: ab13970\n\nRRID: AB_300798\n\n1:1000\n\nAnti-NeuN (Guinea pig polyclonal) Synaptic Systems, G¨ottingen, Germany Cat#: 266004\n\nRRID: AB_2619988\n\n1:500\n\nAnti-mCherry (Rat monoclonal) Invitrogen, Waltham, MA; Thermo Fisher Scientific,\n\nUnited Kingdom\n\nCat#: M11217\n\nRRID: AB_2536611\n\n1:500\n\nAnti-Atf3 (Rabbit polyclonal) Novus Biologicals, Minneapolis, MN Cat#: NBP1-85816\n\nRRID: AB_11014863\n\n1:500\n\nAnti-NF200 (Rabbit polyclonal) Sigma-Aldrich, Saint Louis, MO Cat#: N4142\n\nRRID: AB_477272\n\n1:1000\n\nAnti-TrkA (Goat polyclonal) R&D Systems, Minneapolis, MN Cat#: AF1056\n\nRRID: AB_2283049\n\n1:500\n\nAnti-TDP43 (Rabbit polyclonal) Abcam, plc, Cambridge, United Kingdom Cat#: ab133547\n\nRRID: AB_2920621\n\n1:100\n\nAnti-RFP (Mouse monoclonal) Thermo Fisher Scientific, United Kingdom Cat#: MA5-15257\n\nRRID: AB_10999796\n\n1:200\n\nAnti-RFP (Chicken polyclonal) Sigma-Aldrich, United Kingdom Cat#: AB3528\n\nRRID: AB_11212735\n\n1:200\n\nAlexa Fluor 488 Donkey Anti-Chicken IgY\n\n(Donkey polyclonal)\n\nJackson ImmunoResearch, Ely, United Kingdom Cat#: 703-545-155\n\nRRID: AB_2340375\n\n1:500\n\nAlexa Fluor 647 Donkey Anti-Guinea pig IgG\n\n(Donkey polyclonal)\n\nJackson ImmunoResearch, Ely, United Kingdom Cat#: 706-605-148\n\nRRID: AB_2340476\n\n1:250\n\nRhodamine Red-X Donkey Anti-Rat IgG (Donkey\n\npolyclonal)\n\nJackson ImmunoResearch, Ely, United Kingdom Cat#: 712-295-153\n\nRRID: AB_2340676\n\n1:100\n\nAlexa Fluor 647 Donkey Anti-Rabbit IgG (Donkey\n\npolyclonal)\n\nJackson ImmunoResearch, Ely, United Kingdom Cat#: 711-605-152\n\nRRID: AB_2492288\n\n1:250\n\nRhodamine Red-X Donkey Anti-Rabbit IgG\n\n(Donkey polyclonal)\n\nJackson ImmunoResearch, Ely, United Kingdom Cat#: 711-295-152 RRID: AB_2340613 1:100\n\nAlexa Fluor 546 Goat Anti-Chicken IgG (Goat\n\npolyclonal)\n\nThermo Fisher Scientific, United Kingdom Cat#: A11040\n\nRRID: AB_2534097\n\n1:400\n\nAlexa Fluor 488 Goat Anti-Rabbit IgG (Goat\n\npolyclonal)\n\nThermo Fisher Scientific, United Kingdom Cat#: A11008\n\nRRID: AB_143165\n\n1:400\n\nAlexa Fluor 546 Donkey Anti-Mouse IgG (Donkey\n\npolyclonal)\n\nThermo Fisher Scientific, United Kingdom Cat#: A10036\n\nRRID: AB_2534012\n\n1:400\n\nGFP, green fluorescent protein; RFP, red fluorescent protein",
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- "source_file": "basic-english-language-skills.PDF",
- "query": "Does the Oxbridge Academy have a guide on how to apply to college?",
- "target_page": 21,
- "target_passage": "To make the college registration process easier for you, we’ve compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/).",
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- "text": "###### CHAPTER 5:\n\nTIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\n\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a\n\ndaunting experience. Not only do you need to choose a course, but you\n\nalso need to make sure that you:\n\n- meet the entry requirements\n\n- meet the deadlines\n\n- fill in the forms correctly\n\n- send the forms to the right address\n\n- include all the necessary attachments\n\nTo make the college registration process easier for you, we’ve compiled a\n\ncomprehensive guide on how to register at Oxbridge Academy\n\n(www.oxbridgeacademy.co.za/enrol-now/) . The guide also includes general\n\ntips that will be relevant to the application and registration processes at\n\nother colleges.\n\n**There are 4 steps you need to follow when you want to register as a student at Oxbridge Academy:**\n\n**1.** Select Your Course\n\n**2.** Fill in Your Student Details\n\n**3.** Select Your Delivery Option\n\n**4.** Pay Your Registration Fee and Send in Your Form",
- "page_start": 20,
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- "text": "###### Did you enjoy reading this book?\n\nJoin our online social community and share your opinion:\n\nwww.facebook.com/oxbridgeacademysa\n\ntwitter.com/oxbridgeEdu\n\nwww.linkedin.com/company/oxbridge-academy\n\nOxbridge Academy is an established distance learning college offer\n\ning skills courses, national qualifications, and internationally recognised\n\ncourses to students in South Africa and abroad.\n\nWith our head office in Stellenbosch in the Western Cape, we cater to our\n\nstudents’ needs by recruiting industry-expert tutors to provide academic\n\nassistance via telephone and e-mail, as well as by designing our study\n\nmaterial in such a way that it is clear, simple, and easy for our students\n\nto understand.\n\nWith us, studying from home is easy, affordable, and convenient.\n\nCONTACT NUMBERS:\n\nTel: 021 1100 200\n\nTel:+2721 883 2454 (international)\n\nFax: 086 111 2121\n\nFax: +2721 883 2378 (international)\n\nWhatsapp: 0605671585\n\nEmail: info@oxbridgeacademy.co.za\n\nPostal Address:\n\nPO Box 12723, Die Boord, Stellenbosch, 7613\n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section\n\n31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.\n\n*Developed for Oxbridge Academy*",
- "page_start": 58,
- "page_end": 58,
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- "text": "SEND YOUR REGISTRATION FORM\n\nCHOOSE YOUR COURSE **1**\n\nFILL IN THE\n\nREGISTRATION FORM\n\n## **2**\n\nThe registration form follows an easy-to-complete four step layout.\n\n## **3**\n\n## **4 5**\n\nIF YOU ARE REGISTERING\n\nFOR an ICB, or NATED\n\nCOURSE\n\nmake sure to indicate your preferred exam centre.\n\nIF YOU ARE UNDER\n\n18, OR IF YOU ARE\n\nUNEMPLOYED\n\nmake sure that your parent/guardian/guarantor signs the form.\n\nATTACH THE FOLLOWING\n\nDOCUMENTS\n\n1. Copy of your ID\n\n2. Proof of highest grade passed\n\n3. Proof of other qualifications\n\n4. Proof of payment\n\nPAY YOUR\n\nREGISTRATION FEE\n\nSend your registration form to the\n\nregistrations office at Oxbridge Academy via\n\none of the following channels:\n\nFax: 086 262 5550\n\nPost: PO Box 12723, Die Boord, 7613\n\nE-mail: registrar@oxbridgeacademy.co.za\n\n## **6**\n\nA Summary of the Registration Process at Oxbridge Academy\n\nAs soon as your details\n\nhave been captured\n\non our system you will\n\nreceive confirmation\n\nof your registration via\n\ne-mail or SMS",
- "page_start": 26,
- "page_end": 26,
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- "text": "STEP 1 - SELECT YOUR COURSE\n\nBefore you start filling in the registration form, you need to choose your\n\ncourse. Once you’ve identified the course that you would like to study,\n\nremember to check that you meet the entry requirements.\n\nYou can find the course name and course code for your chosen course on\n\nthe relevant detailed course information page on our website. Have a look\n\nat the example in the screenshot below (the course name and course code\n\nare circled in red):\n\nPlease make sure to check the accreditation status of your chosen course.\n\nSome of our courses are non-credit bearing skills development courses,\n\nwhich are neither accredited by external bodies nor registered on the NQF.\n\nPlease go to our website: *oxbridgeacademy.co.za* for more information\n\nabout our skills development courses.\n\nOxbridge Academy Short Course: Marketing Management\n\nADV101",
- "page_start": 21,
- "page_end": 21,
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- "text": "###### CHAPTER 8:\n\nTIPS FOR COMPLETING YOUR WRITTEN ASSIGNMENTS\n\nDepending on which course you study, you will either be assessed\n\nby means of written assignments, or through a combination of\n\nwritten assignments and exams. Assignments not only help to\n\ndeepen your understanding of the work, but they often also count\n\ntoward your final mark.\n\nIt is therefore important that you put effort into your assignments,\n\nand that you complete them to the best of your ability.\n\nWe realise that, like many other students, you might be unsure of\n\nhow to go about completing your assignments, or that you might be\n\nafraid of failure.\n\nIf you are an Oxbridge Academy student, we’d like you to know\n\nthat we are here to help you every step of the way, and that we will\n\ngive you the opportunity to resubmit your assignments if you don’t\n\nachieve a pass mark the first time around.",
- "page_start": 36,
- "page_end": 36,
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- "text": "STEP 4 - PAY YOUR REGISTRATION FEE AND SEND IN YOUR FORM\n\nDifferent courses have different registration fees. Please check the course\n\nfees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to\n\nfind out how much you need to pay to register for your chosen course, and\n\npay this amount using the banking details provided at the bottom of the\n\nregistration form. Remember to attach your proof of payment.\n\nIf you are under the age of 18, your parent or guardian will need to sign\n\nthis section of the form to state that they are aware of your registration\n\nwith Oxbridge Academy, and that they do not have any objections. If you\n\nare unemployed, you will need a guarantor to sign this section of the\n\nform. Your parent or guarantor will be held responsible if you miss any of\n\nyour payments in relation to your course fees.",
- "page_start": 25,
- "page_end": 25,
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- "text": "###### CHAPTER 7:\n\nHOW TO ASK FOR HELP FROM YOUR TUTOR\n\nAs a student, you are going to experience times when you need help\n\nwith your studies. You might be unsure about an assignment question,\n\nyou might be confused by a particular concept, or you might be stressed\n\nabout the upcoming exams.\n\nAnd if you are studying via distance learning (www.oxbridgeacademy.co.\n\nza/distance-learning/), where you don’t have any face-to-face interac\n\ntion with lecturers, you will need to rely on your tutors for the necessary\n\nacademic support.",
- "page_start": 32,
- "page_end": 32,
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- "text": "HERE ARE 10 TIPS FOR HOW YOU CAN ACHIEVE HIGHER MARKS FOR YOUR WRITTEN ASSIGNMENTS:\n\n1. Read (and follow) the instructions carefully.\n\nIf you are an Oxbridge Academy student, the general assignment\n\nguidelines will be provided in your “Success” Study Guide. Specific\n\ninstructions will also be included at the beginning of each of your\n\nassignments.\n\n2. Read the questions carefully.\n\nMake sure you understand what is being asked of you, so that you\n\nfocus on answering the right questions, instead of providing irrelevant\n\ninformation.\n\n3. Remember that presentation is important.\n\nNeatness, spelling, and the structure of your assignment will all count\n\ntoward the mark that you receive for your assignment.\n\n4. Use your course material and other external sources to find answers\n\nto the assignment questions.\n\nBut make sure to use your own words - don’t just copy. You need to show\n\nthe person marking your assignment that you have developed a sound\n\nunderstanding of the subject.\n\n5. When you use external resources, remember to reference them\n\nproperly, and to include them in a bibliography.\n\nIf you don’t, you may be guilty of plagiarism (www.oxforddictionaries.\n\ncom/definition/english/plagiarism), which is a serious offence.\n\n6. Always hand in your own work, and make sure that you use your\n\nown words when you formulate your answers.\n\n7. When it comes to essay questions:\n\n- Plan/outline your answer before doing the final draft.\n\n- Remember that essays have titles, introductions, bodies, and\n\nconclusions.\n\n- Use headings and paragraphs to structure your answer.",
- "page_start": 37,
- "page_end": 37,
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- },
- {
- "text": "## BASIC ENGLISH language skills",
- "page_start": 0,
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- "text": "All rights reserved. No part of this publication may be reproduced or transmitted\n\nin any form or by any means, electronic or mechanical, including photocopying,\n\nrecording, or any information storage or retrieval system, without prior permission in\n\nwriting from the publisher. Subject to any applicable licensing terms and conditions in\n\nthe case of electronically supplied publications, a person may engage in fair dealing\n\nwith a copy of this publication for his or her personal or private use, or his or her\n\nresearch or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978.\n\nThe authors and the publisher have made every effort to obtain permission for and\n\nto acknowledge the use of copyright material. Should any infringement of copyright\n\nhave occurred, please contact the publisher, and every effort will be made to rectify\n\nomissions or errors in the event of a reprint or new edition.\n\nDeveloped for Oxbridge Academy - 2015",
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- "references": {
- "source_file": "basic-english-language-skills.PDF",
- "query": "I have trouble writing effective summaries in English, do you have any tips?",
- "target_page": 29,
- "target_passage": "To make a good summary, you need to: • Keep it brief. • Make sure to use main headings and keywords. • Focus on the main ideas. • Classify and organise the information in a logical manner. • Use your own words where possible. • Include examples. • Remember that your summaries are there to help you",
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- "text": "SUMMARIES\n\nGeneral Tips for Making Summaries\n\n- Underline or highlight key points as you work through your study material, and make notes.\n\n- When you come across a word or concept you don’t understand,\n\nlook it up in a dictionary, or do some research on the concept, and\n\nadd your own definition to your summary.",
- "page_start": 31,
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- "text": "SO WHAT EXACTLY IS A SUMMARY?\n\nA summary is more than just a condensed or shortened version of your\n\nwork. A summary requires you to analyse your study material, to identify\n\nthe key concepts, and to explain it in your own words.\n\nTo make a good summary, you need to:\n\n- Keep it brief.\n\n- Make sure to use main headings and keywords.\n\n- Focus on the main ideas.\n\n- Classify and organise the information in a logical manner.\n\n- Use your own words where possible.\n\n- Include examples.\n\n- Remember that your summaries are there to help you.\n\nYOU CAN MAKE YOUR SUMMARIES IN DIFFERENT FOR MATS. HERE ARE SOME EXAMPLES:\n\nMind Maps (Spider Diagrams)\n\nA mind map is a visual expression of thoughts, ideas and concepts. It\n\nusually takes the form of a diagram, with the main concept in the centre,\n\nand the related concepts branching out from there. Here is an example:\n\nPayroll Contracts\n\n**HR**\n\n**Manager’s Duties**\n\nStaff\n\nTraining\n\nDiscipline",
- "page_start": 28,
- "page_end": 28,
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- },
- {
- "text": "## BASIC ENGLISH language skills",
- "page_start": 0,
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- "text": "19. You cannot use a dictionary when summarising your study material.\n\n20. Plagiarism is not a serious offence.\n\n21. When writing an exam, you should always answer the questions in\n\nnumerical order.\n\n22. E-mail etiquette is important in the workplace.\n\n23. Mind maps help you to understand the relationships between con\n\ncepts.\n\n24. When you answer an essay question, you should try to include as\n\nmuch information as possible.\n\nDo the following:\n\n25. Create a mind map to summarise Chapter 7 (How to Ask for Help\n\nfrom Your Tutor). (5)\n\n26. List 3 things you need to do if you want to earn good marks for your\n\nwritten assignments. (3)\n\n27. List 5 important things to keep in mind when writing a cover letter.\n\n(5)\n\n28. List 5 of the things that you should include in a resignation letter.\n\n(5)\n\n29. List 3 methods you can use to summarise your study material. (3)\n\n30. Give 2 examples of how good language skills can benefit your ca\n\nreer. (2)\n\n31. Complete the following sentence:\n\nSummarising your study material gives you the opportunity to",
- "page_start": 57,
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- "text": "##### TABLE OF CONTENTS:\n\n1. General Language Tips to Get You Started\n\n2. Parts of Speech\n\n3. Punctuation\n\n4. Commonly Confused Words and Phrases\n\n5. Tips for Filling in Your College Registration Form\n\n6. Learn How to Summarise Your Study Material\n\n7. How to Ask for Help from Your Tutor\n\n8. Tips for Completing Your Written Assignments\n\n9. Tips for Answering Exam Questions\n\n10. Language Skills at Work - How to Write a Cover Letter\n\n11. Language Skills at Work - How to Write a Resignation Letter\n\n12. Language Skills at Work - Sending E-mails to Your Colleagues",
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- "text": "###### CHAPTER 6:\n\nLEARN HOW TO SUMMARISE YOUR STUDY MATERIAL\n\nTo be successful in your studies, you need to learn how to create\n\nmeaningful summaries of your course material. This is especially\n\nimportant if you are a distance learning student (www.oxbridgeacademy.\n\nco.za/distance-learning/), as you won’t have a teacher or lecturer to\n\npoint out key concepts, or to give you tips about the types of questions\n\nyou can expect in the exams.\n\nSUMMARISING YOUR WORK GIVES YOU AN OPPORTUNITY TO:\n\n- Organise your study material into a structure that makes sense to you.\n\n- Arrange your study material into a format that suits your learning style.\n\n- Create memory aids for yourself.\n\n- Identify key ideas and concepts.\n\n- Focus on what’s important.\n\n- Prepare for exams more easily.",
- "page_start": 27,
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- "text": "9. Use correct grammar and spelling.\n\nThis will contribute to the clarity of your answers, and will prevent the\n\nperson marking your paper from having to guess what you mean.\n\n10. For longer questions and essay-style questions: plan your answers be fore you start writing.\n\nThis will help you to formulate logical arguments, as well as to structure your answers clearly. In essay questions, you will get marks for using the correct format, which includes making sure that you have an intro duction, sub-headings and paragraphs, and a conclusion.\n\n11. Where relevant, give examples.\n\nThis will help to demonstrate that you understand the topic.\n\n12. If you are writing an open-book exam, keep in mind that you won’t have\n\nenough time to look up all the answers.\n\nMake sure that you know your work, and that you know where to look\n\nfor key information. These types of exams are more focused on testing\n\nyour understanding than on testing your knowledge, which means that\n\nyou need to have a thorough grasp of the work.\n\n13. If you have to answer multiple-choice questions, make sure that you read the questions very carefully.\n\nTry to think of the correct answer before you read through the options, as you are less likely to become confused. When in doubt, go with your first instinct. If there is more than one correct answer, go with the an swer that appears to be most correct.\n\n14. If you start running out of time towards the end of the exam, write short notes as answers to each of the remaining questions, instead of trying to answer each question perfectly.\n\nThis way, you should still earn some marks for writing down the most important points.\n\n15. If you have time left at the end of the exam, go back and read through your answers to make sure that you are happy with them.\n\ntips tips tips tips tips tips tips tips tips tips tips tips tips",
- "page_start": 43,
- "page_end": 43,
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- "text": "HERE ARE 10 TIPS FOR HOW YOU CAN ACHIEVE HIGHER MARKS FOR YOUR WRITTEN ASSIGNMENTS:\n\n1. Read (and follow) the instructions carefully.\n\nIf you are an Oxbridge Academy student, the general assignment\n\nguidelines will be provided in your “Success” Study Guide. Specific\n\ninstructions will also be included at the beginning of each of your\n\nassignments.\n\n2. Read the questions carefully.\n\nMake sure you understand what is being asked of you, so that you\n\nfocus on answering the right questions, instead of providing irrelevant\n\ninformation.\n\n3. Remember that presentation is important.\n\nNeatness, spelling, and the structure of your assignment will all count\n\ntoward the mark that you receive for your assignment.\n\n4. Use your course material and other external sources to find answers\n\nto the assignment questions.\n\nBut make sure to use your own words - don’t just copy. You need to show\n\nthe person marking your assignment that you have developed a sound\n\nunderstanding of the subject.\n\n5. When you use external resources, remember to reference them\n\nproperly, and to include them in a bibliography.\n\nIf you don’t, you may be guilty of plagiarism (www.oxforddictionaries.\n\ncom/definition/english/plagiarism), which is a serious offence.\n\n6. Always hand in your own work, and make sure that you use your\n\nown words when you formulate your answers.\n\n7. When it comes to essay questions:\n\n- Plan/outline your answer before doing the final draft.\n\n- Remember that essays have titles, introductions, bodies, and\n\nconclusions.\n\n- Use headings and paragraphs to structure your answer.",
- "page_start": 37,
- "page_end": 37,
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- "text": "To start off with, here are a few tips for improving your general\n\nlanguage and communication skills:\n\n1. Read as much as possible. Reading improves your vocabulary,\n\nand helps you to become familiar with sentence structure,\n\nword order, and the correct use of punctuation.\n\n2. Invest in a good dictionary. When you are unsure of the\n\nmeaning of a word, or when you come across an unfamiliar\n\nword, make sure to look it up in your dictionary.\n\n3. Keep a journal. This will give you an opportunity to practice\n\nyour writing skills on a regular basis.",
- "page_start": 6,
- "page_end": 6,
- "source_file": "basic-english-language-skills.PDF"
- },
- {
- "text": "## **Excel**\n\n## **Fundamentals**",
- "page_start": 0,
- "page_end": 0,
- "source_file": "Excel Training Manual 1.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf",
- "query": "Is exposure to risk factors that may affect mental wellbeing at work comparable across European countries?",
- "target_page": 25,
- "target_passage": "The country data vary significantly. Sweden, Greece and Luxembourg report over two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.",
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- "text": "In 2007, 2013 and 2020, **Eurostat** asked employed persons in its ad hoc surveys to the Labour Force\n\nSurvey (LFS) whether they had **‘… exposure to risk factors that can adversely affect mental well-**\n\n**being’** . <sup>10</sup> In 2007 and 2013, the questions covered four items (time pressure and overload of work,\n\nviolence or threat of violence, harassment and bullying, other factors). In the 2020 survey, <sup>11</sup> ‘Mental\n\nwell-being’ was operationalised by an additional four response options, resulting in a total of eight\n\noptions: <sup>12</sup>\n\n*1. Severe time pressure or overload of work;*\n\n*2. Violence or threat of violence;*\n\n*3. Harassment or bullying;*\n\n*4. Poor communication or cooperation within the organisation;*\n\n*5. Having to deal with difficult customers, patients, pupils etc.;*\n\n*6. Job insecurity;*\n\n*7. Lack of autonomy, or lack of influence over the work pace or work processes; and*\n\n*8. Another significant risk factor for mental well-being.*\n\nForty-five per cent of the employed persons reported being exposed to risk factors that can adversely\n\naffect mental wellbeing. The country data vary significantly. Sweden, Greece and Luxembourg report\n\nover two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less. <sup>13</sup>\n\n© Quality Stock Arts/Adobe Stock",
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- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
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- "text": "5\n\n## **List of figures**\n\nFigure 1: Risk factors present (% of establishments) - ESENER 2014 and 2019................................ 23\n\nFigure 2: Risk factors that can adversely affect mental wellbeing - EWCS and ESENER ................. 24\n\nFigure 3: ‘Exposure to risk factors adversely affecting mental wellbeing’ - LFS Ad hoc survey 2020 . 26\n\nFigure 4: Psychosocial risk factors - Differences between skill groups (Job strain)............................. 27\n\nFigure 5: Psychosocial risk factors - Differences between skill groups (Psychological demand) ........ 28\n\nFigure 6: Psychosocial risk factors - Differences between skill groups (Decision authority) ............... 28\n\nFigure 7: Psychosocial risk factors - Differences between skill groups (Skill discretion) ..................... 29\n\nFigure 8: Hours worked per week of full-time employment, EU27 - Eurostat ...................................... 31\n\nFigure 9: Average working time and work during unsocial hours - Eurostat LFS ................................ 32\n\nFigure 10: Development of work intensity indicators between 1991 and 2015 - Eurofound ................ 33\n\nFigure 11: Establishment size and ‘Pressure due to time constraints’ - ESENER 2014 and 2019 ...... 34\n\nFigure 12: Establishment size and ‘Long or irregular working hours’ - ESENER 2014 and 2019 ....... 34\n\nFigure 13: ‘Pressure due to time constraints’, Yes responses - ESENER 2019 .................................. 35\n\nFigure 14: Employed persons and percentage of working time under pressure - Eurostat LFS Ad hoc\n\n2019 ....................................................................................................................................................... 35\n\nFigure 15: Percentage of employed persons with working time under pressure (per country, sum of\n\nresponses ‘Always’ and ‘Often’) - LFS Ad hoc 2019 ............................................................................ 36\n\nFigure 16: Exposure to physical risks - ESENER, EWCS and LFS ..................................................... 39\n\nFigure 17: Physical health risks compared (%) - EWCS 2015 ............................................................. 42\n\nFigure 18: Employment types in EU27, development 2005 to 2022 - Eurostat .................................. 47\n\nFigure 19: Employed persons by main place of work - Eurostat .......................................................... 51\n\nFigure 20: Employees working mostly from home (in % of employed persons) - Eurostat .................. 52\n\nFigure 21: Development of the total number of non-fatal accidents at work and incidence rates (accidents\n\nper 100,000 workers), 1998 and 2019 - Eurostat ................................................................................. 65\n\nFigure 22: Share of people reporting any accident and accidents resulting in time off work by country,\n\n2020 ....................................................................................................................................................... 70\n\nFigure 23: Comparison of the average incidence rate of fatal accidents in two periods: 2010-2014 and\n\n2015-2020 ............................................................................................................................................. 71\n\nFigure 24: Main causes of mortality 2019, EU27 .................................................................................. 79\n\nFigure 25: Work-related deaths - estimates by WHO/ILO and ICOH for EU27 ................................... 83\n\nFigure 26: Work-related DALYs - estimates by WHO/ILO and ICOH for the EU27 ............................. 84\n\nFigure 27: Prevalence of musculoskeletal diseases - EWCS 2015 ..................................................... 88\n\nFigure 28: Satisfaction with working conditions in the main paid job - EWCS 2015 ............................ 89\n\nFigure 29: Flash Eurobarometer 2014 - Satisfaction with health and safety at work ........................... 90\n\nFigure 30: ‘Health at risk’, sectoral responses for EU and three countries - EWCS 2015 ................... 91\n\nFigure 31: ‘Health at risk’, responses in groups of EU Member States - EWCS .................................. 92\n\nFigure 32: Age classes and work-related health problems in 2007, 2013, 2020 - LFS ad hoc module93\n\nFigure 33: People reporting a work-related health problem and People reporting a work-related health\n\nproblem causing daily limitations 2020 - LFS Ad hoc module 2020 ..................................................... 94",
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- "text": "Some of these groups are **directly addressed by European and national legislation** , for example,\n\nworkers with disabilities, young workers or pregnant women. For other groups of workers, for example,\n\nfor women or migrant workers, the legislative protection is formulated as a general ‘equal treatment’\n\nprescription, like to provide preventive measures for all groups in an enterprise (Framework Directive,\n\nArticle 15 ‘Risk groups’), or to provide solutions that fit to the individual (Framework Directive, Art. 6.2.d.).\n\nThere are some prescriptions that refer to specific preventive activities, for example, to provide written\n\ninstructions in different languages for safe work with chemicals.\n\n### **3.6 Conclusions**\n\nThe exposure **to psychosocial risks** is increasing, with mental health prevalence still emerging. Major\n\nwork-related exposures have grown in the past 15 to 25 years that is, time pressure, difficult clients,\n\nlonger working hours and poor communication. There is also some evidence that countries with over-\n\naverage employment in sectors like health and care or other human and client-oriented services\n\n(education, social work, tourism, entertainment) suffer from longer working hours and more mental\n\nburden. The northern countries are at the top of the countries with highest mental burden. The southern\n\ncountries have a high share of specific psychosocial risks related to work in tourism and entertainment,\n\ncharacterised by atypical working times and issues with difficult clients.\n\nEU-OSHA found in its ESENER 2014 data analysis: <sup>112</sup>\n\n*‘Concerning the sectors, national context appears to be related to differences in psychosocial risk*\n\n*management in all types of organisations, although in some sectors this relationship is weak. In the*\n\n*agriculture, forestry and fishing sector and the sectors of mining, construction, electricity, trade,*\n\n*transport, and accommodation and food, the low level of psychosocial risk management is observed*\n\n*also in a favourable national context. An explanation for this finding might relate to the large proportion*\n\n*of small organisations in these sectors, which, as concluded earlier, have poorer psychosocial risk*\n\n*management independently of the national context.’*\n\nThere is a stable **block of ‘conventional’ physical health risks** — ergonomics and risk from the work\n\nenvironment — and ergonomic risks that did not significantly change since 1990. It varies between 15%\n\nfor exposure to smoke, fumes and dusts to over 60% for repetitive hand/arm movements. **Ergonomic**\n\n**risks** develop in two directions: 1) traditional risks stagnate in total, that is, lifting and moving heavy\n\nloads, painful or tiring positions, and shifts between sectors (from industry to transport, health and care);\n\n2) risks of inactivity and highly repetitive hand/arm movements increase. Beside sectoral and\n\noccupational differences, it can be noted that in general higher percentages of exposed employed\n\npersons (workers and self-employed) are working in eastern and southern Member States.\n\nSince 2006 the average **working time** per week went down by 15 minutes for employees, and a slight\n\nreduction of most atypical — or unsocial — working times can be observed. Work intensification has\n\nemerged until 2005 but seems to stagnate since then. There are strong indications but no quantitative\n\nevidence on the extent to which working long hours, work at atypical times and probably also work with\n\nhigher risks were **transferred to workers in non-standard types of employment** .\n\n**Non-standard forms of employment** are — according to EU-OSHA — characterised by a non-\n\npermanent employment contract and the work not being performed at the premises of the employer.\n\nMost studies that dealt with the **connection between the employment forms and health outcomes**\n\nand in particular safety and health aspects found significant correlations. **New forms of employment**\n\nhave a wider spectrum of contract types — e.g. voucher, platform — and of places of work — for many\n\ntypes of work practically everywhere.\n\n**Non-standard locations of work** — mobile work, homes as workplaces, domestic and care work —\n\nhave as common characteristics special conditions concerning implementation of OSH standards and\n\nlegislation, be it for technical or legal reasons. Quantitative evidence on working conditions in these\n\ntypes of work is less available than for stationary workplaces; moreover, the OSH responsibility can be\n\nblurred. **Mobile ICT work** is a field of new contractual arrangements that besides other aspects in",
- "page_start": 58,
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- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
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- "text": "**References and notes**\n\n1 OSH Barometer data visualisation tool: [https://visualisation.osha.europa.eu/osh-barometer](https://visualisation.osha.europa.eu/osh-barometer)\n\n2 Methodological remark: Many workers in the service sectors have similar physically demanding work like workers\n\nin manufacturing, construction and agriculture. The statistical assignment of enterprises of a certain type to the\n\nservice sectors and the sectors industry/construction/agriculture is a too rough approach to describe and analyse\n\nworking conditions, particularly if more detailed data on working conditions are available. For that reason, when\n\ntalking about health outcomes, in this report often more informative categories are used, for example, managerial\n\njobs (LFS, Eurostat terminology), or high-, medium- and low-skilled clerical work (EWCS), or high-skilled manual\n\nand low-skilled manual work (Eurostat), independent on the sector where this work is performed.\n\n3 EU-OSHA - European Agency for Safety and Health at Work: Third European Survey of Enterprises on New\n\nand Emerging Risks (ESENER 3), [ESENER Data visualisation](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1) , section ‘Comparisons 2014-2019’; for ‘Prolonged\n\nsitting’ value from ‘Data visualisation 2019’ not from ‘Comparisons’.\n\n4 Some of the very first OSH regulations on psychosocial risks at workplaces were issued by Denmark in the early\n\n1980s, dealing with monotony at work, stress, risk of violence at work and risks of working alone.\n\n5 Psychosocial risks are regarded as reason, and mental health/disease as consequence or outcome of these\n\nrisks.\n\n6 OSHWiki, 2022: [Psychosocial issues - the changing world of work](https://oshwiki.osha.europa.eu/en/themes/psychosocial-issues-changing-world-work) ; OSHWiki, 2022: [Psychosocial risks and ](https://oshwiki.osha.europa.eu/en/themes/psychosocial-risks-and-workers-health)\n\n[workers health](https://oshwiki.osha.europa.eu/en/themes/psychosocial-risks-and-workers-health)\n\n7 EU-OSHA, 2007: [Expert forecast on emerging psychosocial risks related to occupational safety and health](https://osha.europa.eu/sites/default/files/report535_en.pdf)\n\n8 Eurofound, 2017: [Sixth European Working Conditions Survey - Overview report (2017 Update)](https://www.eurofound.europa.eu/publications/report/2016/working-conditions/sixth-european-working-conditions-survey-overview-report) (p. 48). Raw\n\ndata for 2015: Eurofound: [European Working Conditions Survey - Data Visualisation](https://www.eurofound.europa.eu/data/european-working-conditions-survey) ; Data for 2005: Eurofound:\n\n[Fourth European Working Conditions Survey](https://www.eurofound.europa.eu/surveys/european-working-conditions-surveys/fourth-european-working-conditions-survey-2005)\n\n9 EU-OSHA: [ESENER Data visualisation](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1) , Comparisons 2014-2019.\n\n10 Due to the change of possible response items, the data for the three surveys cannot be compared; the number\n\nof mental risk factors increased from three in 2007 and 2013 to eight in 2020.\n\n11 Eurostat, 2021: [EU labour force survey 2020 module on accidents at work and other work-related health ](https://data.europa.eu/doi/10.2785/79618)\n\n[problems : assessment report : 2021 edition](https://data.europa.eu/doi/10.2785/79618)\n\n*12* *Eurostat: Persons reporting exposure to risk factors that can adversely affect mental well-being by sex, age and*\n\n*factor, data* *[here](https://ec.europa.eu/eurostat/databrowser/view/hsw_exp3/default/table?lang=en)* *and explanatory metadata* *[here](https://ec.europa.eu/eurostat/cache/metadata/en/lfso_20_esms.htm)*\n\n13 It has to be noted that in 2007 and 2013 the interviews were done face-to-face. In 2020 the interviews were\n\nconducted either face-to-face or by phone, depending on the public health measures in each country. The\n\nresponses were influenced by work under conditions of the pandemic.\n\n14 Eurostat: [Persons reporting exposure to risk factors that can adversely affect mental well-being by sex, age and ](https://ec.europa.eu/eurostat/databrowser/view/hsw_exp1/default/table?lang=en)\n\n[educational attainment level](https://ec.europa.eu/eurostat/databrowser/view/hsw_exp1/default/table?lang=en)\n\n*15* *Rigó et al., 2021:* *[Work stress on rise? Comparative analysis of trends in work stressors using the European ](https://doi.org/10.1007/s00420-020-01593-8)*\n\n*[working conditions survey](https://doi.org/10.1007/s00420-020-01593-8)*\n\n16 WHO/ILO, 2021: [WHO/ILO joint estimates of the work-related burden of disease and injury, 2000- 2016: Global ](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve)\n\n[monitoring report](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve) ( p. 35ff).\n\n*17* *Eurostat provide data for the periods before and after the NACE revision in 2008.* * **Data for 2019:** * *Average number*\n\n*of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity*\n\n*(from 2008 onwards, NACE Rev. 2),* *[here](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWHUN2__custom_4423925/default/table?lang=en)* *Filter: Full-time, 15-64 years, all NACE sectors.* * **Data for 2006:** * *Average*\n\n*number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic*\n\n*activity (1998-2008, NACE Rev. 1.1),* *[here](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWHUNA__custom_4424467/default/table?lang=en)*\n\n18 Eurostat, 2018: [How many hours do Europeans work per week?](https://ec.europa.eu/eurostat/en/web/products-eurostat-news/-/ddn-20180125-1) Average number of usual weekly hours of work\n\nin main job, by sex, professional status, full-time/part-time and economic activity (from 2008 onwards, NACE Rev.\n\n2) - hours[lfsa_ewhun2], [here](http://appsso.eurostat.ec.europa.eu/nui/show.do?query=BOOKMARK_DS-056210_QID_-66FA1E0E_UID_-3F171EB0&layout=TIME,C,X,0;GEO,L,Y,0;NACE_R2,L,Z,0;WORKTIME,L,Z,1;WSTATUS,L,Z,2;SEX,L,Z,3;UNIT,L,Z,4;INDICATORS,C,Z,5;&zSelection=DS-056210WORKTIME,FT;DS-056210WSTATUS,SAL;DS-056210UNIT,HR;DS-056210NACE_R2,TOTAL;DS-056210SEX,T;DS-056210INDICATORS,OBS_FLAG;&rankName1=WSTATUS_1_2_-1_2&rankName2=UNIT_1_2_-1_2&rankName3=WORKTIME_1_2_-1_2&rankName4=INDICATORS_1_2_-1_2&rankName5=SEX_1_2_0_1&rankName6=NACE-R2_1_2_0_1&rankName7=TIME_1_0_0_0&rankName8=GEO_1_2_0_1&sortC=ASC_-1_FIRST&rStp=&cStp=&rDCh=&cDCh=&rDM=true&cDM=true&footnes=false&empty=false&wai=false&time_mode=ROLLING&time_most_recent=true&lang=EN&cfo=%23%23%23%2C%23%23%23.%23%23%23)\n\n19 Mean duration of commuting time one-way between work and home by sex and age (source: Eurofound), [Here](https://ec.europa.eu/eurostat/databrowser/view/qoe_ewcs_3c3/default/table?lang=en)\n\n20 Eurostat definition: The atypical work distinguishes between “evening or night work”, “Saturday or Sunday\n\nworking”, and “shift work”. Data for 2020 are available but indicate a strong reduction of atypical working times,\n\nthe reason is probably that sectors with a high rate of atypical working times like tourism, transport, entertainment,\n\nhotels and restaurants could not work as in previous years, and also production lines in industry, often shift work,\n\nwere stopped.",
- "page_start": 140,
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- "text": "224 [ Pega et al., 2022: Global, regional and national burden of disease attributable to 19 selected occupational risk ](https://www.sjweh.fi/index.php?page=list-articles&author_id=10935)\n\nfactors for 183 countries, 2000- 2016: A systematic analysis from the WHO/ILO Joint Estimates of the Work-\n\n[related Burden of Disease and Injury, ](https://doi.org/10.5271/sjweh.4001) here\n\n225 Kauppinen et al., 1998: Occupational exposure to carcinogens in the European Union in 1990-1993:\n\ninternational information system on occupational exposure to carcinogens, [here](https://research.wur.nl/en/publications/occupational-exposure-to-carcinogens-in-the-european-union-in-199)\n\n[CAREX Canada](https://www.carexcanada.ca/)\n\nFevotte et al., 2011: [Matgéné: A Program to Develop Job-Exposure Matrices in the General Population in France](https://doi.org/10.1093/annhyg/mer067)\n\nMannetje et al., 2011: [Developing a general population job-exposure matrix in the absence of sufficient exposure ](https://doi.org/10.1093/annhyg/mer045)\n\n[monitoring data](https://doi.org/10.1093/annhyg/mer045)\n\n226 YLDs = years lived with disability, together with YLLs = years of life lost, it composes the DALY (DALY = YLL +\n\nYLD).\n\n227 GBD 2019 Mental Disorders Collaborators, 2022: Global, regional, and national burden of 12 mental disorders\n\nin 204 countries and territories, 1990- 2019: a systematic analysis from the Global Burden of Disease Study 2019,\n\n[here](https://doi.org/10.1016/S2215-0366(21)00395-3)\n\n228 WHO: [Mental disorders, Key facts](https://www.who.int/news-room/fact-sheets/detail/mental-disorders) and\n\nIHME: Global Health Data Exchange (GHDx), [here](https://vizhub.healthdata.org/gbd-results/)\n\n229 OECD, 2015: [Sick on the Job?: Myths and Realities about Mental Health and Work](https://www.oecd.org/els/mental-health-and-work-9789264124523-en.htm)\n\n230 OECD/European Union, 2018: [Health at a Glance: Europe 2018: State of Health in the EU Cycle](https://doi.org/10.1787/health_glance_eur-2018-en)\n\n231 [ Andlin-Sobocki et al., 2005: ](https://onlinelibrary.wiley.com/action/doSearch?ContribAuthorRaw=Andlin-Sobocki%2C+Patrik) [Cost of disorders of the brain in Europe](https://doi.org/10.1111/j.1468-1331.2005.01202.x)\n\n232 Niedhammer et al.; 2021: Update of the fractions of cardiovascular diseases and mental disorders attributable\n\nto psychosocial work factors in Europe, [here](https://doi.org/10.1007/s00420-021-01737-4)\n\n233 Norder et al., 2017: Beyond return to work from sickness absence due to mental disorders: 5-year longitudinal\n\nstudy of employment status among production workers, [here](https://doi.org/10.1093/eurpub/ckw178)\n\n234 Leka & Jain, 2017: [EU Compass for Action on Mental Health and Well-Being - Mental Health in the Workplace ](https://health.ec.europa.eu/system/files/2017-07/compass_2017workplace_en_0.pdf)\n\n[in Europe](https://health.ec.europa.eu/system/files/2017-07/compass_2017workplace_en_0.pdf)\n\n235 Musculoskeletal disorders refer to backache and/or muscular pains in shoulders, neck, upper limbs and/or\n\nlower limbs (hips, legs, knees, feet, etc.). In the medical systematic it is the IC 10 group of diseases: Diseases of\n\nthe musculoskeletal system and connective tissue.\n\n236 EU-OSHA, 2019: [Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU](https://osha.europa.eu/en/publications/work-related-musculoskeletal-disorders-prevalence-costs-and-demographics-eu/view)\n\n237 Graveling, 2018: [Ergonomics and Musculoskeletal Disorders (MSDs) in the Workplace. A Forensic and ](https://doi.org/10.1201/b22154)\n\n[Epidemiological Analysis](https://doi.org/10.1201/b22154)\n\n238 Da Costa & Viera, 2010: Risk factors for work-related musculoskeletal disorders: a systematic review of recent\n\nlongitudinal studies, [here](https://doi.org/10.1002/ajim.20750)\n\n239 EU-OSHA, 2020: [Work-related musculoskeletal disorders: why are they still so prevalent? Evidence from a ](https://osha.europa.eu/en/publications/work-related-musculoskeletal-disorders-why-are-they-still-so-prevalent-evidence-literature-review)\n\n[literature review](https://osha.europa.eu/en/publications/work-related-musculoskeletal-disorders-why-are-they-still-so-prevalent-evidence-literature-review) (p. 15).\n\n240 EU-OSHA, 2019: [Summary - Work-related musculoskeletal disorders: prevalence, costs and demographics in ](https://osha.europa.eu/en/publications/summary-msds-facts-and-figures-overview-prevalence-costs-and-demographics-msds-europe)\n\n[the EU](https://osha.europa.eu/en/publications/summary-msds-facts-and-figures-overview-prevalence-costs-and-demographics-msds-europe) (p. 8).\n\n241 EU-OSHA, 2019: [Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU](https://osha.europa.eu/en/publications/msds-facts-and-figures-overview-prevalence-costs-and-demographics-msds-europe)\n\n242 Ibid., p. 174ff.\n\n243 Eurofound, 2007: [Fourth European Working Conditions Survey (2005)](https://www.eurofound.europa.eu/surveys/european-working-conditions-surveys/fourth-european-working-conditions-survey-2005.) (p. 77).\n\n244 United Nations Economic Commission for Europe (UNECE), 2015: Handbook on measuring quality of\n\nemployment: A statistical framework, [here](https://unece.org/statistics/publications/handbook-measuring-quality-employment)\n\n245 Quinlan & Bohle, 2013: Re-invigorating industrial relations as a field of study: Changes at work, substantive\n\nworking conditions and the case of OHS, [here](https://www.nzjournal.org/NZJER38%283%29.pdf) (p. 8).\n\n246 The percentages of responses to this question in the European Working Conditions Survey (EWCS, 2015) are\n\ndisplayed. Each bar shows the percentages of the four possible responses for each EU Member State, the\n\naverage for the EU Member States, and the responses for Switzerland and Norway. Responses are displayed for\n\nthe question below: How satisfied are you with working conditions in your main paid job? Answer options were:\n\nNot at all satisfied; Not very satisfied; Satisfied; Very satisfied. See [here](https://www.eurofound.europa.eu/data/european-working-conditions-survey)\n\n247 Flash Eurobarometer 398, 2014, p 2, [https://www.cesi.org/wp-content/uploads/2014/04/fl_398_sum_en.pdf](https://www.cesi.org/wp-content/uploads/2014/04/fl_398_sum_en.pdf) .\n\nThe displayed Flash Eurobarometer data refer to the ‘working population’, with two subgroups A (employees and\n\nmanual workers), and B (self-employed). In the Flash Eurobarometer sample these two groups are separated\n\nfrom three further groups forming the ‘Not working’ population These groups are: subgroups: students, retired,\n\nlooking for a job.\n\n248 Ibid., p. 58.\n\n249 Eurofound, 2007: [Fourth European Working Conditions Survey (2005)](https://www.eurofound.europa.eu/surveys/european-working-conditions-surveys/fourth-european-working-conditions-survey-2005.) (pp. 77-81).",
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- "text": "### **3.1 Psychosocial risks at work**\n\nDuring the last 30 years, the scientific, political and practical discussions on **psychosocial risks** and\n\npreventive measures against psychosocial risks have gained strong importance. After a period of doubts\n\nand resistance, today they are regarded as risks of the same severity as the classical physical safety\n\nand health risks. <sup>4</sup> (Chapter 1 covers the psychosocial risk aspect; for the prevalence of mental diseases\n\nand the burden of mental diseases see Chapter 2.2. <sup>5</sup> )\n\nLooking at the steady increase of certain psychosocial risk indicators at workplace level, either the **risks**\n\n**have increased** and/or the **number of people working in occupations** with higher psychosocial risks\n\nhas increased. <sup>6,7</sup> This is valid, for example, for the indicator time pressure, for example, in delivery\n\nservices, transport, and often also clerical work; the workforce has grown in sectors where emotional\n\ndemands from dealing with difficult clients, customers, pupils or patients are common; there are also\n\nmore workers employed (or self-employed) in interactional occupations, for example, in call centres, or\n\nin occupations with a high level of emotional tensions, for example, education, health and care.\n\n**Figure 2: Risk factors that can adversely affect mental wellbeing - EWCS <sup>8</sup> and ESENER <sup>9</sup>**\n\nA major difference between the ESENER and the EWCS survey is the respondent. In ESENER those\n\npersons who are most familiar with OSH or responsible for OSH in an enterprise were asked whether a\n\ncertain risk factor exists in the enterprise; in the EWCS survey workers themselves were asked whether\n\nthey are exposed to a risk factor.",
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- "text": "#### * **4.3.2 Health affected - overall opinion** *\n\nThe self-assessment of **health risks at work** is a question in the EWCS. According to the responses to\n\nthe EWCS 2015, work is regarded by exactly one-quarter (25%) of the workers in the EU as a health\n\nrisk. (The OSH Barometer provides more details; links in the text box at the end of this chapter.)\n\nThe countries with the **lowest percentage of perceived affection of health at work** are Portugal at\n\n15%; below or around 20% are also Italy, Ireland and Czechia, Germany, Hungary and Romania. The\n\ncountries with the highest percentage of perceived health risks at work are Latvia (41%), followed by\n\nSpain and Slovenia (both 38%), Lithuania (37%), and Estonia, France and Malta (all 35%).\n\nAt EU level the **aggregated sectors** ‘Construction and Transport’ show the highest figures (35%) and\n\n‘Commerce / Hospitality’ (20%) and ‘Financial / Other services’ the lowest (20%). These sectoral\n\ndifferences repeat in most countries.\n\n**Figure 30: ‘Health at risk’, sectoral responses for EU and three countries - EWCS 2015 <sup>252</sup>**",
- "page_start": 90,
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- "text": "**Figure 3: ‘Exposure to risk factors adversely affecting mental wellbeing’ - LFS Ad hoc survey 2020 <sup>14</sup>**\n\nESENER 2019 reveals that several **psychosocial risk factors** are reported to be present in a significant\n\nshare of establishments in the EU27, namely having to deal with difficult customers, patients and pupils\n\n(59%) and time pressure (45%).\n\nThe aspects **‘Difficult clients’, ‘Poor communication’ and ‘Long working hours’** are major psycho-\n\nsocial risks. The increase of workforce in communicative and client-oriented occupations — social work,\n\neducation, tourism and entertainment, health and care — during the last 30 years adds to the\n\nconventional work with clients in service, sales and health occupations.\n\nThe next table shows the top seven EU Member states with the highest share of these risks for all\n\nsectors and for the sector ‘Human health and social work activities’ (HHSW).\n\n**Table 1: Psychosocial risks, Top countries ‘All Sectors’ and ‘Human health and social work’ - ESENER**\n\n**2019**\n\n**Difficult customers, patients and pupils (‘clients’)** seem to be the most widespread psychosocial\n\nburden, with workers in Portugal, Malta and Cyprus are most exposed. In the sector HHSW, eastern\n\nEuropean countries are much more present, Slovenia at the top, followed by Portugal, Estonia, Poland\n\nand Bulgaria.",
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- "text": "### **4.3 Wellbeing and health status**\n\nExisting concepts of **wellbeing** cover **more aspects of work than working conditions or safety and**\n\n**health** at workplaces. Eurofound mentions as the most relevant components: *income, working time*\n\n*arrangements, possibilities for skills development and career advancement, and the degree of individual*\n\n*control over work* . <sup>243</sup> The United Nations Economic Commission for Europe ( UNECE) developed a\n\nscheme of quality of employment that covers these aspects: *safety and ethics of employment, income*\n\n*benefits and employment, working hours and balancing working and non-working life, security of*\n\n*employment and social protection, social dialogue, skills development and training, workplace*\n\n*relationships and work motivation.* <sup>244</sup>\n\nThis chapter **focuses on the health and safety aspects** of wellbeing, although the OSH aspect is often\n\nnot clearly separable from the above-mentioned aspects, that is, when surveys are intending to identify\n\nthe level of ‘satisfaction at work’. Still, due to its serious impact on all other aspects of working conditions,\n\nthe consequences of insufficient health are regarded as critical:\n\n*‘While OHS is only one substantive working condition, like earnings and job insecurity it is arguably a*\n\n*critical one for many workers. In terms of scope and severity, even official data … suggests poor OHS*\n\n*is something most workers will experience at some point and many far more frequently.’* <sup>245</sup>\n\nA common methodology to collect data on **health status** and wellbeing is **self-reporting and self-**\n\n**assessment** of workplace risks, health risks and health problems, absence, job satisfaction and working\n\nlife perspective from a health point of view. The data are in general collected by EU-wide surveys, for\n\nexample, by the EWCS, the Flash Eurobarometer, ESENER or the LFS Ad hoc modules. The\n\ndescription of working conditions in the OSH Barometer starts with responses regarding the **‘Overall**\n\n**opinion’** on working conditions. This allows insight into the subjective assessment of health risks at\n\nwork and wellbeing.\n\n#### * **4.3.1 Satisfaction at work** *\n\nIn the EWCS of 2015, at EU level 86% of the workers respond that they are **‘satisfied’** (60%) or **‘very**\n\n**satisfied’** (26%) with their work. Country differences exist but are not striking. The EU Member States\n\nwith the highest satisfaction rates are Austria, the Netherlands, Finland, Czechia, Denmark, Belgium\n\nand Estonia; they range between 93% and 90%. The six countries with the lowest sum of satisfied and\n\nvery satisfied responses are Greece, Croatia, France, Spain, Italy and Latvia; their values range\n\nbetween 77% and 82%.\n\n**Figure 28: Satisfaction with working conditions in the main paid job - EWCS 2015 <sup>246</sup>**",
- "page_start": 88,
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- "text": "Regarding this question, **age differences are negligible** . **Concerning gender** , male respondents\n\nreport more often that their work imposes health risks; at EU level the values are 23% for female workers\n\nand 27% for male workers.\n\n**In 2005, the workers in the 10 new Member States responded much less positive** ; 40% of the\n\nworkers in the 10 new Member States considered their health and safety to be affected because of their\n\nwork.\n\n**Figure 31: ‘Health at risk’, responses in groups of EU Member States - EWCS <sup>253</sup>**\n\nFor the EU-15 (Member States that joined the EU before 2004), the ‘Yes’ responses to this question\n\ndecreased from 31% in 1991 (first EWCS) to 28% in 2005 and reached 26% in 2015. For the 10 new\n\nMember States the rate decreased, from previously 40% in 2005 to 29% in 2015. <sup>254</sup> The EU membership\n\nhas definitely created **more convergence** between the countries.\n\n#### * **4.3.3 Reported health problems** *\n\nThe identification of current **work-related health problems** is another approach to create an indicator\n\nfor health status. Eurostat collected this data in the LFS Ad hoc modules 2007, 2013 and 2020, *Persons*\n\n*reporting a work-related health problem by sex, age and NACE Rev. 2 activity* . <sup>255</sup>\n\n**In 2007, 14.6% of employed persons** reported a work-related health problem; **this figure decreased**\n\n**in 2013 to 8.8% and went up again to 10.3% in 2020** <sup>256</sup> (EU27 level). As expected, **age is one of the**\n\n**factors** that influence the response to this question. In 2020, 14.1% of the workers in age class 55-64\n\nyears reported a work-related health problem, compared to 6.5% in age class 15-34 years and 10.8 in\n\nage class 35-54 years. These differences between the age classes were quite similar in all three points\n\nof time.",
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- "query": "Has the average working week for employees working full-time decreased since 2006?",
- "target_page": 31,
- "target_passage": ". The statistical data (Eurostat) show a slight decrease of the average weekly working time for full-time employees (15-64 years) from 40.2 to 39.9 hours between 2006 and 2019.",
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- "text": "**Figure 8: Hours worked per week of full-time employment, EU27 - Eurostat**\n\nThe **commuting time** between home and workplace is quite stable; in 2005 at EU27 level, it stood at\n\n42.4 minutes, and in 2015 Eurostat reports 40.2 minutes (time for both ways, to the workplace and\n\nback). <sup>19</sup>\n\n**Work at atypical working times** is in general regarded as a working condition with negative health\n\nimpact, called **work extensity** . The two major indicators of atypical working times are work at **‘atypical**\n\n**working times’** and **‘long working hours’** .\n\nEurostat reports for **‘Employment at atypical working time’** <sup>20</sup> a minor decrease between 2011 and\n\n2019, from 38.8% to 37.2% (EU27), for all employed workforce and all types of such atypical time. <sup>21</sup>\n\nSome **groups of self-employed** show a higher rate of atypical working times but also for most of the\n\ncategories of self-employed the rates decreased during the period 2011 to 2019. **High managerial self-**\n\n**employed** had a slight increase from 42.1% to 43.2% in this period. For the **low managerial self-**\n\n**employed** Eurostat finds a decrease from 69.2% to 64.5%. The figures for **small entrepreneurs**\n\ndropped slightly from 56.6% to 54.1%, the same applies for employed persons in **personal care work**\n\nwith a minor change (50.6% to 49.8%). **Agricultural self-employed** had the highest level of such\n\nworking times; they showed a decrease from 68.4% to 63.4%.\n\nThe length of the daily or weekly working time, its allocation over the 24 hours of a day or at night are\n\nimportant factors for health and wellbeing. The statistical data (Eurostat) show a slight decrease **of the**\n\n**average weekly working time for full-time employees** (15-64 years) from 40.2 to 39.9 hours between\n\n2006 and 2019. <sup>22</sup> The data also document slight increases and decreases of work at atypical times\n\n(response option for frequency: ‘usual’). <sup>23</sup> In 2006 and 2019, the following percentages of all employed\n\npersons worked at atypical times: on **Saturdays** the percentage decreased from 28% to 25%, **working**\n\n**on Sundays** remained stable at around 13.5%, **working in the evenings** decreased from 19% to 15%,\n\n**work at night** fell from 7% to 5% and **shift work** increased slightly from 17% to 18%. <sup>24</sup>",
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- "text": "**Figure 7: Psychosocial risk factors - Differences between skill groups (Skill discretion)**\n\nFor ‘Decision authority’ and ‘Skill discretion’, the authors found a stable situation since 1995, even a\n\nsmall rise of skill discretion for manual workers after 2010. Regarding ‘Psychological demands’ and ‘Job\n\nstrain’, the major increase for all groups took place between 1995 and 2005. This growth decelerated\n\nafter 2005, this observation is also valid for other working conditions, like work intensity.\n\n#### * **3.1.1 Working time in hours and at atypical times** *\n\n**Too many hours of working time and/or working hours at atypical or unsocial times** can put **the**\n\n**mental** and **the physical health** of humans at risk. It is also regarded as a major **contributing factor**\n\n**to work accidents** , due to fatigue or exhaustion. <sup>16</sup>\n\nThe main indicator to describe working time is the **number of the weekly average working hours** of\n\nfull-time employees. However, regarding its impact on health and safety, **other aspects of working**\n\n**time are of the same relevance** :\n\n- How long is the average working day?\n\n- At which times and days is this work done (typical, atypical times)?\n\n- How often do long working hours take place?\n\n- Is the work split between two jobs?\n\n- How flexible are start and end?\n\n- How intense is the work during this time (breaks, deadlines)?\n\n- Which groups of workers have standard working times and which do not (e.g. depending on the\n\nsector or the type of contract, e.g. sub-contracted workers or self-employed)?\n\nThere is a **slight trend towards fewer working hours** for full-time **employees** (not ‘Employed persons’)\n\nin the EU27; between 2006 and 2019 the average weekly working time dropped from 40.2 to 39.9 hours,\n\na decrease of approximately 15 minutes. <sup>17</sup>\n\nRegarding the weekly hours, there are **no striking differences** between the EU27 Member States. In\n\n2019, Cyprus, Austria and Malta with a high share of workers in the sector of tourism (accommodation)\n\nhad the highest number of working hours per week (above 41 hours), and Denmark, the Netherlands\n\nand Italy the lowest number (39 or fewer) (full-time, employees, 15-64 years, all NACE codes). <sup>18</sup>",
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- "text": "number of workers in industry decreased, but the number of workers in the above-mentioned service\n\nsectors increased.\n\n#### * **3.1.2 Work intensity** *\n\nThere are numerous references showing that during the period **between 1990 and 2005 work intensity**\n\n**has considerably increased** . <sup>28</sup>\n\nFor example, Eurofound has analysed the responses to the two EWCS questions on high speed at work\n\nand tight deadlines. The EWCS found a significant increase of work intensity between 1991 and 2005.\n\nIn 1991, **‘Working at a very high speed’** was for the majority of respondents not an issue. Fifty-two per\n\ncent of the workers responded to this statement ‘Never’ or ‘Almost never’; in 1991, 24% worked at high\n\nspeed and responded ‘Around ¾ of the time’, ‘Almost all of the time’ and ‘All of the time’; until 2005 this\n\nresponse rate went up by 11% to 35%.\n\n**Working to tight deadlines** was not an issue for 34% in 1990, and in 2005 only for 19%, a reduction\n\nof 15%. The percentage of the sum of responses ‘Around ¾ of the time’, ‘Almost all of the time’ or ‘All\n\nof the time’ to this question on tight deadlines increased between 1991 and 2005 from 29% to 37%.\n\nRegarding these two indicators, **work intensity has evidently increased** between 1991 and 2005. <sup>29</sup>\n\n**Figure 10: Development of work intensity indicators between 1991 and 2015 - Eurofound**\n\nAfter that first period between 1991 and 2005, **this development seems to stagnate between 2005**\n\n**and 2015** . <sup>30</sup> The responses ‘Almost all of the time’ or ‘All of the time’ vary only slightly, between 33%\n\nand 37% depending on year and question (‘Working at high speed’ or ‘Working to tight deadlines’).\n\nDifferences can be seen regarding sector, company size and occupation. **Regarding work intensity** ,\n\nESENER enterprise data on time pressure for the EU27 indicate a slight increase of 2.3% between 2014\n\nand 2019 from 43% to 45%. <sup>31</sup> Interestingly, according to ESENER, time pressure drastically **increases**\n\n**with the size of the enterprise** . In enterprises with 5 - 9 employees, 39% report time pressure, and in\n\nenterprises with above 250 employees 69%. <sup>32</sup> The same applies for long working hours, where\n\nenterprises with 5 - 9 employees report 19% ‘long working hours’, and in enterprises with above 250\n\nemployees this percentage increases to about 39% (EU27, 2019). <sup>33</sup>",
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- "text": "**Figure 9: Average working time and work during unsocial hours - Eurostat LFS**\n\nTwo country examples might illustrate these developments (all data for 2019): Slovakia, a country with\n\na high share of process-based industries, reports that 15.0% of its workforce is working at night and 29%\n\nin shifts; for the EU27 this rate is 5.2% respectively and 18.3%. <sup>25</sup> Regarding work on Sundays three\n\nother countries are at the top of the EU27, the Netherlands, Ireland and Spain; they report between 18%\n\nand 21% (EU27 average = 13.5%); all three countries have an above-average share of sectors like\n\ntransport, tourism and agriculture. <sup>26</sup>\n\nFor all these types of work it should be take into account that other groups of **workers under non-**\n\n**standard types of employment contracts** (self-employed, agency workers, students, pensioners,\n\nundeclared workers) might have taken over work at these atypical working times.\n\nConcluding, it can be stated that there is a **slight trend towards a reduction of weekly working hours**\n\n**for regularly employed** workers, including a stable commuting time. Working hours at atypical times\n\nshow a mixed picture. Looking at most types of employees, **atypical working time decreased, except**\n\n**work on Sundays** . For self-employed with employees, the working time at atypical hours is in general\n\nat a higher level. The number of employees in night work is decreasing. More employees in service and\n\nclient-related occupations at night or in shifts but also here the atypical times are slightly decreasing.\n\nProbably these changes **mirror the structural economic changes** , that is, the shift of workforce\n\nbetween sectors. Night work was common in many industries as part of a three 8-hours shifts, not only\n\nin industries with permanent production processes (steel, chemicals, etc.). <sup>27</sup> Moreover night work is and\n\nwas common in essential services like health, transport, technical infrastructure and security. The",
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- "text": "21 Eurostat: Ad hoc module 2019 on work organisation and working time arrangements. Employment at an\n\natypical working time (time period start with 2011), [here](https://ec.europa.eu/eurostat/web/products-datasets/-/lfsa_esegatyp) and [here ](https://ec.europa.eu/eurostat/databrowser/view/LFSA_ESEGATYP__custom_943738/default/table?lang=en)\n\n22 Eurostat Data for 2019: Average number of usual weekly hours of work in main job, by sex, professional status,\n\nfull-time/part-time and economic activity (from 2008 onwards, NACE Rev. 2). [here](https://ec.europa.eu/eurostat/databrowser/view/lfsq_ewhun2/default/table?lang=en) Filter: Employees, Full-time, All\n\nNACE, EU27 2019 Q4.\n\nEurostat Data for 2006: Average number of usual weekly hours of work in main job, by sex, professional status,\n\nfull-time/part-time and economic activity (1998-2008, NACE Rev. 1.1), [here](https://ec.europa.eu/eurostat/databrowser/view/LFSQ_EWHUNA__custom_1494815/default/table?lang=en) Filter: Employees, Full-time, All\n\nNACE, EU27 2019 Q4.\n\n23 Eurostat definition of atypical work: The atypical work distinguishes between “evening or night work”, “Saturday\n\nor Sunday working”, and “shift work”.\n\n24 All data were retried from tables in: Labour market > Employment and unemployment (Labour force survey) [M](https://ec.europa.eu/eurostat/cache/metadata/en/employ_esms.htm)\n\n> LFS series - detailed annual survey results [M](https://ec.europa.eu/eurostat/cache/metadata/en/lfsa_esms.htm) > [Population in employment working during unsocial hours - LFS ](https://ec.europa.eu/eurostat/databrowser/explore/all/popul?lang=en&subtheme=labour.employ.lfsa.lfsa_empasoc&display=list&sort=category&extractionId=LFSA_EWPSHI__custom_3315215)\n\n[series](https://ec.europa.eu/eurostat/databrowser/explore/all/popul?lang=en&subtheme=labour.employ.lfsa.lfsa_empasoc&display=list&sort=category&extractionId=LFSA_EWPSHI__custom_3315215)\n\n25 Eurostat: [Employed persons working at nights as a percentage of the total employment, by sex, age and ](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWPNIG/default/table?lang=en&category=labour.employ.lfsa.lfsa_empasoc)\n\n[professional status (%) ](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWPNIG/default/table?lang=en&category=labour.employ.lfsa.lfsa_empasoc)\n\n26 Eurostat: [Employed persons working on Sundays as a percentage of the total employment, by sex, age and ](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWPSUN/default/table?lang=en&category=labour.employ.lfsa.lfsa_empasoc)\n\n[professional status (%)](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWPSUN/default/table?lang=en&category=labour.employ.lfsa.lfsa_empasoc)\n\n27 Fiz Perez et al., 2019: [Shift and night work management in European companies](https://www.calitatea.ro/assets/arhiva/2019/QAS_Vol.20_No.169_Apr.2019.pdf)\n\n28 OSHWiki, 2022: [Psychosocial issues - the changing world of work](https://oshwiki.osha.europa.eu/en/themes/psychosocial-issues-changing-world-work)\n\n29 Eurofound, 2003: [Time and work: Work intensity](https://www.eurofound.europa.eu/publications/report/2003/working-conditions/time-and-work-work-intensity-report)\n\nEurofound, 2009: [Working conditions in the European Union: Working time and work intensity](https://www.eurofound.europa.eu/publications/report/2009/working-conditions/working-conditions-in-the-european-union-working-time-and-work-intensity)\n\n30 Eurofound, 2017: [Sixth European Working Conditions Survey - Overview report (2017 Update)](https://www.eurofound.europa.eu/publications/report/2016/working-conditions/sixth-european-working-conditions-survey-overview-report) (p. 48).\n\n31 ESENER addresses the person in an enterprise responsible for or closest to the topic of OSH; the EWCS is a\n\nworker survey. In addition, the response options were different from the EWCS. Two options in ESENER, ‘Yes’ or\n\n‘No’, compared to three options in the EWCS: ‘(Almost) all of the time’, ‘Between ¼ and ¾ of the time’, ‘(Almost)\n\nnever’.\n\n32 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), [ESENER Data ](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1)\n\nvisualisation [, section ‘Comparisons 2014-2019’, section ‘Psychosocial risk factors present in the establishment’, ](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1)\n\n‘Pressure due to time constraints’.\n\n33 Ibid., Section ‘Psychosocial risk factors present in the establishment’, ‘Long or irregular working hours’.\n\n34 Ibid., Section ‘Psychosocial risk factors present in the establishment’, The exact question was: ‘Please tell me\n\nfor each of the following risks whether or not it is present in the establishment?‘ ‘Pressure due to time constraints’.\n\nResponse option: Time pressure.\n\n35 Ibid., Section ‘Psychosocial risk factors present in the establishment’, The exact question was: ‘Please tell me\n\nfor each of the following risks whether or not it is present in the establishment?‘ ‘Pressure due to time constraints’.\n\nResponse option: Time pressure.\n\n36 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), [ESENER Data ](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1)\n\nvisualisation [, section ‘Comparisons 2014-2019’, section ‘Psychosocial risk factors present in the establishment’, ](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1)\n\nThe exact question was: ‘Please tell me for each of the following risks whether or not it is present in the\n\nestablishment?‘ ‘Pressure due to time constraints’. Response option: Time pressure.\n\n37 Eurostat, 2019: [Persons in employment by frequency of working under time pressure, educational attainment ](https://ec.europa.eu/eurostat/databrowser/view/lfso_19mtwk19/default/table?lang=en)\n\n[level and professional status](https://ec.europa.eu/eurostat/databrowser/view/lfso_19mtwk19/default/table?lang=en) , 20-64 years, percentages calculated from numerical data\n\n38 Kelliher & Anderson, 2010: [Doing more with less? Flexible working practices and the intensification of work](https://doi.org/10.1177/0018726709349199)\n\n39 Piaska, 2018: [Scheduled to work hard: The relationship between non-standard working hours and work ](https://doi.org/10.1111/1748-8583.12171)\n\n[intensity among European workers (2005- 2015)](https://doi.org/10.1111/1748-8583.12171)\n\n40 See also the overview in: EU-OSHA, OSHWiki, Guyot, S: Psychosocial issues - the changing world of work,\n\n[here](https://oshwiki.eu/wiki/Psychosocial_issues_%E2%80%93_the_changing_world_of_work)\n\n41 Newer literature: James & Walters, 2022: Work and Health: 50 Years of regulatory failure.\n\n42 Davis & Kim, 2015: [Financialization of the Economy](https://doi.org/10.1146/annurev-soc-073014-112402)\n\n43 Ethics & Compliance Initiative, 2020: [Global Business Ethics Survey Report. Pressure in the Workplace: ](https://www.ethics.org/pressure-in-the-workplace-risk-factors-and-tips-to-reduce-pressure/)\n\n[Possible Risk Factors and Those at Risk](https://www.ethics.org/pressure-in-the-workplace-risk-factors-and-tips-to-reduce-pressure/)\n\n44 Johnstone et al., 2005: [Statutory Occupational Health and Safety Workplace Arrangements for the Modern ](https://doi.org/10.1111/j.1472-9296.2005.00160.x)\n\n[Labour Market](https://doi.org/10.1111/j.1472-9296.2005.00160.x)\n\n45 Lorenz & Valeyre, 2005: [Organisational Innovation, Human Resource Management and Labour Market ](https://dx.doi.org/10.1111/j.1472-9296.2005.00183.x)\n\n[Structure: A comparison of the EU-15](https://dx.doi.org/10.1111/j.1472-9296.2005.00183.x)\n\n46 [Directive 2003/88/EC of 4 November 2003 concerning certain aspects of the organisation of working time](https://osha.europa.eu/en/legislation/directives/directive-2003-88-ec)",
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- "text": "methodology, the OSH practitioners who were asked in ESENER seem to have a different view on time\n\npressure than the workers themselves who are respondents in the LFS.\n\n**Figure 15: Percentage of employed persons with working time under pressure (per country, sum of**\n\n**responses ‘Always’ and ‘Often’) - LFS Ad hoc 2019**\n\nOne hypothesis to explain the increased time pressure is to draw a direct **connection between short**\n\n**weekly working time and more intense work** ; or in other words, a short weekly working time leads to\n\nmore **intensification of work or more long hours or atypical working times** (‘trading flexibility for\n\neffort’). <sup>38</sup>\n\nThe analysis of EU survey data shows **a mixed picture** : Firstly, ESENER data corroborate this\n\nhypothesis, the three countries with highest percentage of work under time constraints — that is, Finland,\n\nSweden and Denmark — all have working hours under the EU average. Secondly, LFS data show a\n\ndifferent picture; a country like Greece has the longest working hours and also reports the highest time\n\npressure, the same ‘combination’ — but less extreme — applies to Austria, Cyprus and Malta. Trends\n\nof low or less than average working time and no time constraints are reported for Lithuania, and medium\n\nworking time and low time constraints for Italy and Ireland.\n\nAn analysis of EWCS data concluded <sup>39</sup> that in general intensity increases with long working hours, in\n\nenterprises with 1-19 the work intensity index (on a scale between 0 and 12) is 4.4, in larger enterprises\n\nwith above 40 employees it is 6.3. This is in line with ESENER data that corroborate the importance of\n\nthe **size of the enterprise** for time pressure and long working hours.\n\nLiterature — from very diverse disciplines — on work intensification points to **reasons for**\n\n**intensification on developments as: <sup>40</sup>**\n\n- Economic developments, particularly the dominance of neoliberalist policies and enhanced\n\ncompetition between workers, companies and states; reduction of state influence and\n\nprivatisation. <sup>41</sup>\n\n- Pressure due to substantial organisational changes, for example, introduction of short-term\n\neconomic objectives in enterprise policies, <sup>42</sup> expansion into new markets or new countries,\n\nacquiring other enterprises or merging, being acquired, restructuring of management or of basic\n\nstaff working conditions (contracts, working time, flexibility). <sup>43</sup>\n\n- Decrease of trade union influence or worker participation regarding labour relations.\n\n- Liberalisation of labour legislation, creation of ‘new forms of work’ and new contract types,\n\nbeyond the permanent full-time employment. <sup>44</sup>\n\n- New forms of management, application of management concepts like just-in-time production or\n\nlean management, higher flexibility of production and higher customer orientation, <sup>45</sup>",
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- "text": "In several occupations, **classical safety risks often add to the above-mentioned exposures** , that is,\n\nslips, trips and falls, risks related to moving parts of machinery, moving vehicles, exposure to hot, cold,\n\nor hazardous materials, loud noise, chemical or biological substances, and in general physically\n\nexhaustive work.\n\nA certain **ergonomic risk** of many administrative and supervisory jobs is **physical inactivity** (61%), in\n\npractice meaning sitting most of the working time in front of digital equipment, sitting to make phone\n\ncalls or sitting in meetings. Not only administrative tasks but also many occupations in transport and\n\nindustry require prolonged sitting (transport, cashiers, parts assembly, etc.).\n\nIn the 10-year period before 2005, EU-wide surveys found a significant increase in work intensity. Major\n\ndifferences in work intensity and working time patterns can be seen between occupations, forms of work,\n\nsectors and enterprise size, for example. The length of the daily or weekly working time and its allocation\n\nwith the 24 hours of a day or at night are important factors for health and wellbeing. The Eurostat data\n\nshow a slight decrease **in the average weekly working time for full-time employees** (15-64 years)\n\nfrom 40.2 to 39.9 hours between 2006 and 2019.\n\nEurostat reports for all types of **‘employment at atypical working time’** a minor decrease between\n\n2011 and 2019, from 38.8% to 37.2% (EU27 average), for all employed workforce and all types of such\n\natypical time. The data also document slight increases or decreases of the different types of work during\n\natypical times > on Saturdays the percentage decreased from 28% to 25%, working in the evenings\n\ndecreased from 19% to 15%, working on Sundays remained stable at around 13.5%, work at night fell\n\nfrom 7% to 5%, and shift work increased slightly from 17% to 18%. Some **groups of self-employed**\n\nshow a higher rate of atypical working times: for **high-managerial self-employed** , this rate is 43.2%\n\nand for **low-managerial self-employed** 64.5%.\n\n**Significant differences also exist between eastern/southern and central/northern/western**\n\n**European countries.** More physical and ergonomic risks (except inactivity) are reported from eastern\n\nand southern EU Member States but more emotional demands (e.g. difficult clients, poor communication\n\nand long working hours) in northern and central European countries. One of the major reasons might\n\nbe the reallocation of industrial production to eastern countries after the EU extension to 24 and later to\n\n27 Member States.\n\n### **Conditions of employment and workforce development**\n\nDuring the past decades and at faster pace after 1990, a **greater variety of non-standard contractual**\n\n**relations** has emerged. Typical characteristics of non-standard work are part-time work, temporary (or\n\nfixed-term) work, seasonal work, casual work, home-based work, telework, self-employment or family\n\nwork. Currently, high public awareness is directed to those types of non-standard work that are\n\nconnected either to **new forms of contracts** (voucher, platform, zero-hours, portfolio, etc.) or increasing\n\n**types of work not bound to the premises of the employer** (mobile, at home, at client’s place), mostly\n\nmade possible by the increased use of modern information and communication technologies (ICT).\n\nThese forms of work often have as a — additional — major characteristic a **less clear employer-**\n\n**worker relationship** .\n\nHowever, in 2019 the conventional employment contract still accounted for around 86% of the workforce\n\n(EU27), 9% are ‘own-account’ workers, that is, self-employed without employees. The remaining 4%\n\nwere self-employed with employees (employers) and less than 1% were contributing family workers. Of\n\nall employed workers, 17.2% worked part-time and 13.3% had temporary contracts.\n\nNon-standard types of work that are characterised by the circumstance that **the work is not taking**\n\n**place at the premises of the employer** are mobile and home-based work, domestic work, care work\n\nand long-term domestic care work, and online platform work. In 2019, approximately 77% worked at the\n\nemployer’s premises, 5% at home, 9% at the clients’ places and 8% at non-fixed workplaces. With the\n\nonset of the COVID-19 pandemic in 2020, the share of work at home more than doubled; in the EU27 it\n\nincreased from 5.4% in 2019 to 13.4% in 2021.\n\nCompared to work at the premises of the employer, such non-standard workplaces often miss basic\n\nOSH facilities (Minimum requirements at workplaces directive), availability and suitability of help tools\n\n(Work equipment directive and Personal protective equipment directive), or provision of adequate digital\n\nand mobile tools (Display screen equipment directive).",
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- "text": "**Table 30: Development of male and female workforce in the EU27 between 2005 and 2019 <sup>299</sup>**\n\nAlthough female employment has grown faster than the men’s rate, the employment rate for men is still\n\n11% higher. Due to the much higher rate of part-time work — women 30%, men 9% <sup>300</sup> — the gender\n\ngap concerning participation in the labour market is higher when transforming the working time into ‘full-\n\ntime equivalents’ (FTE). EIGE calculated a difference of 16%: *‘The EU average FTE employment rate*\n\n*is 41% for women, compared to 57% for men.’* *<sup>301,302</sup>*\n\nThe **average age of the workforce has drastically changed** during the last 17 years. In 2005, the age\n\nclass between 55 and 64 years represented 11.1% of all employed persons, and in 2019 already 18.4%\n\nof the workforce — a growth of 16 million employed persons. At the same time, the share of the age\n\nclass between 15 and 39 years decreased from 49.6% to 41.6%, or 8.5 million. Already 5.1 million\n\nemployed persons are older than 65 years, making up a share of 2.6% of the workforce. <sup>303</sup>\n\n**Table 31: Average age of the EU27 workforce <sup>304</sup>**",
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- "text": "**References and notes**\n\n1 OSH Barometer data visualisation tool: [https://visualisation.osha.europa.eu/osh-barometer](https://visualisation.osha.europa.eu/osh-barometer)\n\n2 Methodological remark: Many workers in the service sectors have similar physically demanding work like workers\n\nin manufacturing, construction and agriculture. The statistical assignment of enterprises of a certain type to the\n\nservice sectors and the sectors industry/construction/agriculture is a too rough approach to describe and analyse\n\nworking conditions, particularly if more detailed data on working conditions are available. For that reason, when\n\ntalking about health outcomes, in this report often more informative categories are used, for example, managerial\n\njobs (LFS, Eurostat terminology), or high-, medium- and low-skilled clerical work (EWCS), or high-skilled manual\n\nand low-skilled manual work (Eurostat), independent on the sector where this work is performed.\n\n3 EU-OSHA - European Agency for Safety and Health at Work: Third European Survey of Enterprises on New\n\nand Emerging Risks (ESENER 3), [ESENER Data visualisation](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1) , section ‘Comparisons 2014-2019’; for ‘Prolonged\n\nsitting’ value from ‘Data visualisation 2019’ not from ‘Comparisons’.\n\n4 Some of the very first OSH regulations on psychosocial risks at workplaces were issued by Denmark in the early\n\n1980s, dealing with monotony at work, stress, risk of violence at work and risks of working alone.\n\n5 Psychosocial risks are regarded as reason, and mental health/disease as consequence or outcome of these\n\nrisks.\n\n6 OSHWiki, 2022: [Psychosocial issues - the changing world of work](https://oshwiki.osha.europa.eu/en/themes/psychosocial-issues-changing-world-work) ; OSHWiki, 2022: [Psychosocial risks and ](https://oshwiki.osha.europa.eu/en/themes/psychosocial-risks-and-workers-health)\n\n[workers health](https://oshwiki.osha.europa.eu/en/themes/psychosocial-risks-and-workers-health)\n\n7 EU-OSHA, 2007: [Expert forecast on emerging psychosocial risks related to occupational safety and health](https://osha.europa.eu/sites/default/files/report535_en.pdf)\n\n8 Eurofound, 2017: [Sixth European Working Conditions Survey - Overview report (2017 Update)](https://www.eurofound.europa.eu/publications/report/2016/working-conditions/sixth-european-working-conditions-survey-overview-report) (p. 48). Raw\n\ndata for 2015: Eurofound: [European Working Conditions Survey - Data Visualisation](https://www.eurofound.europa.eu/data/european-working-conditions-survey) ; Data for 2005: Eurofound:\n\n[Fourth European Working Conditions Survey](https://www.eurofound.europa.eu/surveys/european-working-conditions-surveys/fourth-european-working-conditions-survey-2005)\n\n9 EU-OSHA: [ESENER Data visualisation](https://visualisation.osha.europa.eu/esener/en/survey/comparisons/2014/osh-management/en_1/company-size/E3Q200_5/EU27_2020/1) , Comparisons 2014-2019.\n\n10 Due to the change of possible response items, the data for the three surveys cannot be compared; the number\n\nof mental risk factors increased from three in 2007 and 2013 to eight in 2020.\n\n11 Eurostat, 2021: [EU labour force survey 2020 module on accidents at work and other work-related health ](https://data.europa.eu/doi/10.2785/79618)\n\n[problems : assessment report : 2021 edition](https://data.europa.eu/doi/10.2785/79618)\n\n*12* *Eurostat: Persons reporting exposure to risk factors that can adversely affect mental well-being by sex, age and*\n\n*factor, data* *[here](https://ec.europa.eu/eurostat/databrowser/view/hsw_exp3/default/table?lang=en)* *and explanatory metadata* *[here](https://ec.europa.eu/eurostat/cache/metadata/en/lfso_20_esms.htm)*\n\n13 It has to be noted that in 2007 and 2013 the interviews were done face-to-face. In 2020 the interviews were\n\nconducted either face-to-face or by phone, depending on the public health measures in each country. The\n\nresponses were influenced by work under conditions of the pandemic.\n\n14 Eurostat: [Persons reporting exposure to risk factors that can adversely affect mental well-being by sex, age and ](https://ec.europa.eu/eurostat/databrowser/view/hsw_exp1/default/table?lang=en)\n\n[educational attainment level](https://ec.europa.eu/eurostat/databrowser/view/hsw_exp1/default/table?lang=en)\n\n*15* *Rigó et al., 2021:* *[Work stress on rise? Comparative analysis of trends in work stressors using the European ](https://doi.org/10.1007/s00420-020-01593-8)*\n\n*[working conditions survey](https://doi.org/10.1007/s00420-020-01593-8)*\n\n16 WHO/ILO, 2021: [WHO/ILO joint estimates of the work-related burden of disease and injury, 2000- 2016: Global ](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve)\n\n[monitoring report](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve) ( p. 35ff).\n\n*17* *Eurostat provide data for the periods before and after the NACE revision in 2008.* * **Data for 2019:** * *Average number*\n\n*of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity*\n\n*(from 2008 onwards, NACE Rev. 2),* *[here](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWHUN2__custom_4423925/default/table?lang=en)* *Filter: Full-time, 15-64 years, all NACE sectors.* * **Data for 2006:** * *Average*\n\n*number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic*\n\n*activity (1998-2008, NACE Rev. 1.1),* *[here](https://ec.europa.eu/eurostat/databrowser/view/LFSA_EWHUNA__custom_4424467/default/table?lang=en)*\n\n18 Eurostat, 2018: [How many hours do Europeans work per week?](https://ec.europa.eu/eurostat/en/web/products-eurostat-news/-/ddn-20180125-1) Average number of usual weekly hours of work\n\nin main job, by sex, professional status, full-time/part-time and economic activity (from 2008 onwards, NACE Rev.\n\n2) - hours[lfsa_ewhun2], [here](http://appsso.eurostat.ec.europa.eu/nui/show.do?query=BOOKMARK_DS-056210_QID_-66FA1E0E_UID_-3F171EB0&layout=TIME,C,X,0;GEO,L,Y,0;NACE_R2,L,Z,0;WORKTIME,L,Z,1;WSTATUS,L,Z,2;SEX,L,Z,3;UNIT,L,Z,4;INDICATORS,C,Z,5;&zSelection=DS-056210WORKTIME,FT;DS-056210WSTATUS,SAL;DS-056210UNIT,HR;DS-056210NACE_R2,TOTAL;DS-056210SEX,T;DS-056210INDICATORS,OBS_FLAG;&rankName1=WSTATUS_1_2_-1_2&rankName2=UNIT_1_2_-1_2&rankName3=WORKTIME_1_2_-1_2&rankName4=INDICATORS_1_2_-1_2&rankName5=SEX_1_2_0_1&rankName6=NACE-R2_1_2_0_1&rankName7=TIME_1_0_0_0&rankName8=GEO_1_2_0_1&sortC=ASC_-1_FIRST&rStp=&cStp=&rDCh=&cDCh=&rDM=true&cDM=true&footnes=false&empty=false&wai=false&time_mode=ROLLING&time_most_recent=true&lang=EN&cfo=%23%23%23%2C%23%23%23.%23%23%23)\n\n19 Mean duration of commuting time one-way between work and home by sex and age (source: Eurofound), [Here](https://ec.europa.eu/eurostat/databrowser/view/qoe_ewcs_3c3/default/table?lang=en)\n\n20 Eurostat definition: The atypical work distinguishes between “evening or night work”, “Saturday or Sunday\n\nworking”, and “shift work”. Data for 2020 are available but indicate a strong reduction of atypical working times,\n\nthe reason is probably that sectors with a high rate of atypical working times like tourism, transport, entertainment,\n\nhotels and restaurants could not work as in previous years, and also production lines in industry, often shift work,\n\nwere stopped.",
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- "text": "segmentation of enterprises into profit centres, quality management obligations,\n\nexternalisation/subcontracting of service areas like cleaning, canteen, security and so on.\n\n- Increased communication and interdependency, time coordination and synchronisation\n\nrequirements between units, enterprises and in supply chains.\n\n- Less direct supervision and more objective and results-based management.\n\n- Last but not least the massive introduction of ICT and other work-intensifying technologies.\n\n**The main reasons for stagnation after 2005 might be** that many of the above-mentioned concepts or\n\npolicies were developed or had their peak during the 1980s, 1990s or the first decade of the 21st century.\n\nSome of them lost their dynamic (e.g. privatisation), or have become a kind of standard (management\n\nby objectives), or were widely implemented in the first decade of the 21 <sup>st</sup> century (ICT facilities at most\n\nworkplaces); also, some negative impacts on working time were mitigated by state interventions (i.e. the\n\nEU Working time directive <sup>46</sup> ) or labour agreements. <sup>47</sup>\n\nOf particular interest for OSH probably is that the changes in labour legislation, the production in\n\ninternational supply chains and technological improvements were sufficiently developed to shift quite a\n\nrelevant part of work to other types of contracts, that is, to **subcontractors, self-employed or**\n\n**temporary agent workers** and other forms of non-standard work contracts. Reasons were economic\n\nsavings but also better management of **intense work periods, peak times and risky work** .\n\nThese developments are probably the main reason that work intensity **stayed at a similar level for the**\n\n**employed workers** with a standard contract while the working conditions of other types of work\n\ndegraded. EU-OSHA has **taken this conclusion** already in 2002 in its report <sup>48</sup> on ‘New Forms of\n\nContractual Relationships and the Implications for Occupational Safety and Health’:\n\n*‘1. the transfer of risks in the (practical) conditions of work to non-permanent employees and to*\n\n*subcontractors;*\n\n*2. segmentation in the workforce based on differences in contractual conditions of employment (working*\n\n*hours, job insecurity, and qualifications).*\n\n*In the first scenario, risks directly related to working conditions (bad ambient and ergonomic conditions)*\n\n© MaciejBledowski/Adobe Stock",
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- "query": "What is the definition of a work accident according to the International Labour Organisation?",
- "target_page": 38,
- "target_passage": "ILO Definition of accident: ‘An occupational accident is an unexpected and unplanned occurrence, including acts of violence, arising out of or in connection with work, which results in one or more workers incurring a personal injury, disease or death.’",
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- "text": "147 In 2019, there were 3.141 million non-fatal accidents that resulted in at least four calendar days of absence\n\nfrom work and 3,408 fatal accidents in the EU27 , a ratio of approximately 922 non-fatal accidents for every fatal\n\naccident, [here](https://ec.europa.eu/eurostat/statistics-explained/index.php?title=Accidents_at_work_statistics#Incidence_rates)\n\n148 Kurppa, 2015: [Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An ](http://www.balticseaosh.net/wp/wp-content/uploads/2015/10/Severe-Under-reporting_final-report_Kurppa.pdf)\n\n[exploratory semi-quantitative study - ‘What goes unreported goes unfixed](http://www.balticseaosh.net/wp/wp-content/uploads/2015/10/Severe-Under-reporting_final-report_Kurppa.pdf) ’ (p. 20 ff).\n\n149 Eurostat: [Non-fatal accidents at work by NACE Rev. 2 activity and sex](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en) ; Eurostat: [Fatal Accidents at work by ](https://ec.europa.eu/eurostat/databrowser/view/HSW_N2_02/default/table?lang=en&category=hlth.hsw.hsw_acc_work.hsw_n2)\n\n[NACE Rev. 2 activity](https://ec.europa.eu/eurostat/databrowser/view/HSW_N2_02/default/table?lang=en&category=hlth.hsw.hsw_acc_work.hsw_n2)\n\n150 Detailed studies from hospitals in Denmark show that even a large share of serious work accidents (25%)\n\nresulting in amputations and fractions are not registered, see: LO Denmark, 2012: [Underrapportering af ](https://fho.dk/wp-content/uploads/lo/2017/05/underrapportering-af-arbejdsulykker-2012.pdf)\n\n[arbejdsulykker](https://fho.dk/wp-content/uploads/lo/2017/05/underrapportering-af-arbejdsulykker-2012.pdf) Table 14; and the Danish Working Environment Authority published a report concluding a total of\n\n50% in underreporting, [here](https://at.dk/media/3942/rapport-underanmeldelse-oxford.pdf)\n\n151 Kurppa, 2015: [Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An ](http://www.balticseaosh.net/wp/wp-content/uploads/2015/10/Severe-Under-reporting_final-report_Kurppa.pdf)\n\n[exploratory semi-quantitative study - ‘What goes unreported goes unfixed’](http://www.balticseaosh.net/wp/wp-content/uploads/2015/10/Severe-Under-reporting_final-report_Kurppa.pdf) (p. 20ff).\n\n152 LFS Ad hoc module: [Accidents at work and other work-related health problems](https://ec.europa.eu/eurostat/databrowser/view/hsw_ac1/default/table?lang=en) (2020, 2013 and 2007)\n\n153 Eurostat: [EU labour force survey 2020 module on accidents at work and other work-related health problems : ](https://data.europa.eu/doi/10.2785/79618)\n\n[assessment report : 2021 edition](https://data.europa.eu/doi/10.2785/79618) . The exact question is (p. 47): *‘* *Thinking of the year before [last day of reference*\n\n*week], have you had any accident at work? Accidents outside working hours and accidents during the journey*\n\n*from home to work or from work to home are excluded. However, accidents during a journey in the course of work*\n\n*are included.’*\n\n154 Eurostat, Statistics in focus, Theme 3 - 16/2001: Accidents at work in the EU 1998-1999, [here](https://ec.europa.eu/eurostat/documents/3433488/5407173/KS-NK-01-016-EN.PDF.pdf/5897dcf4-ae26-45c8-9d10-7e54dce5efed)\n\n155 ISCO-Groups: 1. Managers, 2. Professionals, 3. Technicians and Associate Professionals, 4. Clerical Support\n\nWorkers, 5. Services and Sales Workers, 6. Skilled Agricultural, Forestry and Fishery Workers, 7. Craft and\n\nRelated Trades Workers, 8. Plant and Machine Operators and Assemblers, 9. Elementary Occupations, 0. Armed\n\nForces Occupations.\n\n*156* *Eurostat:* *[Persons reporting an accident at work by sex, age and occupation](https://ec.europa.eu/eurostat/databrowser/view/HSW_AC7__custom_3198567/default/table?lang=en)*\n\n157 Eurostat, 2021: [Self-reported accidents at work - key statistics](https://ec.europa.eu/eurostat/statistics-explained/index.php?title=Self-reported_accidents_at_work_-_key_statistics#Comparison_with_accidents_resulting_in_time_off_work)\n\n158 Ibid.\n\n159 Agilis, 2015: [Final statistical report on the quality assessment and statistical analysis of the 2013 Labour Force ](http://ec.europa.eu/eurostat/documents/1978984/6037334/Evaluation_report_LFS_AHM_2013.7z)\n\n[Survey ad hoc module](http://ec.europa.eu/eurostat/documents/1978984/6037334/Evaluation_report_LFS_AHM_2013.7z) (p. 45)\n\n160 Eurostat, 2013: [European Statistics on Accidents at Work (ESAW) - Summary methodology - 2013 edition](https://ec.europa.eu/eurostat/web/products-manuals-and-guidelines/-/KS-RA-12-102)\n\n(p. 6).\n\n161 Fatal work accidents are seen as a more reliable data source than non-fatal accidents.\n\n162 Eurostat: [Fatal accidents at work by NACE Rev. 2 activity](https://ec.europa.eu/eurostat/databrowser/view/HSW_N2_02__custom_3197679/default/table?lang=en) , Filter: Incidence rate.\n\n163 The OSH Barometer shows the ESAW data from Eurostat’s Fatal accidents in a column diagram showing the\n\nincidence rate per 100,000 workers for two periods, [here](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_02/default/table?lang=en)\n\n164 Communication from the Commission to the European Parliament, the Council, the European Economic And\n\nSocial Committee and the Committee of Regions on the practical implementation of the provisions of the Health\n\nand Safety at Work Directives 89/391 (Framework), 89/654 (Workplaces), 89/655 (Work Equipment), 89/656\n\n(Personal Protective Equipment), 90/269 (Manual Handling of Loads) and 90/270 (Display Screen Equipment),\n\n[here](https://eur-lex.europa.eu/legal-content/EN/ALL/?uri=CELEX%3A52004DC0062) (p. 15).\n\n165 European Commission, 2009: [Causes and circumstances of accidents at work in the EU](https://data.europa.eu/doi/10.2767/39711) (p. 101 and Table\n\nA1.6. p. 130).\n\n*166* *ESAW Data for 2019: Eurostat,* *[Accidents at work by sex, age and severity](https://ec.europa.eu/eurostat/databrowser/view/hsw_mi07/default/table?lang=en)* *(NACE Rev. 2 activity A, C-N).*\n\n167 In publications about this topic, we find similar coefficients. Eurogip calculates for France (2016) 514 fatal\n\naccidents and 34,202 cases with permanent disability, this is a coefficient of 66 (Eurogip, 2018: [Statistical review ](https://eurogip.fr/images/pdf/Eurogip-135EN_Stat_Occ-Review-France2016.pdf)\n\n[of occupational injuries - France 2016 data](https://eurogip.fr/images/pdf/Eurogip-135EN_Stat_Occ-Review-France2016.pdf) ). Calculating a similar coefficient for Germany in 2018 leads to a\n\ncoefficient of 27 based on the relation of 497 fatal accidents to 13,550 recognised permanent handicaps that are\n\ncompensated by an occupational pension (DGUV, 2021: [Geschäfts- und Rechnungsergebnisse der gewerblichen ](https://publikationen.dguv.de/widgets/pdf/download/article/4339)\n\n[Berufsgenossenschaften und Unfallversicherungsträger der öffentlichen Hand 2020](https://publikationen.dguv.de/widgets/pdf/download/article/4339) , *Anhang* 1, p. 164).\n\nJørgensen calculates based on Eurostat data from 2009 and 2010 a coefficient of fatal accidents to disabled\n\npeople of 18, and when she calculates the coefficient between fatal and ‘most serious non-fatal injuries’ of more\n\nthan three months, the coefficient is 41. Jørgensen, 2015: [Serious work accidents and their causes - An analysis ](https://orbit.dtu.dk/en/publications/serious-work-accidents-and-their-causes-an-analysis-of-data-from-)\n\n[of data from Eurostat](https://orbit.dtu.dk/en/publications/serious-work-accidents-and-their-causes-an-analysis-of-data-from-)\n\n168 EU-OSHA, 2019: [The value of occupational safety and health and the societal costs of work-related injuries ](https://osha.europa.eu/en/publications/value-occupational-safety-and-health-and-societal-costs-work-related-injuries-and)\n\n[and diseases](https://osha.europa.eu/en/publications/value-occupational-safety-and-health-and-societal-costs-work-related-injuries-and) (Table A4b, pp. 112-113).",
- "page_start": 146,
- "page_end": 146,
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
- },
- {
- "text": "117 Eurostat, [Accidents at work by sex and severity](https://ec.europa.eu/eurostat/databrowser/view/hsw_mi08/default/table?lang=en) (Sector A, C-N, NACE Rev. 2, EU27). Only incidence rates for\n\nthese selected sectors can be compared, because Eurostat did not calculate / publish an incidence rate for all\n\nsectors in 1998 but for Sector A and D to K, NACE 1.1). The incidence rate for all sectors is a little bit lower in\n\n2019 (1,603) because the other sectors have lower accident risks. That would also have been the case in 1994.\n\n*118* *Eurostat:* *[Accidents at work by sex and severity](https://ec.europa.eu/eurostat/databrowser/view/hsw_mi08/default/table?lang=en)* *(NACE Rev. 2 activity Total).*\n\n119 Eurostat: Statistics in focus, Theme 3-16/2001: [Accidents at work in the EU 1998-1999](https://ec.europa.eu/eurostat/documents/3433488/5407173/KS-NK-01-016-EN.PDF.pdf/5897dcf4-ae26-45c8-9d10-7e54dce5efed) (p. 3).\n\n120 Eurostat: [Fatal Accidents at work by NACE Rev. 2 activity](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_02/default/table?lang=en) (HSW_N2_02), filter for sectors Sector A, C-N,\n\nNACE 2.\n\n*121* *Eurostat:* *[Accidents at work by sex and severity](https://ec.europa.eu/eurostat/databrowser/view/hsw_mi08/default/table?lang=en)* *(NACE Rev. 2 activity Total).*\n\n*122* *Eurostat:* *[Non-fatal accidents at work by NACE Rev. 2 activity and sex](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en)*\n\n*123* *Eurostat:* *[Fatal Accidents at work by NACE Rev. 2 activity; ](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_02/default/table?lang=en)* *Fatal Accidents at work* *[: Mining and quarrying](https://ec.europa.eu/eurostat/databrowser/view/HSW_N2_02__custom_5016088/default/table?lang=en)*\n\n124 Rees, 2016: [Comparing European and American Health & Safety Laws](https://www.safeopedia.com/2/4270/ehs/comparing-eu-health-safety-laws-across-the-pond) - ‘Pre-1970, there were approximately\n\n[14,000 worker fatalities a year, according to the Occupational Health and Safety Administration (OSHA). By 2010, ](https://www.safeopedia.com/definition/109/occupational-safety-and-health-administration-osha)\n\nthe workforce had doubled, but fatalities were down to just 4,500 - a workplace fatality rate reduction of 66\n\npercent. Worker injuries and illnesses were also down from 10.9 incidents per 100 workers in 1972 to 3.2 per 100\n\nin 2014.’\n\n125 WHO/ILO, 2021: [WHO/ILO joint estimates of the work-related burden of disease and injury, 2000- 2016: ](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve)\n\n[Global monitoring report](https://apps.who.int/iris/rest/bitstreams/1370920/retrieve) (p. 18).\n\n126 Source of the picture: [here](https://www.baunetzwissen.de/gerueste-und-schalungen/fachwissen/geruestarten/zugaenge-und-treppen-fuer-gerueste-4786033) (copyrighted).\n\n**127** Eurostat: [Accidents at work, by specific physical activity and economic activity](https://ec.europa.eu/eurostat/databrowser/view/HSW_PH3_04__custom_1555461/default/table?lang=en) , EU, 2019 (% share).\n\n128 Eurostat: [Businesses in the mining and quarrying sector](https://ec.europa.eu/eurostat/statistics-explained/index.php?oldid=349791)\n\n129 European Commission: [Textiles and clothing in the EU](https://single-market-economy.ec.europa.eu/sectors/fashion/textiles-and-clothing-industries/textiles-and-clothing-eu_en)\n\n130 European Parliament, 2014: Briefing - [Workers’ conditions in the textile and clothing sector: just an Asian ](https://www.europarl.europa.eu/EPRS/140841REV1-Workers-conditions-in-the-textile-and-clothing-sector-just-an-Asian-affair-FINAL.pdf)\n\n[affair?](https://www.europarl.europa.eu/EPRS/140841REV1-Workers-conditions-in-the-textile-and-clothing-sector-just-an-Asian-affair-FINAL.pdf)\n\n131 Eurostat: National accounts employment data by industry (up to NACE A*64), Filter for years and sector\n\n‘Agriculture, forestry and fishing’, [here](https://ec.europa.eu/eurostat/databrowser/view/NAMA_10_A64_E__custom_4229280/default/table?lang=en)\n\n132 World Bank: Employment in agriculture (% of total employment) (modelled ILO estimate)\n\n[https://data.worldbank.org/indicator/SL.AGR.EMPL.ZS?end=2018&most_recent_year_desc=true&start=1991&typ](https://data.worldbank.org/indicator/SL.AGR.EMPL.ZS?end=2018&most_recent_year_desc=true&start=1991&type=shaded&view=chart)\n\n[e=shaded&view=chart](https://data.worldbank.org/indicator/SL.AGR.EMPL.ZS?end=2018&most_recent_year_desc=true&start=1991&type=shaded&view=chart)\n\n133 United Nations - e-Waste coalition: [Global E-waste Monitor 2017](https://www.itu.int/en/ITU-D/Environment/Pages/Toolbox/Global-E-waste-Monitor-2017.aspx)\n\n134 For example: [OSH system at national level - France](https://oshwiki.eu/wiki/OSH_system_at_national_level_-_France)\n\n135 Eurostat, 2013: [European Statistics on Accidents at Work (ESAW) - Summary methodology - 2013 edition](https://ec.europa.eu/eurostat/web/products-manuals-and-guidelines/-/KS-RA-12-102)\n\n(p. 5).\n\n136 Eurostat: Non-fatal accidents at work by NACE Rev. 2 activity and sex, A recalculation of the total number of\n\naccidents for the EU27 to the years 1994 to 1998 is not possible, mainly due to the many enlargements of the EU.\n\n137 Eurostat, Statistics in focus, Theme 3 - 16/2001: Accidents at work in the EU 1998-1999 (p. 4), [here](https://ec.europa.eu/eurostat/documents/3433488/5407173/KS-NK-01-016-EN.PDF.pdf/5897dcf4-ae26-45c8-9d10-7e54dce5efed)\n\n138 Data for 1998 for the Sectors A and D to K, NACE Rev. 1.1, EU-15, for 2019 for Sectors A, C-N, NACE Rev. 2,\n\nEU27. Only incidence rates for these selected sectors can be compared because Eurostat did not provide an\n\nincidence rate for all sectors in 1998 but for the sectors A and D to K, NACE 1.1.\n\n139 In total the incidence rate decreased from 4,089 to 1,713; the difference is 2,376. The reduction between 1998\n\nand 2010 amounts to 2,068, and between 2010 and 2019 it sums up to 308. That means that 87% of the\n\nreduction was achieved in the first period and 13% in the second period.\n\n140 Eurostat: [Non-fatal accidents at work by NACE Rev. 2 activity and sex, Filter Sectors, A, C-N](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en)\n\n141 Eurostat: [Accidents at work statistics - Incident rates](https://ec.europa.eu/eurostat/statistics-explained/index.php?title=Accidents_at_work_statistics#Incidence_rates)\n\n142 Eurostat: [Non-fatal accidents at work by NACE Rev. 2 activity and sex](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en) , Filter: Time frequency: Annual; Unit of\n\nmeasure: Incidence rate; Classification of economic activities - NACE Rev. 2; Sex: Total.\n\n143 EU-OSHA, 2010: [A review of methods used across Europe to estimate work-related accidents and illnesses ](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among)\n\n[among the self-employed](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among)\n\n144 EU-OSHA, 2010: [A review of methods used across Europe to estimate work-related accidents and illnesses ](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among)\n\n[among the self-employed](https://osha.europa.eu/en/publications/review-methods-used-across-europe-estimate-work-related-accidents-and-illnesses-among) (p. 7).\n\n145 Eurostat, 2013: [European Statistics on Accidents at Work - Summary methodology - 2013 edition](https://ec.europa.eu/eurostat/web/products-manuals-and-guidelines/-/KS-RA-12-102) (p. 6):\n\n*‘Article 2 of the ESAW Regulation covers the provision of data on persons who had an accident at work during the*\n\n*reference period and states that if the victim is self-employed, a family worker or a student, providing data is*\n\n*voluntary.’*\n\n*146* *Eurostat:* *[Non-fatal accidents at work by NACE Rev. 2 activity and sex](https://ec.europa.eu/eurostat/databrowser/view/hsw_n2_01/default/table?lang=en)*",
- "page_start": 145,
- "page_end": 145,
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
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- {
- "text": "**Still, not only preventive measures but also other non-OSH-related developments worked in the**\n\n**same direction.** The shrinkage of the workforce in certain sectors, for example, mining, textile,\n\nagriculture, and specific high-risk subsectors of manufacturing, that is, shipyards or foundries, has led\n\nto a reduction of the workforce in particularly dangerous working conditions. The production of these\n\nsectors was — partly or fully — relocated to other regions of the world, and EU enterprises import the\n\nneeded products as part of global supply chains.\n\n**Major economic changes of sectors with over average work accident rates**\n\nThe decrease of production in the mining and textile sectors was replaced by the import of mining or\n\ntextile products. Nowadays the share of workforce in these sectors is much smaller in the EU than 30\n\nyears ago. In the EU28 in 2019, mining and quarrying employed 392,000 people, or 0.2% of all\n\nemployed persons,128 and the textile industry <sup>129</sup> employed 1.5 million people, or 0.7% of all employed\n\npersons. <sup>130</sup>\n\nThe share of employees in agriculture, also a sector with high accident rates, dropped mainly due to\n\nautomation from 6.5% in 2005 to 4.5% in 2019 <sup>131</sup> (worldwide still at 27% <sup>132</sup> ). In construction, another\n\nsector with work accident rates over average, the employment is quite stable in the past 25 years and\n\nfell only from 6.9% to 6.5%. Some specific works with high accident risk have been outsourced to\n\nother regions, well-known examples are the dangerous shipwrecking but also recycling of plastics and\n\nelectric and electronic devices. <sup>133</sup>\n\nThe decline of these sectors and the growth of workforce in other sectors like wholesale, transport,\n\neducation, health and care shifted the safety risks of working conditions. Several EU Member States\n\nalso observe a growth of road transport-related accidents during work. <sup>134</sup>\n\n#### * **4.1.1 Non-fatal work accidents** *\n\n**DEFINITIONS**\n\nEurostat has developed the European Statistics on Accidents at Work, or ESAW, methodology to harmonise the\n\nmonitoring of work accidents. This methodology describes how accidents at work have to be reported and defines\n\nseveral terms and conditions.\n\n**What is an accident?**\n\n‘Accident at work’ is defined in the ESAW methodology <sup>135</sup> as a **‘discrete occurrence in the course of work which**\n\n**leads to physical or mental harm.’**\n\n**When is a non-fatal work accident counted?**\n\nESAW counts a work accident *‘if the resumption of work occurred 5 days after the work accident’* ; Chapter 4.2 of\n\nthe ESAW Methodology 2012 explains: *‘Accidents at work with more than three calendar days’ absence from work:*\n\n*Only full calendar days of absence from work have to be considered, excluding the day of the accident.*\n\n*Consequently, more than three calendar days’ means “at least four calendar days”, which implies that only if the*\n\n*victim resumes work on the fifth (or subsequent) working day after the date on which the accident occurred should*\n\n*the incident be included.’*\n\n**Exempted are:** Commuting accidents, self-inflicted injuries (e.g. suicides), and strictly natural causes that injure\n\npeople at their workplaces (e.g. earthquakes, floods).\n\nThe total number of reported non-fatal accidents for the EU27 was 3,140,950 in 2019. <sup>136</sup> As mentioned\n\nin the introduction to this chapter, the incident rates of non-fatal accidents fell in about 25 years from\n\n4,089 (year 1998 <sup>137</sup> ) to 1,713 (2019), that is, **it decreased about 58%** . <sup>138</sup> The **greatest part of this**\n\n**decrease** took place between **1998 and 2010** , <sup>139</sup> the incidence rate halved to 2,021, **a drop of 51%** .\n\nStill, between 2010 and 2019 the incidence rate for the EU27 fell from 2,021 incidents per 100,000\n\nworkers to 1,713, a drop of a further 15% (taking 2010 as the reference year). <sup>140</sup>",
- "page_start": 63,
- "page_end": 63,
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
- },
- {
- "text": "476 E European Agency for Safety and Health at Work,2013: European Risk Observatory, Analysis of the\n\ndeterminants of workplace occupational safety and health practice in a selection of EU Member States,\n\n[https://osha.europa.eu/en/publications/reports/analysis-determinants-workplace-OSH-in-EU](https://osha.europa.eu/en/publications/reports/analysis-determinants-workplace-OSH-in-EU)\n\n477 European Agency for Safety and Health at Work, 2019: The value of OSH and the societal costs of work-\n\nrelated injuries and disease, Luxembourg;\n\nElsler D. et al: A review of case studies evaluating economic incentives to promote occupational safety and\n\nhealth. Scand J Work Environ Health 2010; 36: 289- 298\n\n478 E European Agency for Safety and Health at Work, 2021: Improving compliance with occupational safety and\n\nhealth regulations: an overarching review\n\n479 Walters D, Johnstone R, Bluff E, Limborg HJ, Gensby U.: Improving compliance with occupational safety and\n\nhealth regulations: an overarching review EU-OSHA, 2021. [Improving compliance with occupational safety and ](https://osha.europa.eu/en/publications/improving-compliance-occupational-safety-and-health-regulations-overarching-review/view)\n\n[health regulations](https://osha.europa.eu/en/publications/improving-compliance-occupational-safety-and-health-regulations-overarching-review/view)\n\n480 ILO and integration of OSH Into decent work [https://www.ilo.org/global/topics/dw4sd/themes/osh/lang--](https://www.ilo.org/global/topics/dw4sd/themes/osh/lang--en/index.htm)\n\n[en/index.htm](https://www.ilo.org/global/topics/dw4sd/themes/osh/lang--en/index.htm)\n\n481 Dijk, F., Yohama Caraballo-Arias, Y.: Where to Find Evidence-Based Information on Occupational Safety and\n\nHealth? [https://www.annalsofglobalhealth.org/articles/10.5334/aogh.3131/ ](https://www.annalsofglobalhealth.org/articles/10.5334/aogh.3131/)\n\nTrade union position, one example: Vogel L (2014), The point of view of the European trade unions: It is urgent to\n\n[revitalise the EU occupational health and safety policy, http://www.osha.mddsz.gov.si/.../Laurent_VOGEL_EN.pdf ](http://www.osha.mddsz.gov.si/.../Laurent_VOGEL_EN.pdf)\n\nEmployer position, one example: [Safer and healthier work for all ](https://www.businesseurope.eu/publications/safer-and-healthier-work-all-modernisation-eu-occupational-safety-and-health) - Modernisation of the EU occupational safety\n\nand health legislation and policy,\n\n482 Eurofound; Labour market change [New forms of employment: 2020 update](https://www.eurofound.europa.eu/publications/report/2020/new-forms-of-employment-2020-update)\n\n483 Eurofound, 2020: Working conditions in sectors, Publications Office of the European Union, Luxembourg,\n\ndoi:10.2806/024695, p. 41\n\n484 Norway, STAMI: [https://noa.stami.no/](https://noa.stami.no/) National monitoring of work environment (National overvåkning af\n\narbeidmiljø)\n\n485 Detailed Action Plan for the 4 Main Strategies to Create Safe Workplaces (update from 2020)\n\n[https://kosha.or.kr/english/publications/Resources.do?mode=view&articleNo=277001&article.offset=0&articleLi](https://kosha.or.kr/english/publications/Resources.do?mode=view&articleNo=277001&article.offset=0&articleLimit=10)\n\n[mit=10](https://kosha.or.kr/english/publications/Resources.do?mode=view&articleNo=277001&article.offset=0&articleLimit=10)\n\n486 Sakurai, H.: Occupational Safety and Health in Japan: Current Situations and the Future\n\n[https://www.jstage.jst.go.jp/article/indhealth/50/4/50_MS1375/_pdf/-char/ja](https://www.jstage.jst.go.jp/article/indhealth/50/4/50_MS1375/_pdf/-char/ja)\n\n487 Occupational Safety and Health Administration Ministry of Labor, Republic of China (Taiwan): National\n\nOccupational Safety and Health Profile of Taiwan, 2014, Chapter 8 [National Occupational Safety and Health ](https://she.mcu.edu.tw/sites/default/files/MCU/National%20Occupational%20Safety%20and%20Health%20Profile%20of%20Taiwan.pdf)\n\n[Profile of Taiwan](https://she.mcu.edu.tw/sites/default/files/MCU/National%20Occupational%20Safety%20and%20Health%20Profile%20of%20Taiwan.pdf)\n\n488 See: [https://www.mom.gov.sg/workplace-safety-and-health/wsh-reports-and-statistics](https://www.mom.gov.sg/workplace-safety-and-health/wsh-reports-and-statistics)\n\n489 E.g.: National Academies of Sciences, Engineering, and Medicine. 2018. A Smarter National Surveillance\n\nSystem for Occupational Safety and Health in the 21st Century. Washington, DC: The National Academies\n\nPress. [https://doi.org/10.17226/24835](https://doi.org/10.17226/24835) , 2018\n\n490 E.g.: Publications from the Association of Workers' Compensation Boards of Canada, [https://awcbc.org/en/](https://awcbc.org/en/)\n\n491 Australian Safety and Compensation Council, [Report on indicators for occupational disease](http://www.safeworkaustralia.gov.au/sites/SWA/AboutSafeWorkAustralia/WhatWeDo/Publications/Pages/SR200604nIndicatorsForDisease.aspx) *,* Australian\n\nGovernment, 2006, p1-45\n\n492 E.g.: [https://data.worksafe.govt.nz/](https://data.worksafe.govt.nz/)\n\n493 International Labour Organisation ILO (no publishing date available). Decent work: Measuring decent work.\n\n[http://www.ilo.org/integration/themes/mdw/lang--en/index.htm](http://www.ilo.org/integration/themes/mdw/lang--en/index.htm)\n\n494 Country profiles on Occupational Safety and Health, [https://www.ilo.org/safework/countries/lang--](https://www.ilo.org/safework/countries/lang--en/index.htm)\n\n[en/index.htm](https://www.ilo.org/safework/countries/lang--en/index.htm)\n\n495 Work Health Organisation WHO (2011). Global Health Observatory: WHO indicator registry., from:\n\n[http://www.who.int/gho/indicator_registry/en/index.html](http://www.who.int/gho/indicator_registry/en/index.html)\n\n496 United Nations: Sustainable Development Goals, [https://sustainingdevelopment.com/sdg8-indicators/](https://sustainingdevelopment.com/sdg8-indicators/)\n\n497 UNECE, 2010: Measuring Quality of Employment, [https://unece.org/statistics/publications/measuring-quality-](https://unece.org/statistics/publications/measuring-quality-employment)\n\n[employment](https://unece.org/statistics/publications/measuring-quality-employment)\n\n498 [https://ec.europa.eu/eurostat/web/labour-market/quality-of-employment/database](https://ec.europa.eu/eurostat/web/labour-market/quality-of-employment/database)\n\n499 Eurostat overview on their data related to quality of employment [https://ec.europa.eu/eurostat/web/labour-](https://ec.europa.eu/eurostat/web/labour-market/quality-of-employment)\n\n[market/quality-of-employment](https://ec.europa.eu/eurostat/web/labour-market/quality-of-employment)\n\n500 Andersen, J. H., et al., 2019: Systematic literature review on the effects of occupational safety and health\n\n(OSH) interventions at the workplace. Scandinavian Journal of Work Environment and Health, 45(2): 103-113",
- "page_start": 159,
- "page_end": 159,
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
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- {
- "text": "*are shifted towards non-permanent workers and subcontractors, who have less protection and/or*\n\n*knowledge to cope with these risks. This scenario is not easy to verify in quantitative data, although it is*\n\n*frequently stated in case study research.’*\n\nAlso, Eurofound draws such conclusions on the **impact of subcontracting on working conditions** :\n\n*‘First, employees in subcontracting perceive higher health and safety risks, notably through more work-*\n\n*related accidents and increased time pressure. Second, there are a number of psychological risk factors,*\n\n*such as perceived economic insecurity and worries about losing one’s job, that are more likely among*\n\n*subcontracting workers.’* <sup>49</sup>\n\nThere is even an evident **relation between such forms of employment and higher rates of work**\n\n**accidents** . In a first systematic review the authors conclude: <sup>50</sup>\n\n*‘This review supports an association between some of the dimensions of precarious employment and*\n\n*occupational injuries; most notably for multiple jobholders and employees of temp agencies or*\n\n*subcontractors at the same worksite. However, results for temporary employment are inconclusive.’*\n\n**OSH Barometer - Mental risks:**\n\n[https://visualisation.osha.europa.eu/osh-barometer/working-conditions-preventions/working-](https://visualisation.osha.europa.eu/osh-barometer/working-conditions-preventions/working-conditions)\n\n[conditions](https://visualisation.osha.europa.eu/osh-barometer/working-conditions-preventions/working-conditions)\n\n**ESENER - Data visualisation:**\n\n[https://visualisation.osha.europa.eu/esener/en/survey/datavisualisation/2019](https://visualisation.osha.europa.eu/esener/en/survey/datavisualisation/2019)\n\n### **3.2 Physical health risks at work**\n\nRisks at work that can result in physical harm can be divided into **safety** and **health risks** .\n\nThe main result of insufficient safety is a work accident. A **work accident** has as immediate\n\nconsequences either a personal injury, a disease, or death of one or more workers. Eurostat\n\ndistinguishes between non-fatal and fatal work accidents, and for the majority of sectors it provides also\n\nthe duration of the absence due to the accident — an indicator for the severity of the injury. Non-fatal\n\naccidents at work can cause medium- or long-term health consequences, and in the worst case a\n\npermanent disability.\n\nILO Definition of accident: ‘An occupational accident is an unexpected and unplanned occurrence,\n\nincluding acts of violence, arising out of or in connection with work, which results in one or more workers\n\nincurring a personal injury, disease or death.’ <sup>51</sup>\n\n**Physical health risks** can be caused by a **variety of circumstances and exposures** or by **inadequate**\n\n**ergonomics** . Natural **circumstances** at work can pose such health risks, that is, temperature, storms\n\nand floods, unsafe terrain, biological agents and so on; or the risks are due to manmade circumstances,\n\nthat is, work in buildings, on roofs and towers, on traffic routes, under artificial ventilation. **Exposure** is\n\na general term to describe the interaction between environment / emissions / contaminants and the\n\nhuman organism. In a workplace context, ‘exposure’ mainly covers emissions from machinery or from\n\ntools and materials, for example, noise, vibration, dust, electromagnetic fields and chemical substances.\n\nRisks from **inadequate ergonomics** harm in particular the musculoskeletal system. Ergonomic risks of\n\nmanual work are typically caused by repetitive hand and arm movements, tiring positions, for example,\n\npermanent kneeling or overhead work, lifting and moving of heavy loads, or of patients and so on. A\n\ncertain ergonomic risk is **physical inactivity** , in practice sitting most of the working time. Not only\n\nadministrative tasks but also many occupations in service or industry require permanent sitting, for\n\nexample, drivers, cashiers, part assembly operators and so on (often called ‘sedentary occupations’).\n\nIn general, the EU-wide surveys (self-reported working conditions or health problems) show a high\n\nprevalence of ergonomic risks. Between 40% and 65% of the respondents in ESENER and the EWCS\n\nreport **classical ergonomic risks** . A quite constant share of workers reports **physical exposures** like\n\nnoise, vibrations, high or low temperatures and exposure to chemical and biological agents; depending",
- "page_start": 37,
- "page_end": 37,
- "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf"
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- "text": "frequency rates, which show the incidence rate and frequency rate of long-term (12 weeks or more\n\ncompensation) injury and disease claims. <sup>172</sup>\n\n**OSH Barometer - Non-fatal accidents at work:**\n\n[https://visualisation.osha.europa.eu/osh-barometer/accidents-diseases-well-being/work-](https://visualisation.osha.europa.eu/osh-barometer/accidents-diseases-well-being/work-accidents/non-fatal-work-accidents)\n\n[accidents/non-fatal-work-accidents ](https://visualisation.osha.europa.eu/osh-barometer/accidents-diseases-well-being/work-accidents/non-fatal-work-accidents)\n\n**OSH Barometer - Fatal accidents at work:**\n\n[https://visualisation.osha.europa.eu/osh-barometer/accidents-diseases-well-being/work-](https://visualisation.osha.europa.eu/osh-barometer/accidents-diseases-well-being/work-accidents/fatal-work-accidents)\n\n[accidents/fatal-work-accidents](https://visualisation.osha.europa.eu/osh-barometer/accidents-diseases-well-being/work-accidents/fatal-work-accidents)\n\n**Eurostat - Accidents at work (ESAW and LFS Ad hoc modules):**\n\n[https://ec.europa.eu/eurostat/web/health/data/database](https://ec.europa.eu/eurostat/web/health/data/database)\n\n### **4.2 Trends in health outcomes**\n\n* **‘The misfortune (harm) that these types of** *\n\n* **workers get from the work in their** *\n\n* **workshops, beyond their uncomfortable** *\n\n* **sitting life, is the threat of Myopia. The** *\n\n* **well-known affection of the eyes, because** *\n\n* **self-evidently for a good visibility it is** *\n\n* **necessary to move the eyes closer to the** *\n\n* **objects of work.’** * * **<sup>173,174</sup>** *\n\n*Ramazzini, 1713:* De Morbis Artificum Diatriba in its\n\nchapter *on ‘Diseases of those who do fine work’.*\n\n*Ramazzini’s observation anticipates somehow the 21st*\n\n*century knowledge on sedentary work and about*\n\n*accommodative fatigue at a near viewing distance.*\n\n**Work-related health outcomes represent a much higher burden for society than work**\n\n**accidents.** <sup>175</sup> More workers are affected; the overall costs are much higher. At first glance, the trend of\n\nhealth outcomes (illnesses and wellbeing) **caused by ‘exposures’ at workplaces** is similarly\n\ndecreasing like the accident trend; that is the case if the scope of the analysis refers to the **officially**\n\n**recognised occupational diseases** .\n\nThe situation is complex, because only few and mostly the recognised **occupational diseases** have a\n\nunique cause-effect relationship, that is, a **very strong relation between one specific exposure at**\n\n**work and one (or more) well-defined disease(s)** as a result of this exposure.\n\nIn 1987, a joint ILO/WHO expert committee on occupational health offered the suggestion that **the term**\n\n* **work-related diseases** * may be appropriate to describe not only recognised occupational diseases but\n\nother disorders to which the work environment and performance of work contribute significantly as one\n\nof the several causative factors (Joint ILO/WHO Committee on Occupational Health 1989):\n\n*‘Nevertheless, it is not always that easy to designate a disease as being work-related. In fact, there is a*\n\n*wide range of diseases that could be related in one way or another to occupation or working conditions.*\n\n*On the one hand, there are the classical diseases that are occupational in nature, generally related to*\n\n© LeitnerR/Adobe Stock",
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- "text": "#### * **4.1.2 Serious non-fatal and fatal work accidents** *\n\nEurostat defines a fatal work accident as follows *: ‘A “fatal accident” means an accident which leads to*\n\n*the death of a victim within one year of the accident’.* <sup>160</sup>\n\nFatal commuting accidents are excluded, or when counted at national level, excluded from the ESAW\n\ndata.\n\nIn the last decade, most EU Member States registered a **significant decrease of fatal work**\n\n**accidents** . <sup>161</sup> From 2010 to 2019, for the EU27, the **incidence rate of fatal accidents decreased over**\n\n**all sectors from 2.31 to 1.74** , or a minus of 25%. In the period between 2010 and 2019 the sectoral\n\nfigures of five major sectors developed as follows:\n\n**Table 19: Incidence rates of fatal accidents per sector in 2010 and 2019 (EU27) <sup>162</sup>**\n\nAlso, large differences between countries can be noted. The following figure — taken from the OSH\n\nBarometer — calculates the number of fatal accidents in periods and compares the period 2010-2014\n\nwith 2015-2020. The reason is that — particularly in smaller Member States — a year with one serious\n\nand large work accident and several fatalities, or another year without any fatal accident, would distort\n\nthe annual picture and create significant changes from year to year. Romania, Luxembourg and Bulgaria\n\nhave the highest incident rates, and the Netherlands, Sweden and Germany the lowest. In 25 countries\n\nthe rate fell or stagnated in these two periods, with exceptions being Luxembourg and Greece.\n\n**Figure 23: Comparison of the average incidence rate of fatal accidents in two periods: 2010-2014 and 2015-**\n\n**2020 <sup>163</sup>**",
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- "text": "ESAW provides more detailed data about the **severity of non-fatal accidents** . <sup>164</sup> According to\n\nEurostat’s evaluation of ‘Causes and circumstances’ of work accidents ( **data from 2005, EU-15 and**\n\n**Norway** ), in 2005, 3.9% of the non-fatal work accidents or 157,494 non-fatal accidents led to **permanent**\n\n**incapacity** (full or partly), and 138,568 (3,4% of all accidents) to absences from three to six months. <sup>165</sup>\n\n**In 2019** , the **outcome** ‘Permanent incapacity or 183 days *(of time-off)* or over’ **made up 4.4% of all**\n\n**non-fatal work accidents or a little more than 100,000 cases** . **As serious outcomes** we regard at\n\nleast the cases in the ESAW category: non-fatal accidents involving these consequences are more than\n\n**34 times more frequent than fatalities** . These detailed time-off and outcome data are only available\n\nfor the sectors A and C-N, not for the other sectors with lower accident rates. If we include in the\n\ndefinition of a serious accident also the **ESAW category ‘Time off between 3 and 6 months’, another**\n\n**5.4% or 129,150 non-fatal accidents** would be added to the category ‘Serious accident’.\n\nThis would **sum up to 232,892 accidents at work with a time off between three and six months,**\n\n**and of more than six months or a permanent handicap** .\n\n**Table 20: Severity of accidents in the EU27 in 2019 (sectors A and C-N) <sup>166</sup>**\n\n**National data** showed similar coefficients; a calculation for two EU Member States showed a coefficient\n\nof 27 for Germany (only permanent handicap) and 66 for France. <sup>167</sup> EU-OSHA used the severity data\n\nof Eurostat in its study on ‘The value of occupational safety and health and the societal costs of work-\n\nrelated injuries and diseases’ (2019). <sup>168</sup>\n\nAccording to the publication ‘Causes and circumstances of accidents at work in the EU’ (DG EMPL and\n\nEurostat), the types of work accidents **causing the longest average days of absence** are: ‘Slipping,\n\nstumbling and falling’ (46 absence days), followed by three more categories at the same level: ‘Loss of\n\ncontrol of machines or handheld tools’, by ‘Shock, fright, violence, aggression, threat, presence’, <sup>169</sup> and\n\nby ‘Electrical problems, explosion and fire’ (all three types of accidents with an average of 38 days of\n\nabsence). <sup>170</sup>\n\nTo conclude, for an estimate of the burden of accidents at work, the distinction between fatal and non-\n\nfatal is too rough. **ESAW data allow a finer analysis, at least for the sectors with higher accident**\n\n**risks.** The high number of serious and permanent health outcomes cause human suffering and\n\nsignificant societal costs; but they play an undervalued role in discussions on work accidents as OSH\n\nindicators. It has to be mentioned that these data play a large role as **indicators in non-European OSH**\n\n**systems** ; Canada uses the Disabling Injury Frequency Rate (DIFR). <sup>171</sup> Australia applies incidence and",
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- "text": "**Figure 25: Work-related deaths - estimates by WHO/ILO <sup>218</sup> and ICOH <sup>219</sup> for EU27**",
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- "text": "**Table 18: People reporting an accident by group of occupations (ISCO) - LFS Ad hoc 2020 <sup>156</sup>**\n\nIn the Member States there exist very **diverging perceptions of which level of severity of a work**\n\n**accident justifies a notification** — or in the case of the LFS survey a positive response. In the LFS\n\nAd hoc module of 2020, the figures vary significantly between Member States. Some countries\n\npractically report only accidents with ‘Off work’ periods, for example, Italy, Lithuania, Malta and Poland.\n\nIn other countries the shares of work accidents reported that result in ‘Off work’ are under 40%, for\n\nexample, for Sweden and Finland, Greece, Denmark and France. <sup>157</sup> That means that in these countries\n\nthe respondents reported more than 50% such work accidents that did not cause an absence. Cultural\n\ndifferences in health perception in society and working life will probably be the major reason for these\n\ndifferences.\n\n© caro photo agency/EU-OSHA",
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- "query": "Was knowledge domain agnosticism a goal in the development of OLAF?",
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- "target_passage": "Though an ideal ontology should model a domain in an application-independent manner, in practice, concepts and relations represented largely depend on one or more business use cases. As we designed our framework with industry application in mind, we need to consider it within its real-world usage context.",
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- "text": "**OLAF**\n\n**Ontology based-system**\n\nOntology Use Cases Final Application\n\n**Knowledge sources**\n\nText Corpus Seed Ontology\n\nOntology\n\nPipeline Building Pipeline Optimisation Pipeline Execution\n\n###### * **C-value-based filtering** *\n\n###### * **Linguistic-based filtering** *\n\n###### * **TF-IDF value-based filtering** *\n\n###### * **ConceptNet-based extraction** *\n\n###### * **Grouping terms based on synonyms** *\n\n###### * **Term cooccurrences-based extraction** *\n\n###### * **Similarity-based extraction** *\n\n*Formal concept Analysis*\n\n###### * **Term subsumption algorithm** *\n\n*Hierarchical clustering*\n\n###### * **Rule-based axiom extraction** *\n\n*Inductive Logic Programming*\n\n**OLAF : Ontology Learning Applied Framework** Marion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr)\n\n#### Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nTerm Extraction\n\nTerm Enrichment\n\nConcept/Relation\n\nExtraction\n\nHierarchisation\n\nAxiom\n\nData preprocessing\n\nText Corpus\n\nOntology\n\n##### **OLAF**\n\nActivity Ressource\n\nArtifact Optional\n\n### **CAPTION**\n\n### **STATE OF THE ART**\n\nSystem Overview Pros and cons\n\nText2Onto,\n\n2005, [1]\n\nIt is the reference in the field as it defines a\n\nrepresentation-agnostic structure with modular\n\nsteps and takes into account uncertainty. The\n\nsystem is implemented as a GATE module.\n\nOntologies can be exported in\n\nvarious formats. GATE system\n\nadds great visualisations. But it is\n\nnot maintained since 2011.\n\nOntoLearn\n\n(Reloaded),\n\n2013, [3]\n\nIt focuses on \"lexicalised ontologies\" and uses seed\n\nknowledge. It implements 5 steps: terminology\n\nextraction, hypernym graph construction, domain\n\nfiltering of hypernyms, hypernym graph pruning and\n\nedge recovery.\n\nIt relies on WordNet and POS\n\ntags and does not distinguish\n\nbetween terms and concepts.\n\nIt implements different\n\nadaptable approaches.\n\nOntoGain,\n\n2010, [2]\n\nIt focuses on multiword terms to construct a\n\n\"lexicalised ontology\" by adapting an agglomerative\n\nclustering and an FCA method. It implements 4\n\nsteps: text preprocessing, concept extraction (C/NC-\n\nvalue), taxonomy construction, and non-taxonomic\n\nrelation acquisition (rule-based and probabilistic).\n\nIt considers only multiword\n\nterms and relies on WordNet\n\nand POS tags. It does not\n\ndistinguish between terms and\n\nconcepts and implements\n\ndifferent adaptable approaches.\n\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1\n\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg:\n\nSpringer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2\n\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665- 707. DOI:\n\n[10.1162/COLI_a_00146](https://doi.org/10.1162/COLI_a_00146)\n\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications,\n\n[Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101](https://doi.org/10.1093/database/bay101)\n\n1.\n\n2.\n\n3.\n\n4.\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically **extracting and structuring knowledge**\n\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a **modular ontology**\n\n**learning framework** considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning\n\nsystems as tools to help the domain expert, we developed the proposed framework with **full automation** in mind. An implementation as an **open-**\n\n**source and collaborative python library** is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\nMost ontology learning systems do not consider the targeted ontology-\n\nbased system. Though an ideal ontology should model a domain in an\n\napplication-independent manner, in practice, **concepts and relations**\n\n**represented largely depend on one or more business use cases** . As\n\nwe designed our framework with industry application in mind, we need\n\nto consider it within its **real-world usage context** .\n\n###### * **Embedding-based similar term extraction** *\n\n###### * **ConceptNet synonym extraction** *\n\n###### * **WordNet synonym extraction** *\n\nWe choose **Python** as it eases access to the vast python\n\ncommunity and its library ecosystem, particularly **NLP tools** and\n\nnumerous **Machine Learning (ML) libraries** .\n\n###### * **Algorithm implemented** *\n\n*Upcoming implementation*\n\n: Iterative process\n\nOur vision is to implement a **toolbox of methods** we can\n\ngather to build **pipelines** . These pipelines can be run,\n\noptimised and analysed to learn the best possible\n\nontology.\n\nOur implementation is largely based on the **Python NLP**\n\n**library spaCy** . The text processing on spaCy helps us\n\nwork with data in **many different languages** while\n\nstaying flexible on the methods used. The only constraint\n\nis to end up with a list of **spaCy Doc objects** .\n\n### **OLAF IN A PRACTICAL CONTEXT**\n\nWe designed the proposed framework focusing on **automation** with very little, if any, human involvement in mind. Unlike most existing approaches,\n\nparticular attention is brought to the **learned ontology final production use case** . We implement the framework as an open-source and open-\n\naccess python library. We aim to **gather feedback and grow a community** to develop and test multiple algorithms. Various satellite tools could be\n\ndeveloped to enhance the framework implementation. However, we should focus on developing **axiom extraction** and **automatic ontology**\n\n**evaluation** . One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter\n\n##### field is known as \"SemOps\".\n\nDifferent **serialization techniques** can be used to export and\n\nleverage the learned ontology in an application system.\n\n### **ONTOLOGY LEARNING FRAMEWORK**\n\n### **ARCHITECTURE**\n\na search engine on Schneider Electric products\n\na chatbot on Human Resources issues.\n\nWe only work on **unstructured textual data** .\n\nWe apply the framework in two different use cases and datasets\n\nto validate our results :\n\nOur framework provides several algorithms for the different\n\nstages of the pipeline. The algorithms are taken from external\n\nlibraries or directly implemented in the framework. The goal is to\n\nhave as many methods as possible to cover the maximum needs.",
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- "text": "An ontology represents knowledge as a set\n\nof concepts within a domain and the\n\nrelationships between those concepts.\n\nThe general problem of simulating (or creating) intelligence has been broken into subproblems. These\n\nconsist of particular traits or capabilities that researchers expect an intelligent system to display. The traits\n\ndescribed below have received the most attention and cover the scope of AI research. <sup>[a]</sup>\n\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they\n\n[solve puzzles or make logical deductions.](https://en.wikipedia.org/wiki/Deductive_reasoning) <sup>[13]</sup> By the late 1980s and 1990s, methods were developed for\n\n[dealing with uncertain or incomplete information, employing concepts from probability and](https://en.wikipedia.org/wiki/Probability)\n\n[economics.](https://en.wikipedia.org/wiki/Economics) <sup>[14]</sup>\n\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a\n\n\"combinatorial explosion\": They become exponentially slower as the problems grow. <sup>[15]</sup> Even humans\n\nrarely use the step-by-step deduction that early AI research could model. They solve most of their\n\nproblems using fast, intuitive judgments. <sup>[16]</sup> Accurate and efficient reasoning is an unsolved problem.\n\n[Knowledge representation and knowledge engineering](https://en.wikipedia.org/wiki/Knowledge_engineering) <sup>[17]</sup>\n\nallow AI programs to answer questions intelligently and\n\nmake deductions about real-world facts. Formal knowledge\n\nrepresentations are used in content-based indexing and\n\nretrieval, <sup>[18]</sup> scene interpretation, <sup>[19]</sup> clinical decision\n\nsupport, <sup>[20]</sup> knowledge discovery (mining \"interesting\" and\n\n[actionable inferences from large databases),](https://en.wikipedia.org/wiki/Database) <sup>[21]</sup> and other\n\nareas. <sup>[22]</sup>\n\n[A knowledge base is a body of knowledge represented in a](https://en.wikipedia.org/wiki/Knowledge_base)\n\n[form that can be used by a program. An ontology is the set](https://en.wikipedia.org/wiki/Ontology_(information_science))\n\nof objects, relations, concepts, and properties used by a\n\nparticular domain of knowledge. <sup>[23]</sup> Knowledge bases need\n\nto represent things such as objects, properties, categories,\n\nand relations between objects; <sup>[24]</sup> situations, events, states,\n\nand time; <sup>[25]</sup> causes and effects; <sup>[26]</sup> knowledge about\n\nknowledge (what we know about what other people\n\nknow); <sup>[27]</sup> [ default reasoning (things that humans assume are true until they are told differently and will](https://en.wikipedia.org/wiki/Default_reasoning)\n\nremain true even when other facts are changing); <sup>[28]</sup> and many other aspects and domains of knowledge.\n\nAmong the most difficult problems in knowledge representation are the breadth of commonsense\n\nknowledge (the set of atomic facts that the average person knows is enormous); <sup>[29]</sup> and the sub-symbolic\n\nform of most commonsense knowledge (much of what people know is not represented as \"facts\" or\n\n\"statements\" that they could express verbally). <sup>[16]</sup> [ There is also the difficulty of knowledge acquisition,](https://en.wikipedia.org/wiki/Knowledge_acquisition)\n\nthe problem of obtaining knowledge for AI applications. <sup>[c]</sup>\n\n#### **Reasoning and problem-solving**\n\n#### **Knowledge representation**\n\n#### **Planning and decision-making**",
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- "text": "### Chapter 13 Conclusion: Some Personal Thoughts and Opinions\n\nThis tutorial is just the entry point to a technology that is entering the *Slope of Enlightenment* in the Gartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the Semantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US corporations the excitement around Machine Learning seemed for a while to eclipse serious interest in OWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology companies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started to embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is finally realizing that machine learning and knowledge graphs are complimentary not competitive technologies.\n\nThe term knowledge graph itself can be used in different ways. The best definition I’ve heard is that an\n\nontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology combined with data (A-Box). Although in the corporate world I often hear people simply talk about knowledge graphs without much interest in the distinction between the vocabulary and the data.\n\nThere are a number of vendors emerging who are using the technology in very productive ways and are providing the foundation for federated knowledge graphs that can scale to hundreds of millions of triples or more and provide a framework for all corporate data. I’ve listed several in the bibliography but those\n\nare only the ones I’ve had some experience with. I’m sure there are many others. One of the products I’ve\n\nhad the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz Inc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the commercial version. I’ve found the Allegro triplestore easy to use on a Windows PC with the Docker tool to emulate a Linux server.\n\nI first started working with classification-based languages when I worked at the Information Sciences Institute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US Department of Defense and their contractors. Since then, I’ve followed the progress of the technology, especially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great promise in the technology. When I first discovered Protégé it was a great experience. It is one of the best supported and most usable free tools I’ve ever seen, and it always surprised me that there weren’t more corporate users leveraging it in major ways. I think we are finally starting to see this happen and I hope this tutorial helps in a small way to accelerate the adoption of this powerful and robust tool.",
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- "text": "Neches, Robert (1991). Enabling Technology for Knowledge Sharing. With Richard Fikes, Tim Finin, Thomas Gruber, Ramesh Patil, Ted Senator, and William T. Swartout. AI Magazine. Volume 12 Number 3 (1991). [https://tinyurl.com/DARPAKnowledgeSharing](https://tinyurl.com/DARPAKnowledgeSharing)\n\nNoy, Natasha (2019). Industry-Scale Knowledge Graphs: Lessons and Challenges. With Yuqing Gao, Anshu Jain, Anant Narayanan, Alan Patterson, Jamie Taylor. Communications of the ACM. Vol. 62. No. 8. August 2019. [https://tinyurl.com/ACMKnowledgeGraphs](https://tinyurl.com/ACMKnowledgeGraphs)\n\nM. J. O'Connor (2012). A Pair of OWL 2 RL Reasoners. With A.K. Das. OWL: Experiences and Directions (OWLED), 9th International Workshop, Heraklion, Greece, 2012. [http://ceur-ws.org/Vol-](http://ceur-ws.org/Vol-849/paper_31.pdf) [849/paper_31.pdf](http://ceur-ws.org/Vol-849/paper_31.pdf)\n\nSinghal, Amit. (2012). Introducing the Knowledge Graph: things, not strings. Google SVP, Engineering. May 16, 2012. [https://www.blog.google/products/search/introducing-knowledge-graph-things-not/](https://www.blog.google/products/search/introducing-knowledge-graph-things-not/)\n\n14.4 Books DuCharme, Bob (2011). Learning SPARQL. O’Reilly Media\n\nLewis, Harry. (1997). Elements of the Theory of Computation. With Christos Papadimitriou. Prentice- Hall; 2nd edition (August 7, 1997). ISBN-13: 978-0132624787\n\nSegaran, Toby (2009). Programming the Semantic Web: Build Flexible Applications with Graph Data. With Colin Evans and Jamie Taylor. O'Reilly Media; 1st edition (July 28, 2009).\n\n14.5 Vendors AllegroGraph Triplestore (Franz Inc.): [https://franz.com/](https://franz.com/)\n\nAmazon Neptune: [https://aws.amazon.com/neptune/](https://aws.amazon.com/neptune/)\n\nDocker: [https://www.docker.com/](https://www.docker.com/)\n\nDynaccurate: [https://www.dynaccurate.com/](https://www.dynaccurate.com/)\n\nOntotext: [https://www.ontotext.com/](https://www.ontotext.com/)\n\nPool Party: [https://www.poolparty.biz/](https://www.poolparty.biz/)\n\nStardog: [https://www.stardog.com/](https://www.stardog.com/)\n\nTop Quadrant: [https://www.topquadrant.com/](https://www.topquadrant.com/)\n\n[View publication stats](https://www.researchgate.net/publication/351037551)",
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- "text": "### Chapter 14 Bibliography\n\nRather than a standard bibliography, this section is divided into various categories based on resources that will be valuable for future exploration of the technologies and methods described in this tutorial.\n\n14.1 W3C Documents OWL 2 Primer: [https://www.w3.org/TR/owl2-primer/ ](https://www.w3.org/TR/owl2-primer/)\n\nOWL 2 Specification: https://www.w3.org/TR/owl2-overview/\n\nSemantic Web Primer for Object-Oriented Software Developers: [https://www.w3.org/TR/sw-oosd-](https://www.w3.org/TR/sw-oosd-primer/) [primer/ ](https://www.w3.org/TR/sw-oosd-primer/)\n\nSPARQL Specification: [https://www.w3.org/TR/sparql11-query/ ](https://www.w3.org/TR/sparql11-query/)\n\nSWRL Specification and Built-ins: [https://www.w3.org/Submission/SWRL/ ](https://www.w3.org/Submission/SWRL/)\n\n14.2 Web Sites, Tools, And Presentations. Agile Alliance: [https://www.agilealliance.org/agile101/](https://www.agilealliance.org/agile101/)\n\nCellfie: [https://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial ](https://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial)\n\nGartner Hype Cycle: [https://www.gartner.com/en/research/methodologies/gartner-hype-cycle](https://www.gartner.com/en/research/methodologies/gartner-hype-cycle)\n\nJena: Open Source Java Framework for Semantic Web and Linked Data Applications: [https://jena.apache.org/](https://jena.apache.org/)\n\nOpen World Assumption (OWA) presentation by Nick Drummond and Rob Shearer: [http://www.cs.man.ac.uk/~drummond/presentations/OWA.pdf](http://www.cs.man.ac.uk/~drummond/presentations/OWA.pdf)\n\nProtégé: [https://protege.stanford.edu/](https://protege.stanford.edu/)\n\nProtégé Best Practices. Summary page on my blog for all my articles on Protégé, OWL, SWRL, etc.: [https://www.michaeldebellis.com/post/best-practices-for-new-protege-users](https://www.michaeldebellis.com/post/best-practices-for-new-protege-users)\n\nSHACL Playground: [https://shacl.org/playground/](https://shacl.org/playground/)\n\nSWRL Presentation by Martin O’Connor: [https://protege.stanford.edu/conference/2009/slides/SWRL2009ProtegeConference.pdf](https://protege.stanford.edu/conference/2009/slides/SWRL2009ProtegeConference.pdf)\n\nWebProtégé: [https://webprotege.stanford.edu/](https://webprotege.stanford.edu/)\n\nWebVOWL: Web-based Visualization of Ontologies: [http://vowl.visualdataweb.org/webvowl.html](http://vowl.visualdataweb.org/webvowl.html)\n\n14.3 Papers Berners-Lee (2001). The Semantic Web: A new form of Web content that is meaningful to computers will unleash a revolution of new possibilities. With James Hendler and Ora Lassila. Scientific American, May 17, 2001. [https://tinyurl.com/BernersLeeSemanticWeb](https://tinyurl.com/BernersLeeSemanticWeb)\n\nMacGregor, Robert (1991). \"Using a description classifier to enhance knowledge representation\". IEEE Expert. 6 (3): 41- 46. doi:10.1109/64.87683 [https://tinyurl.com/MacGregorLoom](https://tinyurl.com/MacGregorLoom)",
- "page_start": 89,
- "page_end": 89,
- "source_file": "Protege5NewOWLPizzaTutorialV3.pdf"
- },
- {
- "text": "[In Chinese philosophy, the School of Names and Mohism were particularly influential. The School of](https://en.wikipedia.org/wiki/Mohism)\n\n[Names focused on the use of language and on paradoxes. For example, Gongsun Long proposed the](https://en.wikipedia.org/wiki/Gongsun_Long)\n\n[white horse paradox, which defends the thesis that a white horse is not a horse. The school of Mohism](https://en.wikipedia.org/wiki/White_horse_paradox)\n\nalso acknowledged the importance of language for logic and tried to relate the ideas in these fields to the\n\nrealm of ethics. <sup>[197]</sup>\n\n[In India, the study of logic was primarily pursued by the schools of Nyaya, Buddhism, and Jainism. It](https://en.wikipedia.org/wiki/Jainism)\n\nwas not treated as a separate academic discipline and discussions of its topics usually happened in the\n\ncontext of epistemology and theories of dialogue or argumentation. <sup>[198]</sup> In Nyaya, inference is understood\n\n[as a source of knowledge (pramā](https://en.wikipedia.org/wiki/Pram%C4%81%E1%B9%87a) ṇ a). It follows the perception of an object and tries to arrive at\n\nconclusions, for example, about the cause of this object. <sup>[199]</sup> A similar emphasis on the relation to\n\nepistemology is also found in Buddhist and Jainist schools of logic, where inference is used to expand the\n\nknowledge gained through other sources. <sup>[200]</sup> Some of the later theories of Nyaya, belonging to the\n\n[Navya-Nyāya school, resemble modern forms of logic, such as Gottlob Frege's distinction between sense](https://en.wikipedia.org/wiki/Sense_and_reference)\n\n[and reference and his definition of number.](https://en.wikipedia.org/wiki/Sense_and_reference) <sup>[201]</sup>\n\nThe syllogistic logic developed by Aristotle predominated in the West until the mid-19th century, when\n\ninterest in the foundations of mathematics stimulated the development of modern symbolic logic. <sup>[202]</sup>\n\nMany see Gottlob Frege's *[Begriffsschrift](https://en.wikipedia.org/wiki/Begriffsschrift)* [ as the birthplace of modern logic. Gottfried Wilhelm Leibniz's](https://en.wikipedia.org/wiki/Gottfried_Wilhelm_Leibniz)\n\n[idea of a universal formal language is often considered a forerunner. Other pioneers were George Boole,](https://en.wikipedia.org/wiki/George_Boole)\n\n[who invented Boolean algebra as a mathematical system of logic, and Charles Peirce, who developed the](https://en.wikipedia.org/wiki/Charles_Peirce)\n\n[logic of relatives. Alfred North Whitehead and Bertrand Russell, in turn, condensed many of these](https://en.wikipedia.org/wiki/Logic_of_relatives)\n\ninsights in their work *[Principia Mathematica](https://en.wikipedia.org/wiki/Principia_Mathematica)* [. Modern logic introduced novel concepts, such as functions,](https://en.wikipedia.org/wiki/Function_(mathematics))\n\nquantifiers, and relational predicates. A hallmark of modern symbolic logic is its use of formal language\n\nto precisely codify its insights. In this regard, it departs from earlier logicians, who relied mainly on\n\nnatural language. <sup>[203]</sup> Of particular influence was the development of first-order logic, which is usually\n\ntreated as the standard system of modern logic. <sup>[204]</sup> Its analytical generality allowed the formalization of\n\n[mathematics and drove the investigation of set theory. It also made Alfred Tarski's approach to model](https://en.wikipedia.org/wiki/Model_theory)\n\n[theory possible and provided the foundation of modern mathematical logic.](https://en.wikipedia.org/wiki/Model_theory) <sup>[205]</sup>\n\n* **[Philosophy portal](https://en.wikipedia.org/wiki/Portal:Philosophy)** *\n\n### **See also**",
- "page_start": 17,
- "page_end": 17,
- "source_file": "wikipedia1.pdf"
- },
- {
- "text": "335. Russell & Norvig (2021), p. 24.\n\n336. Nilsson (1998), p. 7.\n\n337. McCorduck (2004), pp. 454- 462.\n\n338. Moravec (1988).\n\n339. Brooks (1990).\n\n[340. Developmental robotics: Weng et al. (2001), Lungarella et al. (2003), Asada et al. (2009),](https://en.wikipedia.org/wiki/Developmental_robotics)\n\nOudeyer (2010)\n\n341. Russell & Norvig (2021), p. 25.\n\n342. Crevier (1993, pp. 214- 215), Russell & Norvig (2021, pp. 24, 26)\n\n343. Russell & Norvig (2021), p. 26.\n\n344. Formal and narrow methods adopted in the 1990s: Russell & Norvig (2021, pp. 24- 26),\n\nMcCorduck (2004, pp. 486- 487)\n\n345. AI widely used in the late 1990s: Kurzweil (2005, p. 265), NRC (1999, pp. 216- 222),\n\nNewquist (1994, pp. 189- 201)\n\n346. Wong (2023).\n\n[347. Moore's Law and AI: Russell & Norvig (2021, pp. 14, 27)](https://en.wikipedia.org/wiki/Moore%27s_Law)\n\n348. Clark (2015b).\n\n[349. Big data: Russell & Norvig (2021, p. 26)](https://en.wikipedia.org/wiki/Big_data)\n\n[350. Sagar, Ram (3 June 2020). \"OpenAI Releases GPT-3, The Largest Model So Far\" (https://a](https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[nalyticsindiamag.com/open-ai-gpt-3-language-model). ](https://analyticsindiamag.com/open-ai-gpt-3-language-model) *Analytics India Magazine* [. Archived (h](https://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[ttps://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-la](https://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[nguage-model) from the original on 4 August 2020. Retrieved 15 March 2023.](https://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[351. Milmo, Dan (2 February 2023). \"ChatGPT reaches 100 million users two months after](https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-open-ai-fastest-growing-app)\n\n[launch\" (https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-op](https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-open-ai-fastest-growing-app)\n\n[en-ai-fastest-growing-app). ](https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-open-ai-fastest-growing-app) *The Guardian* [. ISSN 0261-3077 (https://search.worldcat.org/iss](https://search.worldcat.org/issn/0261-3077)\n\n[n/0261-3077). Retrieved 31 December 2024.](https://search.worldcat.org/issn/0261-3077)\n\n[352. Gorichanaz, Tim (29 November 2023). \"ChatGPT turns 1: AI chatbot's success says as](https://theconversation.com/chatgpt-turns-1-ai-chatbots-success-says-as-much-about-humans-as-technology-218704)\n\n[much about humans as technology\" (https://theconversation.com/chatgpt-turns-1-ai-chatbot](https://theconversation.com/chatgpt-turns-1-ai-chatbots-success-says-as-much-about-humans-as-technology-218704)\n\n[s-success-says-as-much-about-humans-as-technology-218704). ](https://theconversation.com/chatgpt-turns-1-ai-chatbots-success-says-as-much-about-humans-as-technology-218704) *The Conversation* .\n\nRetrieved 31 December 2024.\n\n353. DiFeliciantonio (2023).\n\n354. Goswami (2023).\n\n[355. \"Nearly 1 in 4 new startups is an AI company\" (https://pitchbook.com/news/articles/nearly-1-i](https://pitchbook.com/news/articles/nearly-1-in-4-new-startups-is-an-ai-company)\n\n[n-4-new-startups-is-an-ai-company). ](https://pitchbook.com/news/articles/nearly-1-in-4-new-startups-is-an-ai-company) *PitchBook* . 24 December 2024. Retrieved 3 January\n\n2025.\n\n[356. Grayling, Anthony; Ball, Brian (1 August 2024). \"Philosophy is crucial in the age of AI\" (http](https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907)\n\n[s://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907). ](https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907) *The Conversation* .\n\n[Archived (https://web.archive.org/web/20241005170243/https://theconversation.com/philoso](https://web.archive.org/web/20241005170243/https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907)\n\n[phy-is-crucial-in-the-age-of-ai-235907) from the original on 5 October 2024. Retrieved](https://web.archive.org/web/20241005170243/https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907)\n\n4 October 2024.\n\n[357. Jarow, Oshan (15 June 2024). \"Will AI ever become conscious? It depends on how you](https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\n[think about biology\" (https://www.vox.com/future-perfect/351893/consciousness-ai-machines](https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\n[-neuroscience-mind). ](https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind) *Vox* [. Archived (https://web.archive.org/web/20240921035218/https://w](https://web.archive.org/web/20240921035218/https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\n[ww.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind) from](https://web.archive.org/web/20240921035218/https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\nthe original on 21 September 2024. Retrieved 4 October 2024.\n\n[358. McCarthy, John. \"The Philosophy of AI and the AI of Philosophy\" (https://web.archive.org/we](https://web.archive.org/web/20181023181725/http://jmc.stanford.edu/articles/aiphil2.html)\n\n[b/20181023181725/http://jmc.stanford.edu/articles/aiphil2.html). ](https://web.archive.org/web/20181023181725/http://jmc.stanford.edu/articles/aiphil2.html) *jmc.stanford.edu* . Archived\n\n[from the original (http://jmc.stanford.edu/articles/aiphil2.html) on 23 October 2018. Retrieved](http://jmc.stanford.edu/articles/aiphil2.html)\n\n3 October 2024.\n\n359. Turing (1950), p. 1.",
- "page_start": 48,
- "page_end": 48,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent](https://en.wikipedia.org/wiki/Symbolic_AI)\n\n[mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt](https://en.wikipedia.org/wiki/Mental_objects)\n\n[that this approach would be able to imitate all the processes of human cognition, especially perception,](https://en.wikipedia.org/wiki/Machine_perception)\n\n[robotics, learning and pattern recognition,](https://en.wikipedia.org/wiki/Pattern_recognition) <sup>[335]</sup> and began to look into \"sub-symbolic\" approaches. <sup>[336]</sup>\n\n[Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that](https://en.wikipedia.org/wiki/Rodney_Brooks)\n\nmove and survive. <sup>[x]</sup> [ Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete](https://en.wikipedia.org/wiki/Lofti_Zadeh)\n\nand uncertain information by making reasonable guesses rather than precise logic. <sup>[86][341]</sup> But the most\n\n[important development was the revival of \"connectionism\", including neural network research, by](https://en.wikipedia.org/wiki/Connectionism)\n\n[Geoffrey Hinton and others.](https://en.wikipedia.org/wiki/Geoffrey_Hinton) <sup>[342]</sup> [ In 1990, Yann LeCun successfully showed that convolutional neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\n[networks can recognize handwritten digits, the first of many successful applications of neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\nnetworks. <sup>[343]</sup>\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal\n\n[mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\"](https://en.wikipedia.org/wiki/Narrow_AI)\n\n[focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics,](https://en.wikipedia.org/wiki/Statistics)\n\n[economics and mathematics).](https://en.wikipedia.org/wiki/Mathematical_optimization) <sup>[344]</sup> By 2000, solutions developed by AI researchers were being widely\n\nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as\n\n[the AI effect).](https://en.wikipedia.org/wiki/AI_effect) <sup>[345]</sup> However, several academic researchers became concerned that AI was no longer\n\npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they\n\n[founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\ninstitutions by the 2010s. <sup>[4]</sup>\n\n[Deep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.](https://en.wikipedia.org/wiki/Deep_learning) <sup>[11]</sup>\n\nFor many specific tasks, other methods were abandoned. <sup>[y]</sup> Deep learning's success was based on both\n\n[hardware improvements (faster computers,](https://en.wikipedia.org/wiki/Moore%27s_law) <sup>[347]</sup> [ graphics processing units, cloud computing](https://en.wikipedia.org/wiki/Cloud_computing) <sup>[348]</sup> ) and\n\n[access to large amounts of data](https://en.wikipedia.org/wiki/Big_data) <sup>[349]</sup> (including curated datasets, <sup>[348]</sup> [ such as ImageNet). Deep learning's](https://en.wikipedia.org/wiki/ImageNet)\n\nsuccess led to an enormous increase in interest and funding in AI. <sup>[z]</sup> The amount of machine learning\n\nresearch (measured by total publications) increased by 50% in the years 2015- 2019. <sup>[306]</sup>\n\n[In 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine](https://en.wikipedia.org/wiki/Algorithmic_fairness)\n\nlearning conferences, publications vastly increased, funding became available, and many researchers re-\n\n[focussed their careers on these issues. The alignment problem became a serious field of academic](https://en.wikipedia.org/wiki/AI_alignment)\n\nstudy. <sup>[283]</sup>\n\n[In the late teens and early 2020s, AGI companies began to deliver programs that created enormous](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\n[interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program](https://en.wikipedia.org/wiki/Go_player)\n\n[taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was](https://en.wikipedia.org/wiki/Large_language_model)\n\n[released in 2020 by OpenAI and is capable of generating high-quality human-like text.](https://en.wikipedia.org/wiki/OpenAI) <sup>[350]</sup> [ ChatGPT,](https://en.wikipedia.org/wiki/ChatGPT)\n\nlaunched on November 30, 2022, became the fastest-growing consumer software application in history,\n\ngaining over 100 million users in two months. <sup>[351]</sup> It marked what is widely regarded as AI's breakout\n\nyear, bringing it into the public consciousness. <sup>[352]</sup> [ These programs, and others, inspired an aggressive AI](https://en.wikipedia.org/wiki/AI_boom)\n\n[boom, where large companies began investing billions of dollars in AI research. According to AI Impacts,](https://en.wikipedia.org/wiki/AI_boom)\n\nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new",
- "page_start": 22,
- "page_end": 22,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[48] N. Papernot, P. McDaniel, I. Goodfellow, S. Jha, Z. B. Celik, and A. Swami, “Practical black-box attacks against machine learning,” in *Proceedings of the 2017 ACM on Asia conference on computer and communications security* , 2017.\n\n[49] N. Papernot, P. McDaniel, S. Jha, M. Fredrikson, Z. B. Celik, and A. Swami, “The limitations of deep learning in adversarial settings,” in *IEEE European symposium on security and privacy (EuroS&P)* , 2016.\n\n[50] F. Perez and I. Ribeiro, “Ignore previous prompt: Attack techniques for language models,” in *NeurIPS ML Safety* *Workshop* , 2022.\n\n[51] A. Radford, J. Wu, R. Child, D. Luan, D. Amodei, and I. Sutskever, “Language models are unsupervised [multitask learners,” https://cdn.openai.com/better-language-models/language models are unsupervised multitask](https://cdn.openai.com/better-language-models/language_models_are_unsupervised_multitask_learners.pdf) [learners.pdf, 2019.](https://cdn.openai.com/better-language-models/language_models_are_unsupervised_multitask_learners.pdf)\n\n[52] C. Riquelme, J. Puigcerver, B. Mustafa, M. Neumann, R. Jenatton, A. Susano Pinto, D. Keysers, and N. Houlsby, “Scaling vision with sparse mixture of experts,” *Advances in Neural Information Processing Systems (NeurIPS)* , 2021.\n\n[53] M. <sup>ˇ</sup> Sakota, M. Peyrard, and R. West, “Fly-swat or cannon? cost-effective language model choice via meta-modeling,” in *Proceedings of the 17th ACM International Conference on Web Search and Data Mining* , 2024.\n\n[54] S. Schulhoff, J. Pinto, A. Khan, L.-F. Bouchard, C. Si, S. Anati, V. Tagliabue, A. Kost, C. Carnahan, and J. Boyd- Graber, “Ignore this title and HackAPrompt: Exposing systemic vulnerabilities of LLMs through a global prompt hacking competition,” in *EMNLP* , 2023.\n\n[55] A. Shafran, R. Schuster, and V. Shmatikov, “Machine against the RAG: Jamming retrieval-augmented generation with blocker documents,” *arXiv preprint arXiv:2406.05870* , 2024.\n\n[56] N. Shazeer, A. Mirhoseini, K. Maziarz, A. Davis, Q. Le, G. Hinton, and J. Dean, “Outrageously large neural net- works: The sparsely-gated mixture-of-experts layer,” in *International Conference on Learning Representations* , 2016.\n\n[57] T. Shnitzer, A. Ou, M. Silva, K. Soule, Y. Sun, J. Solomon, N. Thompson, and M. Yurochkin, “Large language model routing with benchmark datasets,” *arXiv preprint arXiv:2309.15789* , 2023.\n\n[58] K. Srivatsa, K. K. Maurya, and E. Kochmar, “Harnessing the power of multiple minds: Lessons learned from LLM routing,” *arXiv preprint arXiv:2405.00467* , 2024.\n\n[59] D. Stripelis, Z. Hu, J. Zhang, Z. Xu, A. Shah, H. Jin, Y. Yao, S. Avestimehr, and C. He, “Tensoropera router: A multi-model router for efficient LLM inference,” *arXiv preprint arXiv:2408.12320* , 2024.\n\n[60] C. Szegedy, W. Zaremba, I. Sutskever, J. Bruna, D. Erhan, I. Goodfellow, and R. Fergus, “Intriguing properties of neural networks,” *arXiv preprint arXiv:1312.6199* , 2013.\n\n[61] G. Team, R. Anil, S. Borgeaud, J.-B. Alayrac, J. Yu, R. Soricut, J. Schalkwyk, A. M. Dai, A. Hauth, K. Millican *et al.* , “Gemini: a family of highly capable multimodal models,” *arXiv preprint arXiv:2312.11805* , 2023.\n\n[62] Teknium, “Openhermes 2.5: An open dataset of synthetic data for generalist LLM assistants,” 2023. [Online]. [Available: https://huggingface.co./datasets/teknium/OpenHermes-2.5](https://huggingface.co./datasets/teknium/OpenHermes-2.5)\n\n[63] H. Touvron, L. Martin, K. Stone, P. Albert, A. Almahairi, Y. Babaei, N. Bashlykov, S. Batra, P. Bhargava, S. Bhosale *et al.* , “Llama 2: Open foundation and fine-tuned chat models,” *arXiv preprint arXiv:2307.09288* , 2023.\n\n[64] S. Toyer, O. Watkins, E. A. Mendes, J. Svegliato, L. Bailey, T. Wang, I. Ong, K. Elmaaroufi, P. Abbeel, T. Darrell *et al.* , “Tensor Trust: Interpretable prompt injection attacks from an online game,” in *International Conference on* *Learning Representations (ICLR)* , 2023.\n\n[65] F. Tram`er, F. Zhang, A. Juels, M. K. Reiter, and T. Ristenpart, “Stealing machine learning models via prediction APIs,” in *USENIX Security Symposium* , 2016.\n\n[66] A. Wei, N. Haghtalab, and J. Steinhardt, “Jailbroken: How does LLM safety training fail?” in *Advances in Neural* *Information Processing Systems (NeurIPS)* , 2023.\n\n[67] I. Yona, I. Shumailov, J. Hayes, and N. Carlini, “Stealing user prompts from mixture of experts,” *arXiv preprint* *arXiv:2410.22884* , 2024.\n\n[68] M. Yue, J. Zhao, M. Zhang, L. Du, and Z. Yao, “Large language model cascades with mixture of thought represen- tations for cost-efficient reasoning,” in *International Conference on Learning Representations (ICLR)* , 2024.\n\n[69] C. Zhang, T. Zhang, and V. Shmatikov, “Controlled generation of natural adversarial documents for stealthy retrieval poisoning,” *arXiv preprint arXiv:2410.02163* , 2024.\n\n[70] Y. Zhang, N. Carlini, and D. Ippolito, “Effective prompt extraction from language models,” in *First Conference on* *Language Modeling* , 2024.\n\n21",
- "page_start": 20,
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- "source_file": "arxiv1.pdf"
- },
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- "text": "4.13 Automated Classification and Open World Reasoning Make sure that the reasoner is synchronized (the little text in the lower right corner should say Reasoner active). Now switch from the Class hierarchy tab to the Class hierarchy (inferred) tab. You may notice something that seems perplexing. The classes MargheritaPizza and SohoPizza both only have\n\nvegetable and cheese toppings. So one might expect that the reasoner would classify them as subclasses of VegetarianPizza as it recently (in section 4.11) classified them and others as subclasses of\n\nCheesyPizza . The reason this didn’t happen is something called the Open World Assumption (OWA).\n\nThis is one of the concepts of OWL that can be most confusing for new and even experienced users because it is different than the Close World Assumption (CWA) used in most other programming and knowledge representation languages.\n\nIn most languages using the CWA we assume that everything that is currently known about the system is already in the database. However, OWL was meant to be a language to bring semantics to the Internet so the language designers chose the OWA. The open world assumption means that we cannot assume\n\nsomething doesn’t exist just because it isn’t currently in the ontology. The Internet is an open system. The\n\ninformation could be out there in some data source that hasn’t yet been integrated into our ontology. Thus, we can’t conclude some information doesn’t exist unless it is *explicitly stated that it does not exist* . In other words, because something hasn’t been stated to be true, it cannot be assumed to be false — it is assumed that the knowledge just hasn’t been added to the knowledge base. In the case of our pizza ontology, we have stated that MargheritaPizza has toppings that are kinds of MozzarellaTopping\n\nand also kinds of TomatoTopping . Because of the open world assumption, until we explicitly say that a\n\nMargheritaPizza only has these kinds of toppings, it is assumed by the reasoner that a\n\nMargheritaPizza could have other toppings. To specify explicitly that a MargheritaPizza has\n\ntoppings that are kinds of MozzarellaTopping or kinds of TomatoTopping and only kinds of\n\nMozzarellaTopping or TomatoTopping , we must add what is known as a closure axiom on the\n\nhasTopping property.\n\nIn situations like the above example, a common mistake is to use an intersection instead of a\n\nunion. For example, CheeseTopping *and* VegetableTopping . Although CheeseTopping\n\nand Vegetable might be a natural thing to say in English, this logically means something that\n\nis simultaneously a kind of CheeseTopping and VegetableTopping . This is incorrect\n\nbecause we have stated that CheeseTopping and VegetableTopping are disjoint classes\n\nand hence no individual can be an instance of both. If we used such a definition the reasoner\n\nwould detect the inconsistency.\n\nIn the above example it might have been tempting to create two universal restrictions — one\n\nfor CheeseTopping ( ∀ hasTopping CheeseTopping) and one for\n\nVegetableTopping ( ∀ hasTopping VegetableTopping) . However, when multiple\n\nrestrictions are used (for any type of restriction) the total description is taken to be the\n\nintersection of the individual restrictions. This would have therefore been equivalent to one\n\nrestriction with a filler that is the intersection of MozzarellaTopping *and* TomatoTopping\n\n— as explained above this would have been logically incorrect.",
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- "references": {
- "source_file": "infographic5.pdf",
- "query": "Is OLAF a specific strategy for ontological learning or is it a toolbox of different strategies?",
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- "target_passage": "Our vision is to implement a toolbox of methods we can gather to build pipelines. ",
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- "text": "**OLAF**\n\n**Ontology based-system**\n\nOntology Use Cases Final Application\n\n**Knowledge sources**\n\nText Corpus Seed Ontology\n\nOntology\n\nPipeline Building Pipeline Optimisation Pipeline Execution\n\n###### * **C-value-based filtering** *\n\n###### * **Linguistic-based filtering** *\n\n###### * **TF-IDF value-based filtering** *\n\n###### * **ConceptNet-based extraction** *\n\n###### * **Grouping terms based on synonyms** *\n\n###### * **Term cooccurrences-based extraction** *\n\n###### * **Similarity-based extraction** *\n\n*Formal concept Analysis*\n\n###### * **Term subsumption algorithm** *\n\n*Hierarchical clustering*\n\n###### * **Rule-based axiom extraction** *\n\n*Inductive Logic Programming*\n\n**OLAF : Ontology Learning Applied Framework** Marion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr)\n\n#### Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nTerm Extraction\n\nTerm Enrichment\n\nConcept/Relation\n\nExtraction\n\nHierarchisation\n\nAxiom\n\nData preprocessing\n\nText Corpus\n\nOntology\n\n##### **OLAF**\n\nActivity Ressource\n\nArtifact Optional\n\n### **CAPTION**\n\n### **STATE OF THE ART**\n\nSystem Overview Pros and cons\n\nText2Onto,\n\n2005, [1]\n\nIt is the reference in the field as it defines a\n\nrepresentation-agnostic structure with modular\n\nsteps and takes into account uncertainty. The\n\nsystem is implemented as a GATE module.\n\nOntologies can be exported in\n\nvarious formats. GATE system\n\nadds great visualisations. But it is\n\nnot maintained since 2011.\n\nOntoLearn\n\n(Reloaded),\n\n2013, [3]\n\nIt focuses on \"lexicalised ontologies\" and uses seed\n\nknowledge. It implements 5 steps: terminology\n\nextraction, hypernym graph construction, domain\n\nfiltering of hypernyms, hypernym graph pruning and\n\nedge recovery.\n\nIt relies on WordNet and POS\n\ntags and does not distinguish\n\nbetween terms and concepts.\n\nIt implements different\n\nadaptable approaches.\n\nOntoGain,\n\n2010, [2]\n\nIt focuses on multiword terms to construct a\n\n\"lexicalised ontology\" by adapting an agglomerative\n\nclustering and an FCA method. It implements 4\n\nsteps: text preprocessing, concept extraction (C/NC-\n\nvalue), taxonomy construction, and non-taxonomic\n\nrelation acquisition (rule-based and probabilistic).\n\nIt considers only multiword\n\nterms and relies on WordNet\n\nand POS tags. It does not\n\ndistinguish between terms and\n\nconcepts and implements\n\ndifferent adaptable approaches.\n\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1\n\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg:\n\nSpringer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2\n\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665- 707. DOI:\n\n[10.1162/COLI_a_00146](https://doi.org/10.1162/COLI_a_00146)\n\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications,\n\n[Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101](https://doi.org/10.1093/database/bay101)\n\n1.\n\n2.\n\n3.\n\n4.\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically **extracting and structuring knowledge**\n\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a **modular ontology**\n\n**learning framework** considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning\n\nsystems as tools to help the domain expert, we developed the proposed framework with **full automation** in mind. An implementation as an **open-**\n\n**source and collaborative python library** is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\nMost ontology learning systems do not consider the targeted ontology-\n\nbased system. Though an ideal ontology should model a domain in an\n\napplication-independent manner, in practice, **concepts and relations**\n\n**represented largely depend on one or more business use cases** . As\n\nwe designed our framework with industry application in mind, we need\n\nto consider it within its **real-world usage context** .\n\n###### * **Embedding-based similar term extraction** *\n\n###### * **ConceptNet synonym extraction** *\n\n###### * **WordNet synonym extraction** *\n\nWe choose **Python** as it eases access to the vast python\n\ncommunity and its library ecosystem, particularly **NLP tools** and\n\nnumerous **Machine Learning (ML) libraries** .\n\n###### * **Algorithm implemented** *\n\n*Upcoming implementation*\n\n: Iterative process\n\nOur vision is to implement a **toolbox of methods** we can\n\ngather to build **pipelines** . These pipelines can be run,\n\noptimised and analysed to learn the best possible\n\nontology.\n\nOur implementation is largely based on the **Python NLP**\n\n**library spaCy** . The text processing on spaCy helps us\n\nwork with data in **many different languages** while\n\nstaying flexible on the methods used. The only constraint\n\nis to end up with a list of **spaCy Doc objects** .\n\n### **OLAF IN A PRACTICAL CONTEXT**\n\nWe designed the proposed framework focusing on **automation** with very little, if any, human involvement in mind. Unlike most existing approaches,\n\nparticular attention is brought to the **learned ontology final production use case** . We implement the framework as an open-source and open-\n\naccess python library. We aim to **gather feedback and grow a community** to develop and test multiple algorithms. Various satellite tools could be\n\ndeveloped to enhance the framework implementation. However, we should focus on developing **axiom extraction** and **automatic ontology**\n\n**evaluation** . One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter\n\n##### field is known as \"SemOps\".\n\nDifferent **serialization techniques** can be used to export and\n\nleverage the learned ontology in an application system.\n\n### **ONTOLOGY LEARNING FRAMEWORK**\n\n### **ARCHITECTURE**\n\na search engine on Schneider Electric products\n\na chatbot on Human Resources issues.\n\nWe only work on **unstructured textual data** .\n\nWe apply the framework in two different use cases and datasets\n\nto validate our results :\n\nOur framework provides several algorithms for the different\n\nstages of the pipeline. The algorithms are taken from external\n\nlibraries or directly implemented in the framework. The goal is to\n\nhave as many methods as possible to cover the maximum needs.",
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- "text": "An ontology represents knowledge as a set\n\nof concepts within a domain and the\n\nrelationships between those concepts.\n\nThe general problem of simulating (or creating) intelligence has been broken into subproblems. These\n\nconsist of particular traits or capabilities that researchers expect an intelligent system to display. The traits\n\ndescribed below have received the most attention and cover the scope of AI research. <sup>[a]</sup>\n\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they\n\n[solve puzzles or make logical deductions.](https://en.wikipedia.org/wiki/Deductive_reasoning) <sup>[13]</sup> By the late 1980s and 1990s, methods were developed for\n\n[dealing with uncertain or incomplete information, employing concepts from probability and](https://en.wikipedia.org/wiki/Probability)\n\n[economics.](https://en.wikipedia.org/wiki/Economics) <sup>[14]</sup>\n\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a\n\n\"combinatorial explosion\": They become exponentially slower as the problems grow. <sup>[15]</sup> Even humans\n\nrarely use the step-by-step deduction that early AI research could model. They solve most of their\n\nproblems using fast, intuitive judgments. <sup>[16]</sup> Accurate and efficient reasoning is an unsolved problem.\n\n[Knowledge representation and knowledge engineering](https://en.wikipedia.org/wiki/Knowledge_engineering) <sup>[17]</sup>\n\nallow AI programs to answer questions intelligently and\n\nmake deductions about real-world facts. Formal knowledge\n\nrepresentations are used in content-based indexing and\n\nretrieval, <sup>[18]</sup> scene interpretation, <sup>[19]</sup> clinical decision\n\nsupport, <sup>[20]</sup> knowledge discovery (mining \"interesting\" and\n\n[actionable inferences from large databases),](https://en.wikipedia.org/wiki/Database) <sup>[21]</sup> and other\n\nareas. <sup>[22]</sup>\n\n[A knowledge base is a body of knowledge represented in a](https://en.wikipedia.org/wiki/Knowledge_base)\n\n[form that can be used by a program. An ontology is the set](https://en.wikipedia.org/wiki/Ontology_(information_science))\n\nof objects, relations, concepts, and properties used by a\n\nparticular domain of knowledge. <sup>[23]</sup> Knowledge bases need\n\nto represent things such as objects, properties, categories,\n\nand relations between objects; <sup>[24]</sup> situations, events, states,\n\nand time; <sup>[25]</sup> causes and effects; <sup>[26]</sup> knowledge about\n\nknowledge (what we know about what other people\n\nknow); <sup>[27]</sup> [ default reasoning (things that humans assume are true until they are told differently and will](https://en.wikipedia.org/wiki/Default_reasoning)\n\nremain true even when other facts are changing); <sup>[28]</sup> and many other aspects and domains of knowledge.\n\nAmong the most difficult problems in knowledge representation are the breadth of commonsense\n\nknowledge (the set of atomic facts that the average person knows is enormous); <sup>[29]</sup> and the sub-symbolic\n\nform of most commonsense knowledge (much of what people know is not represented as \"facts\" or\n\n\"statements\" that they could express verbally). <sup>[16]</sup> [ There is also the difficulty of knowledge acquisition,](https://en.wikipedia.org/wiki/Knowledge_acquisition)\n\nthe problem of obtaining knowledge for AI applications. <sup>[c]</sup>\n\n#### **Reasoning and problem-solving**\n\n#### **Knowledge representation**\n\n#### **Planning and decision-making**",
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- "text": "### Chapter 13 Conclusion: Some Personal Thoughts and Opinions\n\nThis tutorial is just the entry point to a technology that is entering the *Slope of Enlightenment* in the Gartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the Semantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US corporations the excitement around Machine Learning seemed for a while to eclipse serious interest in OWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology companies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started to embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is finally realizing that machine learning and knowledge graphs are complimentary not competitive technologies.\n\nThe term knowledge graph itself can be used in different ways. The best definition I’ve heard is that an\n\nontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology combined with data (A-Box). Although in the corporate world I often hear people simply talk about knowledge graphs without much interest in the distinction between the vocabulary and the data.\n\nThere are a number of vendors emerging who are using the technology in very productive ways and are providing the foundation for federated knowledge graphs that can scale to hundreds of millions of triples or more and provide a framework for all corporate data. I’ve listed several in the bibliography but those\n\nare only the ones I’ve had some experience with. I’m sure there are many others. One of the products I’ve\n\nhad the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz Inc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the commercial version. I’ve found the Allegro triplestore easy to use on a Windows PC with the Docker tool to emulate a Linux server.\n\nI first started working with classification-based languages when I worked at the Information Sciences Institute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US Department of Defense and their contractors. Since then, I’ve followed the progress of the technology, especially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great promise in the technology. When I first discovered Protégé it was a great experience. It is one of the best supported and most usable free tools I’ve ever seen, and it always surprised me that there weren’t more corporate users leveraging it in major ways. I think we are finally starting to see this happen and I hope this tutorial helps in a small way to accelerate the adoption of this powerful and robust tool.",
- "page_start": 88,
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- "text": "### Chapter 14 Bibliography\n\nRather than a standard bibliography, this section is divided into various categories based on resources that will be valuable for future exploration of the technologies and methods described in this tutorial.\n\n14.1 W3C Documents OWL 2 Primer: [https://www.w3.org/TR/owl2-primer/ ](https://www.w3.org/TR/owl2-primer/)\n\nOWL 2 Specification: https://www.w3.org/TR/owl2-overview/\n\nSemantic Web Primer for Object-Oriented Software Developers: [https://www.w3.org/TR/sw-oosd-](https://www.w3.org/TR/sw-oosd-primer/) [primer/ ](https://www.w3.org/TR/sw-oosd-primer/)\n\nSPARQL Specification: [https://www.w3.org/TR/sparql11-query/ ](https://www.w3.org/TR/sparql11-query/)\n\nSWRL Specification and Built-ins: [https://www.w3.org/Submission/SWRL/ ](https://www.w3.org/Submission/SWRL/)\n\n14.2 Web Sites, Tools, And Presentations. Agile Alliance: [https://www.agilealliance.org/agile101/](https://www.agilealliance.org/agile101/)\n\nCellfie: [https://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial ](https://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial)\n\nGartner Hype Cycle: [https://www.gartner.com/en/research/methodologies/gartner-hype-cycle](https://www.gartner.com/en/research/methodologies/gartner-hype-cycle)\n\nJena: Open Source Java Framework for Semantic Web and Linked Data Applications: [https://jena.apache.org/](https://jena.apache.org/)\n\nOpen World Assumption (OWA) presentation by Nick Drummond and Rob Shearer: [http://www.cs.man.ac.uk/~drummond/presentations/OWA.pdf](http://www.cs.man.ac.uk/~drummond/presentations/OWA.pdf)\n\nProtégé: [https://protege.stanford.edu/](https://protege.stanford.edu/)\n\nProtégé Best Practices. Summary page on my blog for all my articles on Protégé, OWL, SWRL, etc.: [https://www.michaeldebellis.com/post/best-practices-for-new-protege-users](https://www.michaeldebellis.com/post/best-practices-for-new-protege-users)\n\nSHACL Playground: [https://shacl.org/playground/](https://shacl.org/playground/)\n\nSWRL Presentation by Martin O’Connor: [https://protege.stanford.edu/conference/2009/slides/SWRL2009ProtegeConference.pdf](https://protege.stanford.edu/conference/2009/slides/SWRL2009ProtegeConference.pdf)\n\nWebProtégé: [https://webprotege.stanford.edu/](https://webprotege.stanford.edu/)\n\nWebVOWL: Web-based Visualization of Ontologies: [http://vowl.visualdataweb.org/webvowl.html](http://vowl.visualdataweb.org/webvowl.html)\n\n14.3 Papers Berners-Lee (2001). The Semantic Web: A new form of Web content that is meaningful to computers will unleash a revolution of new possibilities. With James Hendler and Ora Lassila. Scientific American, May 17, 2001. [https://tinyurl.com/BernersLeeSemanticWeb](https://tinyurl.com/BernersLeeSemanticWeb)\n\nMacGregor, Robert (1991). \"Using a description classifier to enhance knowledge representation\". IEEE Expert. 6 (3): 41- 46. doi:10.1109/64.87683 [https://tinyurl.com/MacGregorLoom](https://tinyurl.com/MacGregorLoom)",
- "page_start": 89,
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- "text": "next section. Which option you choose for your ontology will depend on the specific requirements you have as well as the standards established by your organization or organizations that you work with.\n\nFinally, another name related concept you should be aware of is the concept of a namespace. If you have worked with most modern programming languages such as Python or Java, you are already familiar with the concept of a namespace. The concept is identical in OWL. A namespace is used to avoid naming conflicts between different ontologies. For example, you may have a class called Network in an ontology\n\nabout telecommunications. You might also have a class called Network in an ontology about graph\n\ntheory. The two concepts are related but are different. Just as with programming languages you use namespace prefixes to determine what specific namespace a name refers to. E.g., in this example you might have the prefix tc for the Telecom ontology and gt for the Graph Theory ontology. Thus, when\n\nyou referred to the Network class for the Telecom ontology you would use tc:Network and\n\ngt:Network for the graph theory class.\n\nNote that you already have some experience with other namespaces. The OWL namespace prefix is owl\n\nand is used to refer to classes such as owl:Thing and owl:Nothing . The Resource Description\n\nFramework Schema (RDFS) is a model that OWL is built on top of and thus some properties that ontologies use such as rdfs:label leverage this namespace.\n\nIn the bottom view of the Active ontology tab there is a tab called Ontology Prefixes. This tab shows all the current namespace mappings in your ontology. There are certain concepts from OWL, RDF, RDFS, XML and XSD that are required for every ontology, so those namespaces are by default mapped in every new Protégé ontology. There is also a mapping to the empty string for whatever the namespace is for your ontology. This allows you to display and refer to entities in your ontology without entering a namespace prefix. If you look at that tab now you should see a row where the first column is blank, and the second column has the base IRI for your ontology. It should be the same IRI as the Ontology IRI at the top of the Active ontology tab, except it also has a # sign at the end. E.g., the Pizza tutorial developed for this tutorial has an IRI of: [http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial](http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial) and the row that has a blank first column in Ontology Prefixes has the IRI: [http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial#](http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial) .",
- "page_start": 61,
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- "text": "Castaño, Arnaldo Pérez (23 May 2018). *Practical Artificial Intelligence: Machine Learning,*\n\n*Bots, and Agent Solutions Using C#* [. Apress. p. 2. ISBN 978-1-4842-3357-3.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-4842-3357-3)\n\nChakrabarti, Kisor Kumar (June 1976). \"Some Comparisons Between Frege's Logic and\n\nNavya-Nyaya Logic\". *Philosophy and Phenomenological Research* . **36** (4): 554- 563.\n\n[doi:10.2307/2106873 (https://doi.org/10.2307%2F2106873). JSTOR 2106873 (https://www.j](https://www.jstor.org/stable/2106873)\n\n[stor.org/stable/2106873).](https://www.jstor.org/stable/2106873)\n\nChatfield, Tom (2017). *Critical Thinking: Your Guide to Effective Argument, Successful*\n\n*Analysis and Independent Study* [. Sage. p. 194. ISBN 978-1-5264-1877-7.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-5264-1877-7)\n\n[Chua, Eugene (2017). \"An Empirical Route to Logical 'Conventionalism' \" (https://philpapers.](https://philpapers.org/rec/CHUAER)\n\n[org/rec/CHUAER). ](https://philpapers.org/rec/CHUAER) *Logic, Rationality, and Interaction* . Lecture Notes in Computer Science.\n\n[Vol. 10455. pp. 631- 636. doi:10.1007/978-3-662-55665-8_43 (https://doi.org/10.1007%2F9](https://doi.org/10.1007%2F978-3-662-55665-8_43)\n\n[78-3-662-55665-8_43). ISBN 978-3-662-55664-1.](https://en.wikipedia.org/wiki/Special:BookSources/978-3-662-55664-1)\n\n[Clocksin, William F.; Mellish, Christopher S. (2003). \"The Relation of Prolog to Logic\" (http](https://link.springer.com/chapter/10.1007/978-3-642-55481-0_10)\n\n[s://link.springer.com/chapter/10.1007/978-3-642-55481-0_10). ](https://link.springer.com/chapter/10.1007/978-3-642-55481-0_10) *Programming in Prolog:*\n\n*Using the ISO Standard* [. Springer. pp. 237- 257. doi:10.1007/978-3-642-55481-0_10 (http](https://doi.org/10.1007%2F978-3-642-55481-0_10)\n\n[s://doi.org/10.1007%2F978-3-642-55481-0_10). ISBN 978-3-642-55481-0.](https://en.wikipedia.org/wiki/Special:BookSources/978-3-642-55481-0)\n\nCook, Roy T. (2009). *Dictionary of Philosophical Logic* . Edinburgh University Press. p. 124.\n\n[ISBN 978-0-7486-3197-1.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-7486-3197-1)\n\n[Copi, Irving M.; Cohen, Carl; Rodych, Victor (2019). ](https://en.wikipedia.org/wiki/Irving_Copi) *Introduction to Logic* . Routledge.\n\n[ISBN 978-1-351-38697-5.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-351-38697-5)\n\nCorkum, Philip (2015). \"Generality and Logical Constancy\". *Revista Portuguesa de*\n\n*Filosofia* . **71** [ (4): 753- 767. doi:10.17990/rpf/2015_71_4_0753 (https://doi.org/10.17990%2Fr](https://doi.org/10.17990%2Frpf%2F2015_71_4_0753)\n\n[pf%2F2015_71_4_0753). ISSN 0870-5283 (https://search.worldcat.org/issn/0870-5283).](https://search.worldcat.org/issn/0870-5283)\n\n[JSTOR 43744657 (https://www.jstor.org/stable/43744657).](https://www.jstor.org/stable/43744657)\n\n[Craig, Edward (1996). ](https://en.wikipedia.org/wiki/Edward_Craig_(philosopher)) *Routledge Encyclopedia of Philosophy* [ (https://philpapers.org/rec/BE](https://philpapers.org/rec/BEAREO)\n\n[AREO). Routledge. ISBN 978-0-415-07310-3. Archived (https://web.archive.org/web/202101](https://web.archive.org/web/20210116111145/https://philpapers.org/rec/BEAREO)\n\n[16111145/https://philpapers.org/rec/BEAREO) from the original on 16 January 2021.](https://web.archive.org/web/20210116111145/https://philpapers.org/rec/BEAREO)\n\nRetrieved 29 December 2021.\n\nCummings, Louise (2010). \"Abduction\". *The Routledge Pragmatics Encyclopedia* .\n\n[Routledge. p. 1. ISBN 978-1-135-21457-9.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-135-21457-9)\n\n[Cunningham, Daniel. \"Set Theory\" (https://iep.utm.edu/set-theo/). ](https://iep.utm.edu/set-theo/) *Internet Encyclopedia of*\n\n*Philosophy* . Retrieved 23 September 2022.\n\nD'Agostino, Marcello; Floridi, Luciano (2009). \"The Enduring Scandal of Deduction: Is\n\nPropositional Logic Really Uninformative?\". *Synthese* . **167** (2): 271- 315.\n\n[doi:10.1007/s11229-008-9409-4 (https://doi.org/10.1007%2Fs11229-008-9409-4).](https://doi.org/10.1007%2Fs11229-008-9409-4)\n\n[hdl:2299/2995 (https://hdl.handle.net/2299%2F2995). ISSN 0039-7857 (https://search.world](https://search.worldcat.org/issn/0039-7857)\n\n[cat.org/issn/0039-7857). JSTOR 40271192 (https://www.jstor.org/stable/40271192).](https://www.jstor.org/stable/40271192)\n\n[S2CID 9602882 (https://api.semanticscholar.org/CorpusID:9602882).](https://api.semanticscholar.org/CorpusID:9602882)\n\nDaintith, John; Wright, Edmund (2008). *A Dictionary of Computing* [. OUP. ISBN 978-0-19-](https://en.wikipedia.org/wiki/Special:BookSources/978-0-19-923400-4)\n\n[923400-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-19-923400-4)\n\n[van Dalen, Dirk (1994). ](https://en.wikipedia.org/wiki/Dirk_van_Dalen) *Logic and Structure* [. Springer. Chapter 1.5. ISBN 978-0-387-57839-](https://en.wikipedia.org/wiki/Special:BookSources/978-0-387-57839-2)\n\n[2.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-387-57839-2)\n\n[Dasti, Matthew R. \"Nyaya\" (https://iep.utm.edu/nyaya/). ](https://iep.utm.edu/nyaya/) *Internet Encyclopedia of*\n\n*Philosophy* . Retrieved 12 March 2023.\n\nDick, Anthony S.; Müller, Ulrich (2017). *Advancing Developmental Science: Philosophy,*\n\n*Theory, and Method* [. Taylor & Francis. p. 157. ISBN 978-1-351-70456-4.](https://en.wikipedia.org/wiki/Special:BookSources/978-1-351-70456-4)\n\n[Douven, Igor (2021). \"Abduction\" (https://plato.stanford.edu/entries/abduction/). ](https://plato.stanford.edu/entries/abduction/) *The*\n\n*Stanford Encyclopedia of Philosophy* . Metaphysics Research Lab, Stanford University.\n\n[Archived (https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/ab](https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/abduction/)\n\n[duction/) from the original on 7 September 2021. Retrieved 24 August 2021.](https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/abduction/)",
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- "text": "2\n\nContents\n\nChapter 1 Introduction .................................................................................................................................. 4\n\n1.1 Licensing ............................................................................................................................................. 4\n\n1.2 Conventions ........................................................................................................................................ 4\n\nChapter 2 Requirements and the Protégé User Interface .............................................................................. 6\n\nChapter 3 What are OWL Ontologies? ......................................................................................................... 6\n\n3.1 Components of OWL Ontologies ....................................................................................................... 6\n\n3.1.1 Individuals ........................................................................................................................................ 7\n\n3.1.2 Properties ......................................................................................................................................... 8\n\n3.1.3 Classes .............................................................................................................................................. 8\n\nChapter 4 Building an OWL Ontology ....................................................................................................... 10\n\n4.1 Named Classes .................................................................................................................................. 13\n\n4.2 Using a Reasoner .............................................................................................................................. 15\n\n4.4 Using Create Class Hierarchy ........................................................................................................... 17\n\n4.5 Create a PizzaTopping Hierarchy ..................................................................................................... 19\n\n4.6 OWL Properties ................................................................................................................................ 22\n\n4.7 Inverse Properties .............................................................................................................................. 23\n\n4.8 OWL Object Property Characteristics .............................................................................................. 24\n\n4.8.1 Functional Properties ................................................................................................................. 24\n\n4.8.2 Inverse Functional Properties ..................................................................................................... 25\n\n4.8.3 Transitive Properties .................................................................................................................. 25\n\n4.8.4 Symmetric and Asymmetric Properties ..................................................................................... 25\n\n4.8.5 Reflexive and Irreflexive Properties .......................................................................................... 26\n\n4.8.6 Reasoners Automatically Enforce Property Characteristics ...................................................... 26\n\n4.9 OWL Property Domains and Ranges ................................................................................................ 26\n\n4.10 Describing and Defining Classes .................................................................................................... 29\n\n4.10.1 Property restrictions ................................................................................................................. 29\n\n4.10.2 Existential Restrictions ............................................................................................................ 31\n\n4.10.3 Creating Subclasses of Pizza .................................................................................................... 33\n\n4.10.4 Detecting a Class that can’t Have Members ............................................................................ 37\n\n4.11 Primitive and Defined Classes (Necessary and Sufficient Axioms) ............................................... 38\n\n4.12 Universal Restrictions ..................................................................................................................... 41\n\n4.13 Automated Classification and Open World Reasoning .................................................................. 42",
- "page_start": 2,
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- "source_file": "Protege5NewOWLPizzaTutorialV3.pdf"
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- "text": "[48] N. Papernot, P. McDaniel, I. Goodfellow, S. Jha, Z. B. Celik, and A. Swami, “Practical black-box attacks against machine learning,” in *Proceedings of the 2017 ACM on Asia conference on computer and communications security* , 2017.\n\n[49] N. Papernot, P. McDaniel, S. Jha, M. Fredrikson, Z. B. Celik, and A. Swami, “The limitations of deep learning in adversarial settings,” in *IEEE European symposium on security and privacy (EuroS&P)* , 2016.\n\n[50] F. Perez and I. Ribeiro, “Ignore previous prompt: Attack techniques for language models,” in *NeurIPS ML Safety* *Workshop* , 2022.\n\n[51] A. Radford, J. Wu, R. Child, D. Luan, D. Amodei, and I. Sutskever, “Language models are unsupervised [multitask learners,” https://cdn.openai.com/better-language-models/language models are unsupervised multitask](https://cdn.openai.com/better-language-models/language_models_are_unsupervised_multitask_learners.pdf) [learners.pdf, 2019.](https://cdn.openai.com/better-language-models/language_models_are_unsupervised_multitask_learners.pdf)\n\n[52] C. Riquelme, J. Puigcerver, B. Mustafa, M. Neumann, R. Jenatton, A. Susano Pinto, D. Keysers, and N. Houlsby, “Scaling vision with sparse mixture of experts,” *Advances in Neural Information Processing Systems (NeurIPS)* , 2021.\n\n[53] M. <sup>ˇ</sup> Sakota, M. Peyrard, and R. West, “Fly-swat or cannon? cost-effective language model choice via meta-modeling,” in *Proceedings of the 17th ACM International Conference on Web Search and Data Mining* , 2024.\n\n[54] S. Schulhoff, J. Pinto, A. Khan, L.-F. Bouchard, C. Si, S. Anati, V. Tagliabue, A. Kost, C. Carnahan, and J. Boyd- Graber, “Ignore this title and HackAPrompt: Exposing systemic vulnerabilities of LLMs through a global prompt hacking competition,” in *EMNLP* , 2023.\n\n[55] A. Shafran, R. Schuster, and V. Shmatikov, “Machine against the RAG: Jamming retrieval-augmented generation with blocker documents,” *arXiv preprint arXiv:2406.05870* , 2024.\n\n[56] N. Shazeer, A. Mirhoseini, K. Maziarz, A. Davis, Q. Le, G. Hinton, and J. Dean, “Outrageously large neural net- works: The sparsely-gated mixture-of-experts layer,” in *International Conference on Learning Representations* , 2016.\n\n[57] T. Shnitzer, A. Ou, M. Silva, K. Soule, Y. Sun, J. Solomon, N. Thompson, and M. Yurochkin, “Large language model routing with benchmark datasets,” *arXiv preprint arXiv:2309.15789* , 2023.\n\n[58] K. Srivatsa, K. K. Maurya, and E. Kochmar, “Harnessing the power of multiple minds: Lessons learned from LLM routing,” *arXiv preprint arXiv:2405.00467* , 2024.\n\n[59] D. Stripelis, Z. Hu, J. Zhang, Z. Xu, A. Shah, H. Jin, Y. Yao, S. Avestimehr, and C. He, “Tensoropera router: A multi-model router for efficient LLM inference,” *arXiv preprint arXiv:2408.12320* , 2024.\n\n[60] C. Szegedy, W. Zaremba, I. Sutskever, J. Bruna, D. Erhan, I. Goodfellow, and R. Fergus, “Intriguing properties of neural networks,” *arXiv preprint arXiv:1312.6199* , 2013.\n\n[61] G. Team, R. Anil, S. Borgeaud, J.-B. Alayrac, J. Yu, R. Soricut, J. Schalkwyk, A. M. Dai, A. Hauth, K. Millican *et al.* , “Gemini: a family of highly capable multimodal models,” *arXiv preprint arXiv:2312.11805* , 2023.\n\n[62] Teknium, “Openhermes 2.5: An open dataset of synthetic data for generalist LLM assistants,” 2023. [Online]. [Available: https://huggingface.co./datasets/teknium/OpenHermes-2.5](https://huggingface.co./datasets/teknium/OpenHermes-2.5)\n\n[63] H. Touvron, L. Martin, K. Stone, P. Albert, A. Almahairi, Y. Babaei, N. Bashlykov, S. Batra, P. Bhargava, S. Bhosale *et al.* , “Llama 2: Open foundation and fine-tuned chat models,” *arXiv preprint arXiv:2307.09288* , 2023.\n\n[64] S. Toyer, O. Watkins, E. A. Mendes, J. Svegliato, L. Bailey, T. Wang, I. Ong, K. Elmaaroufi, P. Abbeel, T. Darrell *et al.* , “Tensor Trust: Interpretable prompt injection attacks from an online game,” in *International Conference on* *Learning Representations (ICLR)* , 2023.\n\n[65] F. Tram`er, F. Zhang, A. Juels, M. K. Reiter, and T. Ristenpart, “Stealing machine learning models via prediction APIs,” in *USENIX Security Symposium* , 2016.\n\n[66] A. Wei, N. Haghtalab, and J. Steinhardt, “Jailbroken: How does LLM safety training fail?” in *Advances in Neural* *Information Processing Systems (NeurIPS)* , 2023.\n\n[67] I. Yona, I. Shumailov, J. Hayes, and N. Carlini, “Stealing user prompts from mixture of experts,” *arXiv preprint* *arXiv:2410.22884* , 2024.\n\n[68] M. Yue, J. Zhao, M. Zhang, L. Du, and Z. Yao, “Large language model cascades with mixture of thought represen- tations for cost-efficient reasoning,” in *International Conference on Learning Representations (ICLR)* , 2024.\n\n[69] C. Zhang, T. Zhang, and V. Shmatikov, “Controlled generation of natural adversarial documents for stealthy retrieval poisoning,” *arXiv preprint arXiv:2410.02163* , 2024.\n\n[70] Y. Zhang, N. Carlini, and D. Ippolito, “Effective prompt extraction from language models,” in *First Conference on* *Language Modeling* , 2024.\n\n21",
- "page_start": 20,
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- "text": "To understand what is going on you first need to understand that each SPARQL query consists of two parts. The first part at the beginning consists of several namespace prefixes. These statements consist of the prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that these concepts were described in chapter 7. You may be wondering where all these prefixes came from\n\nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of\n\nnamespaces and prefixes that are required to define the ontology.\n\nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been discussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any language or database there is a lower level that describes how the concepts are mapped to actual data. In a relational database the fundamental construct to represent data is a table. In OWL the fundamental construct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF (Resource Description Framework) is a language to describe graphs (in the mathematical sense of the term). I.e., to describe nodes and links.\n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in what is called an undirected or network graph because objects can be subjects and vice versa. Whenever you define a property in OWL you are defining a predicate. An individual can be a subject or an object (or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1 . In this example\n\nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object.\n\nHowever, classes and properties themselves are also represented as triples. So for example, when you create the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to\n\nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class . Similarly when you add\n\nNamedPizza as a subclass of Pizza , Protégé adds the triple: NamedPizza rdfs: **s** ubClassOf\n\nPizza .\n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities that are the subjects of triples where the predicate is rdfs: **s** ubClassOf and the object is any other\n\nentity. The *?* before a name indicates that the name is a wildcard that can match anything that fits with the rest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate or even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this case our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the name of a class while in others it is a class expression with an orange circle in front of it. This is because when defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL axioms.\n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query determines what to match in the query. If you want to display everything matched in the WHERE clause you can just use a * for the SELECT clause. The initial default query in this tab is set up with no knowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes regardless of the ontology. To get information about Pizzas the first thing we need to do is to add\n\nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a mapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab discussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement:\n\nPREFIX pizza: < [http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial#>](http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial)\n\nWe are almost ready to query the actual ontology. For our first query let’s find all the Pizzas purchased by a Customer. The SPARQL code for this is:",
- "page_start": 68,
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- "source_file": "Protege5NewOWLPizzaTutorialV3.pdf"
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- "text": "[49. Computational learning theory: Russell & Norvig (2021, pp. 672- 674), Jordan & Mitchell](https://en.wikipedia.org/wiki/Computational_learning_theory)\n\n(2015)\n\n[50. Natural language processing (NLP): Russell & Norvig (2021, chpt. 23- 24), Poole,](https://en.wikipedia.org/wiki/Natural_language_processing)\n\nMackworth & Goebel (1998, pp. 91- 104), Luger & Stubblefield (2004, pp. 591- 632)\n\n[51. Subproblems of NLP: Russell & Norvig (2021, pp. 849- 850)](https://en.wikipedia.org/wiki/Natural_language_processing)\n\n52. Russell & Norvig (2021), pp. 856- 858.\n\n53. Dickson (2022).\n\n[54. Modern statistical and deep learning approaches to NLP: Russell & Norvig (2021, chpt. 24),](https://en.wikipedia.org/wiki/Natural_language_processing)\n\nCambria & White (2014)\n\n55. Vincent (2019).\n\n56. Russell & Norvig (2021), pp. 875- 878.\n\n57. Bushwick (2023).\n\n[58. Computer vision: Russell & Norvig (2021, chpt. 25), Nilsson (1998, chpt. 6)](https://en.wikipedia.org/wiki/Computer_vision)\n\n59. Russell & Norvig (2021), pp. 849- 850.\n\n60. Russell & Norvig (2021), pp. 895- 899.\n\n61. Russell & Norvig (2021), pp. 899- 901.\n\n62. Challa et al. (2011).\n\n63. Russell & Norvig (2021), pp. 931- 938.\n\n64. MIT AIL (2014).\n\n[65. Affective computing: Thro (1993), Edelson (1991), Tao & Tan (2005), Scassellati (2002)](https://en.wikipedia.org/wiki/Affective_computing)\n\n66. Waddell (2018).\n\n67. Poria et al. (2017).\n\n[68. Search algorithms: Russell & Norvig (2021, chpts. 3- 5), Poole, Mackworth & Goebel (1998,](https://en.wikipedia.org/wiki/Search_algorithm)\n\npp. 113- 163), Luger & Stubblefield (2004, pp. 79- 164, 193- 219), Nilsson (1998, chpts. 7-\n\n12)\n\n[69. State space search: Russell & Norvig (2021, chpt. 3)](https://en.wikipedia.org/wiki/State_space_search)\n\n70. Russell & Norvig (2021), sect. 11.2.\n\n[71. Uninformed searches (breadth first search, depth-first search and general state space](https://en.wikipedia.org/wiki/State_space_search)\n\n[search): Russell & Norvig (2021, sect. 3.4), Poole, Mackworth & Goebel (1998, pp. 113- ](https://en.wikipedia.org/wiki/State_space_search)\n\n132), Luger & Stubblefield (2004, pp. 79- 121), Nilsson (1998, chpt. 8)\n\n[72. Heuristic or informed searches (e.g., greedy best first and A*): Russell & Norvig (2021, sect.](https://en.wikipedia.org/wiki/A*_search_algorithm)\n\n3.5), Poole, Mackworth & Goebel (1998, pp. 132- 147), Poole & Mackworth (2017, sect.\n\n3.6), Luger & Stubblefield (2004, pp. 133- 150)\n\n[73. Adversarial search: Russell & Norvig (2021, chpt. 5)](https://en.wikipedia.org/wiki/Adversarial_search)\n\n[74. Local or \"optimization\" search: Russell & Norvig (2021, chpt. 4)](https://en.wikipedia.org/wiki/Optimization)\n\n[75. Singh Chauhan, Nagesh (18 December 2020). \"Optimization Algorithms in Neural](https://www.kdnuggets.com/optimization-algorithms-in-neural-networks)\n\n[Networks\" (https://www.kdnuggets.com/optimization-algorithms-in-neural-networks).](https://www.kdnuggets.com/optimization-algorithms-in-neural-networks)\n\n*KDnuggets* . Retrieved 13 January 2024.\n\n[76. Evolutionary computation: Russell & Norvig (2021, sect. 4.1.2)](https://en.wikipedia.org/wiki/Evolutionary_computation)\n\n77. Merkle & Middendorf (2013).\n\n[78. Logic: Russell & Norvig (2021, chpts. 6- 9), Luger & Stubblefield (2004, pp. 35- 77), Nilsson](https://en.wikipedia.org/wiki/Logic)\n\n(1998, chpt. 13- 16)\n\n[79. Propositional logic: Russell & Norvig (2021, chpt. 6), Luger & Stubblefield (2004, pp. 45- 50),](https://en.wikipedia.org/wiki/Propositional_logic)\n\nNilsson (1998, chpt. 13)\n\n[80. First-order logic and features such as equality: Russell & Norvig (2021, chpt. 7), Poole,](https://en.wikipedia.org/wiki/Equality_(mathematics))\n\nMackworth & Goebel (1998, pp. 268- 275), Luger & Stubblefield (2004, pp. 50- 62), Nilsson\n\n(1998, chpt. 15)\n\n[81. Logical inference: Russell & Norvig (2021, chpt. 10)](https://en.wikipedia.org/wiki/Logical_inference)",
- "page_start": 32,
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- "references": {
- "source_file": "infographic5.pdf",
- "query": "Is Text2Onto still updated nowadays?",
- "target_page": 1,
- "target_passage": "But it is not maintained since 2011.",
- "chunk_present": {
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- "text": "annual report 2002",
- "page_start": 0,
- "page_end": 0,
- "source_file": "NASDAQ_FFIN_2002.pdf"
- },
- {
- "text": "Portal Version 4.3 - User Manual\n\nV1.0\n\nOctober 2019",
- "page_start": 0,
- "page_end": 0,
- "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf"
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- {
- "text": "**2013 Annual Report**\n\ncontinued",
- "page_start": 0,
- "page_end": 0,
- "source_file": "ASX_KCN_2013.pdf"
- },
- {
- "text": "Operations Report\n\n**15**\n\nOperations Report\n\ncontinued",
- "page_start": 16,
- "page_end": 16,
- "source_file": "ASX_KCN_2013.pdf"
- },
- {
- "text": "### *Towards a*\n\nApril 2024\n\n## * **Books Data** * * **Commons for** * * **AI Training** *",
- "page_start": 0,
- "page_end": 0,
- "source_file": "creative_common_ai.pdf"
- },
- {
- "text": "2004 Annual Report\n\nYear Ended March 31, 2005",
- "page_start": 0,
- "page_end": 0,
- "source_file": "OTC_NSANY_2004.pdf"
- },
- {
- "text": "### N OT E S\n\n66",
- "page_start": 69,
- "page_end": 69,
- "source_file": "ASX_MRM_2000.pdf"
- },
- {
- "text": "http://www.legislation.gov.uk/id/uksi/2021/582",
- "page_start": 91,
- "page_end": 91,
- "source_file": "uksi_20210582_en.pdf"
- },
- {
- "text": "## Financial Information",
- "page_start": 55,
- "page_end": 55,
- "source_file": "ASX_SEA_2014.pdf"
- },
- {
- "text": "###### Financial Information",
- "page_start": 31,
- "page_end": 31,
- "source_file": "NYSE_HIG_2001.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "NYSE_RCI_2013.pdf",
- "query": "What was the proportion of revenue generated by wireless telecommunications operations in 2009?",
- "target_page": 91,
- "target_passage": "6,685",
- "chunk_present": {
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- "text": "####### **REVENUE**\n\n($ IN BILLIONS)\n\n2011 **7.1**\n\n2012 **7.3**\n\n**2013 7.3**\n\n####### **REVENUE**\n\n($ IN BILLIONS)\n\n2011 **1.61**\n\n2012 **1.62**\n\n**2013 1.70**\n\n####### **REVENUE**\n\n($ IN BILLIONS)\n\n**BUSINESS SOLUTIONS / CABLE**\n\n2011\n\n2012\n\n**2013**\n\n**3.3**\n\n**3.4**\n\n**3.5**\n\n2011 **12.3**\n\n####### **REVENUE**\n\n($ IN BILLIONS)\n\n2012 **12.5**\n\n**2013 12.7**\n\n####### **ADJUSTED OPERATING PROFIT**\n\n($ IN BILLIONS)\n\n2011 **3.0**\n\n2012 **3.1**\n\n**2013 3.2**\n\n####### **ADJUSTED OPERATING PROFIT**\n\n($ IN BILLIONS)\n\n2011 **0.18**\n\n2012 **0.19**\n\n**2013 0.16**\n\n**BUSINESS SOLUTIONS / CABLE**\n\n2011\n\n2012\n\n**2013**\n\n####### **ADJUSTED OPERATING PROFIT**\n\n($ IN BILLIONS)\n\n**1.5**\n\n**1.6**\n\n**1.7**\n\n####### **ADJUSTED OPERATING PROFIT**\n\n($ IN BILLIONS)\n\n2011 **4.7**\n\n2012 **4.8**\n\n**2013 5.0**\n\n## **2013 REVENUE**\n\n$12.7 billion\n\n## **2013 REVENUE**\n\n$7.3 billion\n\n## **2013 REVENUE**\n\n$1.7 billion\n\n## **2013 REVENUE**\n\n$3.8 billion\n\n$12.7 BILLION\n\nWIRELESS **57%**\n\nCABLE **27%**\n\nMEDIA **13%**\n\nBUSINESS SOLUTIONS **3%**\n\n$7.3 BILLION\n\nTELEVISION **42%**\n\nPUBLISHING **14%**\n\nRADIO **13%**\n\nTHE SHOPPING CHANNEL **17%**\n\nSPORTS ENTERTAINMENT **14%**\n\nINTERNET **30%**\n\nPHONE **13%**\n\nBUSINESS SOLUTIONS **10%**\n\nDATA **44%**\n\nEQUIPMENT **7%**\n\nPREPAID VOICE **3%**\n\nPOSTPAID VOICE **46%**\n\nTELEVISION **47%**\n\n$3.8 BILLION\n\n0.09\n\n0.09\n\n0.11 0.37\n\n0.35\n\n0.41\n\n$1.7 BILLION",
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- "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n\nNetwork revenue was higher this year compared to last year. This was\n\nthe net effect of:\n\n- higher data revenue related to an increase in subscriber levels and\n\nhigher usage of wireless data services\n\n- partially offset by our introduction of new lower priced US and\n\ninternational roaming plans and rates which offer consumers more\n\nvalue, and\n\n- the continued adoption of customer friendly simplified plans, which\n\noften bundle in certain features like voicemail, caller ID and long\n\ndistance that we have charged for separately in the past.\n\nExcluding the decline in US and international roaming revenue this year,\n\nnetwork revenue would have increased 1%.\n\nData revenue was 17% higher this year mainly because of the\n\ncontinued penetration and growing use of smartphones, tablet devices\n\nand wireless laptops, which increased the use of e-mail, wireless,\n\nInternet access, text messaging and other wireless data services. Data\n\nrevenue represented approximately 47% of total network revenue this\n\nyear, compared to approximately 41% last year.\n\nPostpaid churn was 1.24% this year, compared to 1.29% in 2012. The\n\nlower churn rate is partly attributable to the new simplified plans and\n\nthe roaming plans we introduced.\n\nGross postpaid subscriber additions were 1.4 million this year, or 3%\n\nlower than last year, which reduced net postpaid subscriber additions to\n\n228,000, despite a lower postpaid churn. We believe the industry\n\ntransition from three year to two year plans resulting from the recent\n\nadoption of the Canadian Radio-television and Telecommunications\n\nCommission (CRTC) Wireless Code may have slowed our overall\n\nwireless subscriber growth from the second half of the year. See\n\n“Regulation in Our Industry” for more information on the Wireless\n\nCode.\n\nWe activated and upgraded approximately 2.7 million smartphones this\n\nyear, compared to approximately 2.9 million in 2012. Approximately\n\n34% of these were for new subscribers. The decrease was mainly\n\nbecause there was a 10% reduction in hardware upgrades by existing\n\nsubscribers during the year, which we also believe is at least partly due\n\nto the move from three to two year contracts and the associated pricing\n\nchanges.\n\nThe percentage of subscribers with smartphones increased to 75% of\n\nour overall postpaid subscriber base, compared to 69% at the end of\n\n2012. Smartphone subscribers typically generate significantly higher\n\nARPU and are less likely to churn.\n\n(%)\n\n**SMARTPHONES AS A PERCENTAGE OF POSTPAID SUBSCRIBERS**\n\n**2013**\n\n2012\n\n2011\n\n**75%**\n\n69%\n\n56%\n\nThe decrease in prepaid subscriber net additions was mainly because of\n\nincreasing competition at the lower end of the wireless market where\n\nprepaid products are mainly sold.\n\nBlended ARPU was down slightly this year compared to last year because\n\nthe voice component declined at a faster rate than the data component\n\nincreased.\n\n(IN MILLIONS OF DOLLARS)\n\n**WIRELESS DATA REVENUE**\n\n**2013**\n\n2012\n\n2011\n\n**$3,175**\n\n$2,722\n\n$2,325\n\n(%)\n\n**DATA REVENUE PERCENT OF BLENDED ARPU**\n\n**2013**\n\n2012\n\n2011\n\n**47%**\n\n41%\n\n35%\n\n*Lower Equipment Sales*\n\nEquipment sales (net of subsidies) include revenue from sales to:\n\n- independent dealers, agents and retailers\n\n- directly to subscribers through fulfillment by Wireless’ customer\n\nservice groups, websites, telesales and corporate stores.\n\nRevenue from equipment sales was lower this year, mainly because\n\nfewer existing subscribers upgraded their devices and there were fewer\n\ngross activations.\n\n####### **Lower Operating Expenses**\n\nWe assess operating expenses in two categories:\n\n- the cost of wireless handsets and equipment\n\n- all other expenses involved in day-to-day operations, to service\n\nexisting subscriber relationships and attract new subscribers.\n\nThe cost of equipment was $50 million lower than last year, or 3%,\n\nmainly because fewer existing subscribers upgraded hardware and\n\nfewer new customers were added during the year as discussed above.\n\nWe activated and upgraded fewer devices compared to 2012.\n\nTotal customer retention spending (including subsidies on handset\n\nupgrades) was $939 million, 0.3% lower than last year. The reduction\n\nwas mainly because fewer existing subscribers upgraded their hardware\n\nas discussed above, which we partially attribute to the recent shift to\n\ntwo year contracts.\n\nOther operating expenses (excluding retention spending), were down\n\nslightly from 2012, due to a continued focus on cost productivity\n\ninitiatives we are implementing across various functions.\n\n####### **Higher Adjusted Operating Profit**\n\nAdjusted operating profit was 3% higher this year compared to last\n\nyear because of continued growth of wireless data, our improvements\n\nin cost management and efficiency and lower volumes of hardware\n\nsales and upgrades. Adjusted operating profit margin as a percentage\n\nof network revenue increased this year to 46.8% from 45.6% in 2012.\n\n(IN MILLIONS OF DOLLARS)\n\n**WIRELESS ADJUSTED OPERATING PROFIT**\n\n**2013**\n\n2012\n\n2011\n\n**$3,157**\n\n$3,063\n\n$3,036\n\n40 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** COMPETITION\n\nWe compete on quality of service, scope of services, network coverage,\n\nsophistication of wireless technology, breadth of distribution, selection\n\nof devices, branding and positioning, and price.\n\n- Wireless technology: we were the first carrier in Canada to launch an\n\nLTE network catering to customers seeking the increased capacity\n\nand speed it provides. We compete with Bell, Telus MTS and Eastlink,\n\nall of whom operate LTE networks and we expect competition to\n\ngrow over time as LTE becomes the prevailing technology in Canada.\n\nWe also compete with these providers and other regional providers\n\nsuch as Wind Mobile, on HSPA and GSM networks and with\n\nproviders that use alternative wireless technologies, like Wi-Fi\n\n“hotspots”.\n\n- Product, branding and pricing: we compete nationally with Bell and\n\nTelus. We also complete with newer entrants, various regional\n\nplayers and resellers.\n\n- Distribution: we compete with other service providers for both\n\ndealers and prime locations for our own stores as well as third party\n\nretail distribution shelf space outlets.\n\n- Wireless networks and handset devices: the parity of wireless devices\n\nacross networks has dramatically transformed the competitive\n\nlandscape, and we expect this to continue and even intensify.\n\nConsolidation among new entrants or with incumbent carriers could\n\nalter the competitive landscape for Wireless regionally or nationally.\n\n- Spectrum: we are currently participating in an auction for 700 MHz\n\nspectrum. Industry Canada has also announced an auction for\n\nadditional 2500 MHz spectrum in 2015 in which we may be\n\nrestricted from participating in the geographic areas where we\n\nalready hold more than 40 MHz of 2500 MHz spectrum. The\n\noutcomes of both of these auctions may increase competition.\n\nWIRELESS FINANCIAL RESULTS\n\n(In millions of dollars, except percentages)\n\nYears ended December 31\n\n**2013** 2012 % Chg\n\nOperating revenue\n\nNetwork revenue **$ 6,748** $ 6,719 -\n\nEquipment sales **522** 561 (7)\n\n**Operating revenue - Wireless 7,270** 7,280 -\n\nOperating expenses\n\nCost of equipment <sup>1</sup> **(1,535)** (1,585) (3)\n\nOther operating expenses **(2,578)** (2,632) (2)\n\n**(4,113)** (4,217) (2)\n\n**Adjusted operating profit - Wireless $ 3,157** $ 3,063 3\n\nAdjusted operating profit margin as\n\n% of network revenue **46.8%** 45.6%\n\nAdditions to property, plant and equipment **$ 865** $ 1,123 (23)\n\nData revenue included in network revenue **$ 3,175** $ 2,722 17\n\nData revenue as % of network revenue **47%** 41%\n\n1 Includes the cost of equipment sales and direct channel subsidies.\n\n(IN MILLIONS OF DOLLARS)\n\n**WIRELESS NETWORK REVENUE**\n\n**2013**\n\n2012\n\n2011\n\n**$6,748**\n\n$6,719\n\n$6,601\n\nWIRELESS SUBSCRIBER RESULTS <sup>1, 2</sup>\n\n(Subscriber statistics in thousands, except ARPU and churn)\n\nYears ended December 31\n\n**2013** 2012 Chg\n\n**Postpaid**\n\nGross additions **1,409** 1,457 (48)\n\nNet additions **228** 268 (40)\n\nTotal postpaid subscribers **8,074** 7,846 228\n\nMonthly churn **1.24%** 1.29% (0.05)pts\n\nMonthly average revenue per user\n\n(ARPU) **$ 67.76** $ 69.30 $ (1.54)\n\n**Prepaid**\n\nGross additions **525** 627 (102)\n\nNet losses **(162)** (170) 8\n\nTotal prepaid subscribers **1,429** 1,591 (162)\n\nMonthly churn **3.85%** 3.98% (0.13)pts\n\nARPU **$ 15.64** $ 15.84 $ (0.20)\n\n**Blended ARPU $ 59.58** $ 59.79 $ (0.21)\n\n1 Does not include subscribers from our wireless home phone product.\n\n2 ARPU, subscriber counts and subscriber churn are key performance indicators. See\n\n“Key Performance Indicators *”* .\n\n(IN THOUSANDS)\n\n**WIRELESS POSTPAID AND PREPAID SUBSCRIBERS**\n\n**2013**\n\n2012\n\n2011\n\n**1,429 8,074**\n\n1,591 7,846\n\n1,761 7,574\n\nPostpaid Prepaid\n\n($)\n\n**WIRELESS POSTPAID MONTHLY ARPU**\n\n**2013**\n\n2012\n\n2011\n\n**$67.76**\n\n$69.30\n\n$70.26\n\n(%)\n\n**WIRELESS POSTPAID MONTHLY CHURN**\n\n**2013**\n\n2012\n\n2011\n\n**1.24%**\n\n1.29%\n\n1.32%\n\n####### **Operating Revenue**\n\nOur operating revenue depends on the size of our subscriber base, the\n\naverage revenue per user and revenue from equipment sales.\n\n*Higher Network Revenue*\n\nNetwork revenue includes revenue derived from voice and data services\n\nfrom postpaid monthly fees, airtime, data usage, long distance charges,\n\noptional service charges, inbound and outbound roaming charges and\n\ncertain fees, as well as prepaid usage for airtime, data and other\n\nancillary charges such as long distance.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 39",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** FOURTH QUARTER 2013 RESULTS\n\n####### **Operating Revenue**\n\nWireless network revenue was lower this quarter compared to the same\n\nperiod last year, mainly because of the recent introduction of lower\n\npriced roaming plans and pricing changes made over the past year\n\nprimarily associated with our new simplified plans.\n\nCable operating revenue was higher this quarter compared to the same\n\nperiod last year, mainly because of Internet growth and the acquisition\n\nof Mountain Cable, partially offset by a decline in television revenue\n\nwith competitive TV subscriber losses.\n\nBusiness Solutions operating revenue was higher this quarter compared\n\nto the same period last year, mainly because we completed the\n\nacquisitions of Blackiron Data and Pivot Data Centres earlier this year,\n\ncombined with the continuing growth in on-net and next-generation\n\nservices.\n\nMedia operating revenue was higher this quarter compared to the same\n\nperiod last year, mainly because of revenue growth at Sportsnet and\n\nhigher sales at The Shopping Channel.\n\n####### **Adjusted Operating Profit**\n\nWireless adjusted operating profit was higher this quarter compared to\n\nthe same period last year, mainly because of cost management and\n\nproductivity initiatives implemented across various areas, including cost\n\nof equipment, offset by reduced network revenue described above.\n\nCable adjusted operating profit was higher this quarter compared to\n\nthe same period last year because of the continued shift in our product\n\nmix towards higher margin Internet and phone products.\n\nMedia’s adjusted operating profit was lower this quarter compared to\n\nthe same period last year. The increase in Media’s operating revenue\n\nthis year was more than offset by the combined impacts of the lower\n\nnumber of games broadcast in the fourth quarter of 2012 resulting\n\nfrom the NHL lockout compared with having to broadcast more NHL\n\nhockey games in the fourth quarter of 2013 because of the compressed\n\n2013-2014 schedule associated with the upcoming winter Olympics.\n\nExcluding the impact of these items, Media’s consolidated adjusted\n\noperating profit would have increased by 22%.\n\n####### **Operating Income and Net Income**\n\nOperating income was higher than the same quarter last year because\n\nstock-based compensation was lower and we realized an $80 million\n\nimpairment charge in 2012. This was partially offset by higher\n\ndepreciation and amortization, restructuring, acquisition and other\n\nexpenses.\n\nNet income this quarter was lower than the same quarter last year\n\nbecause of the changes in revenue, adjusted operating profit and\n\noperating income. Also, in 2012 we realized a $233 million gain on\n\nspectrum licenses that Inukshuk sold to our non-related venture partner\n\nand recorded the related income tax benefits that year.\n\nNet income from continuing operations was $320 million this quarter,\n\nwith basic and diluted earnings per share from continuing operations\n\nof $0.62. In the fourth quarter of 2012, net income from continuing\n\noperations was $522 million, basic earnings per share from continuing\n\noperations was $1.01 and diluted earnings per share from\n\ncontinuing operations was $1.01. The decrease this quarter was largely\n\nbecause of the $233 million gain on spectrum licenses in 2012 noted\n\nabove.\n\nQUARTERLY TRENDS\n\nOur operating results generally vary from quarter to quarter because of\n\nchanges in general economic conditions and seasonal fluctuations, in\n\neach of our business segments, which have a material impact. As such,\n\none quarter’s operating results are not necessarily indicative of our\n\nresults in a subsequent quarter. Wireless, Cable and Media each have\n\nunique seasonal aspects to their businesses.\n\nFluctuations in net income from quarter to quarter can also be\n\nattributed to losses on the repayment of debt, foreign exchange gains\n\nor losses, changes in the fair value of derivative instruments, other\n\nincome and expenses, impairment of assets and changes in income tax\n\nexpense.\n\n####### **Wireless**\n\nThe trends in Wireless revenue and adjusted operating profit reflect:\n\n- the growing number of wireless voice and data subscribers\n\n- decreased churn\n\n- higher usage of wireless data\n\n- higher handset subsidies as more consumers shift to smartphones\n\n- a slight decrease in blended ARPU due to changes in wireless price\n\nplans.\n\nWe continue to target higher value postpaid subscribers, which has\n\ncontributed to the significantly heavier mix of postpaid versus prepaid\n\nsubscribers. Growth in our customer base and overall market\n\npenetration have resulted in higher costs over time for customer service,\n\nretention, credit and collection; however, most of the cost increases\n\nhave been offset by gains in operating efficiencies.\n\nWireless’ operating results are influenced by the timing of our\n\nmarketing and promotional expenditures and higher levels of subscriber\n\nadditions and related subsidies, resulting in higher subscriber acquisition\n\nand activation-related expenses in certain periods. This increased activity\n\ngenerally occurs in the third and fourth quarters, and can also occur or\n\nbe accentuated by the launch of popular new wireless handset models.\n\n####### **Cable**\n\nThe trends in Cable services revenue and operating profit increases are\n\nprimarily due to:\n\n- higher penetration and usage of Internet, digital and telephony\n\nproducts and services\n\n- offset by competitive losses of television subscribers and pricing\n\nchanges over the past year.\n\nCable’s operating results are affected by modest seasonal fluctuations\n\nin subscriber additions and disconnections, typically caused by:\n\n- university and college students moving\n\n- individuals temporarily suspending service for extended vacations or\n\nseasonal relocations\n\n- the concentrated marketing we generally conduct in our fourth\n\nquarter.\n\n####### **Business Solutions**\n\nThe trends in Business Solutions operating profit margin primarily reflect\n\nthe ongoing shift from lower-margin, off-net legacy long distance and\n\ndata services to higher-margin, on-net next generation IP-based\n\nservices.\n\nBusiness Solutions does not generally have any unique seasonal aspects\n\nto its business.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 55",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** INDUSTRY TRENDS\n\nThe telecommunications industry in Canada, and our business segments, is affected by several overarching trends.\n\nCHANGING TECHNOLOGIES AND CONSUMER DEMANDS\n\nConsumer demand for mobile devices, digital media and on-demand\n\ncontent across platforms is pushing providers to build networks that can\n\nprovide more data faster, cheaper and more easily. Increased adoption\n\nof smartphones and double digit growth in our data revenue continued\n\nthis year, reflecting expanded use of applications, mobile video,\n\nmessaging and other wireless data.\n\nCOMPETITION\n\nCompetition in wireless from national and regional operators as well as\n\nsmaller new entrants changes how we compete for wireless services.\n\nThis puts downward pressure on pricing affecting profit margins and\n\nimpacts customer churn.\n\nTraditional wireline telephone and television services are now offered\n\nover the Internet, opening the door to more non-traditional\n\ncompetitors, and changing how traditional providers compete. This is\n\nchanging the mix of packages and pricing that service providers offer,\n\naffecting profit margins and customer churn.\n\nIn the media industry, there continues to be a shift towards on-line\n\nmedia consumption by consumers which in turn drives advertisers to\n\nspend more on-line versus traditional media. In addition, there are more\n\nmedia competitors as additional on-line media companies enter the\n\nmarket, including large global companies.\n\nREGULATION\n\nMost areas of our business are highly regulated, which affects who we\n\ncompete with, the programming we can offer, where and how we use\n\nour networks, how we build our businesses and the spectrum we\n\npurchase. The telecommunications industry is being affected by more\n\nregulation and more reviews of the current regulations.\n\nECONOMIC CONDITIONS\n\nOur businesses are affected by general economic conditions and\n\nconsumer confidence and spending, especially in our Media segment,\n\nwhere advertising revenue is directly affected by the economy.\n\n####### **WIRELESS TRENDS**\n\nMore sophisticated wireless\n\nnetworks, devices and\n\napplications are making it easier\n\nand faster to receive data, driving\n\ngrowth in wireless data services.\n\nWireless providers are investing in\n\nthe next generation of broadband\n\nwireless data networks, such as\n\nLTE, to support the growing data\n\ndemand.\n\nWireless market penetration in\n\nCanada is approximately 80% of\n\nthe population, and is expected to\n\ngrow at an estimated 2%\n\nannually.\n\nThe new CRTC code of conduct\n\nhas limited wireless term contracts\n\nto two years from three years.\n\nAlthough the code of conduct has\n\nonly been in place for a month,\n\nwe believe this is currently\n\nreducing churn and slowing\n\ngrowth in the wireless\n\nmarketplace.\n\n####### **MEDIA TRENDS**\n\nConsumer demand for digital\n\nmedia, mobile devices and on-\n\ndemand content is pushing\n\nadvertisers to shift some of their\n\nspending to digital platforms.\n\nTraditional media assets in\n\nCanada have become\n\nincreasingly controlled by a small\n\nnumber of competitors with\n\nsignificant scale and financial\n\nresources, while technology has\n\nallowed new entrants and even\n\nindividuals to become media\n\nplayers in their own right. Across\n\nboth traditional and emerging\n\nplatforms, many players have\n\nbecome more vertically\n\nintegrated, as both providers and\n\npurchasers of content.\n\nAccess to premium content has\n\nbecome even more important for\n\nacquiring audiences that attract\n\nadvertisers and subscribers.\n\nOwnership of content or long-\n\nterm agreements with content\n\nowners, have also become\n\nincreasingly important to Media\n\ncompanies.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 31",
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- "text": "49 ■ 2003 ANNUAL REPORT\n\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million of wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3 million or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%.\n\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS service revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which totaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end.\n\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party’s network, was $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the Company’s network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The rate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001 through April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from October 1, 2001 through December 31, 2001.\n\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3 million of rebates and discounts given at the time of sale, which became more pronounced during the year to meet industry competition for subscriber additions and subscriber retention.\n\nIn accordance with Sprint’s requirements, the Company launched third generation (3G 1X) service in August 2002. The impact of 3G 1X-network enhancements on revenues was not significant in 2002.\n\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the result of other wireless carriers executing additional leases to use space on the Company’s portfolio of towers. Of the 82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.\n\nWireless revenues from the Company’s paging operation were $0.3 million, a decrease of $0.1 million as the local customer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in 2002 from 3,190 subscribers to 2,940 subscribers.\n\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%. Telephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues was driven by a 38.4% increase in access minutes of use on the Company’s network and an increased percentage of minutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the Federal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC\n\n## **2002 compared to 2001**\n\n##### **CONTINUING OPERATIONS**\n\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990’s. The partnership’s local customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December 31, 2002. The decline was the result of competition with digital technologies and increased competition from national carriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to transform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the partnership to one of the minority partners. The agreement was signed in November 2002, and closing was February 28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million, $7.4 million and $6.7 million, respectively.\n\n##### **DISCONTINUED OPERATIONS**\n\nIncome from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income from discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the two months of its operations in 2003.\n\nThe Company adopted FAS 143 “Accounting for Asset Retirement Obligations.” effective January 1, 2003, and as a result recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\n\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating results in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\n\n**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS**",
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- "text": "Minutes of use (in thousands) **2003** 2002 (net of intercompany usage) Originating Terminating Originating Terminating Interstate **29,373 87,539** 42,929 63,959 Intrastate **37,190 49,103** 22,684 36,712 Total **66,563 136,642** 65,613 100,671\n\nAccess revenue (in thousands) **2003** 2002 (net of intercompany usage) As reported Pro forma As reported Pro forma Traffic sensitive (1)\n\n**$ 4,274 $ 4,974** $ 4,676 $ 3,976 Special access revenues **1,606 1,606** 1,247 1,247 Carrier common line settlement **5,750 5,750** 4,978 4,978 Total **$ 11,630 $ 12,330** $ 10,901 $ 10,201\n\n(1) Traffic sensitive revenue has been normalized in the proforma column to remove the impact of the access billing dispute adjustment and the impact of the NECA settlement adjustments.\n\n2002\n\nOriginating Terminating 42,929 63,959 22,684 36,712 65,613 100,671\n\n2002 As reported Pro forma $ 4,676 $ 3,976 1,247 1,247 4,978 4,978 $ 10,901 $ 10,201\n\nIn accordance with Sprint’s requirements, the Company launched third generation (3G 1X) wireless service in August 2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data speeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and some new network elements required for packet data. The Company’s base stations were outfitted with network card enhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base stations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current customer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as use of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in 2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera phones during 2003.\n\nThe shift in originating traffic is the result of implementing software capable of identifying actual interstate and intrastate traffic specifically delivered to the wireline switch, where previously usage was allocated between interstate and intrastate traffic types by the interexchange carriers.\n\nThe following table shows the access traffic minutes of use for the two years of 2003 and 2002.\n\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company’s increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003.\n\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks.\n\nWireless revenues from the Company’s paging operation were $0.2 million, a decrease of $0.1 million as the customer base increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from 2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that its paging customer base will continue to decline in the future.\n\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the result of other wireless carriers executing additional leases to use space on the Company’s portfolio of towers. Of the 88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants, compared to 46 towers with external tenants at the end of 2002.\n\nsignificant industry competition for subscriber additions and subscriber retention. These discounts and rebates are primarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or providing free phones if the subscriber signs up for a specific contract term and a specific service plan.\n\nPCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7 million of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\n\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 46\n\n**SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS**\n\nOriginating Terminating\n\n## **2003**\n\n## **2003**\n\n2002\n\n2002\n\nAs reported Pro forma As reported Pro forma\n\nOriginating Terminating",
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- "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n\nKEY CHANGES IN FINANCIAL RESULTS THIS YEAR COMPARED TO 2012\n\n(In millions of dollars) **Change see page**\n\n| Operating revenue changes - higher (lower): Network revenue - Wireless $ 29 39 Equipment sales - Wireless (39) 39 Cable 117 42 Business Solutions 23 45 Media 84 48 Corporate items and intercompany eliminations 6 |\n|:---|\n| Higher operating revenue compared to 2012 220 |\n| Adjusted operating profit changes - higher (lower): Wireless 94 39 Cable 113 42 Business Solutions 17 45 Media (29) 48 Corporate items and intercompany eliminations (36) |\n| Higher adjusted operating profit 1 compared to 2012 159 |\n| Higher stock-based compensation expense (7) 51 Lower restructuring, acquisition and other expenses 7 51 Higher depreciation and amortization (79) 51 Impairment recognized in 2012 80 51 |\n| Higher operating income 2 compared to 2012 160 Higher finance costs (71) 52 Gain on sale of interest in TVtropolis 47 52 Gain on Inukshuk spectrum distribution in 2012 (233) 52 Other 17 53 Lower income taxes 24 52 |\n| Decrease in net income from continuing operations compared to 2012 (56) Loss from discontinued operations in 2012 32 52 |\n| Decrease in net income compared to 2012 (24) |\n\n1 Adjusted operating profit is a Non-GAAP measure and should not be considered as\n\na substitute or alternative for GAAP measure. It is not a defined term under IFRS,\n\nand does not have a standard meaning, so may not be a reliable way to compare\n\nus to other companies. See “Non-GAAP Measures” for information about these\n\nmeasures, including how we calculate them. 2 As defined. See “Additional GAAP Measures”.\n\n####### **Operating Revenue**\n\nWireless network revenue was higher than last year because of higher\n\nadoption and usage of wireless data services, partially offset by the\n\nintroduction of lower priced roaming plans and pricing changes made\n\nover this year.\n\nCable operating revenue was higher than last year mainly because of\n\ngrowth in Internet and phone revenues and the acquisition of Mountain\n\nCable, partially offset by a decline in television revenue related\n\nprincipally from competitive TV subscriber losses.\n\nBusiness Solutions operating revenue was higher than last year mainly\n\nbecause we completed the acquisitions of Blackiron Data and Pivot\n\nData Centres earlier this year combined with the continued growth in\n\non-net and next generation services, partially offset by planned decline\n\nin legacy voice and data services.\n\nMedia operating revenue was higher than last year mainly because of\n\nrevenue growth at Sportsnet, higher attendance at Toronto Blue Jays\n\ngames and higher sales at The Shopping Channel.\n\n####### **Adjusted Operating Profit**\n\nWireless adjusted operating profit was higher this year because of\n\nhigher network revenue, our continued cost management and\n\nproductivity initiatives implemented across various areas and lower cost\n\nof equipment.\n\nCable adjusted operating profit was higher than last year because of\n\nthe continued growth in revenue combined with a shift in our product\n\nmix towards higher margin Internet and phone products.\n\nMedia’s adjusted operating profit was lower compared to last year. The\n\nincrease in operating revenue this year was more than offset by the\n\ncombined impact of higher player salaries at the Toronto Blue Jays, the\n\nNHL player lockout in 2012 and the costs associated with broadcasting\n\nmore NHL hockey games in 2013 because of the condensed 2012-2013\n\nseason which started in January 2013 and the compressed 2013-2014\n\nseason schedule associated with the upcoming winter Olympics.\n\nAdjusted operating profit relating to Corporate items and intercompany\n\neliminations was lower compared to last year because of continued\n\ninvestment in growth initiatives such as Rogers’ credit card, Outrank,\n\nRogers Alerts and other digital opportunities.\n\n####### **Operating Income and Net Income**\n\nOperating income was higher than last year while net income was\n\nlower. The increase in operating income is mainly because of the\n\nincrease in adjusted operating profit. Net income was lower mainly\n\nbecause in 2012 we realized a $233 million gain on spectrum licenses\n\nthat Inukshuk sold to our non-related venture partner as well as the\n\nrelated income tax benefits we recorded that year.\n\n36 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** FIVE-YEAR SUMMARY OF CONSOLIDATED FINANCIAL RESULTS\n\nYears Ended December 31\n\n(In millions of dollars, except per share amounts, percentages and ratios)\n\nIFRS Canadian\n\nGAAP\n\n**2013** 2012 2011 2010 2009\n\n**Income and Cash Flow:**\n\nRevenue\n\nWireless **$ 7,270** $ 7,280 $ 7,138 $ 6,973 $ 6,685\n\nCable **3,475** 3,358 3,309 3,190 3,074\n\nRBS **374** 351 405 452 446\n\nMedia **1,704** 1,620 1,611 1,461 1,407\n\nCorporate items and intercompany eliminations **(117)** (123) (117) (77) (75)\n\n**$ 12,706** $ 12,486 $ 12,346 $ 11,999 $ 11,537\n\nAdjusted operating profit <sup>1</sup>\n\nWireless **$ 3,157** $ 3,063 $ 3,036 $ 3,173 $ 3,067\n\nCable **1,718** 1,605 1,549 1,419 1,300\n\nRBS **106** 89 86 40 35\n\nMedia **161** 190 180 131 119\n\nCorporate items and intercompany eliminations **(149)** (113) (112) (95) ` (114)\n\n**$ 4,993** $ 4,834 $ 4,739 $ 4,668 $ 4,407\n\nNet income from continuing operations **$ 1,669** $ 1,725 $ 1,590 $ 1,532 $ 1,499\n\nNet income **$ 1,669** $ 1,693 $ 1,563 $ 1,502 $ 1,478\n\nAdjusted net income from continuing operations <sup>1</sup> **$ 1,769** $ 1,781 $ 1,736 $ 1,704 $ 1,569\n\nPre-tax free cash flow <sup>1</sup> **$ 2,044** $ 2,029 $ 1,973 $ 2,181 $ 1,919\n\nProperty, plant and equipment expenditures **$ 2,240** $ 2,142 $ 2,127 $ 1,821 $ 1,841\n\nEarnings per share from continuing operations <sup>:</sup>\n\nBasic **$ 3.24** $ 3.32 $ 2.93 $ 2.66 $ 2.41\n\nDiluted **3.22** 3.30 2.91 2.64 2.41\n\nEarnings per share\n\nBasic **$ 3.24** $ 3.26 $ 2.88 $ 2.61 $ 2.38\n\nDiluted **3.22** 3.24 2.86 2.59 2.38\n\nAdjusted earnings per share from continuing operations <sup>1</sup>\n\nBasic **$ 3.43** $ 3.43 $ 3.20 $ 2.96 $ 2.53\n\nDiluted **3.42** 3.41 3.17 2.94 2.53\n\n**Balance Sheet:**\n\nAssets\n\nProperty, plant and equipment, net **$ 10,255** $ 9,576 $ 9,114 $ 8,437 $ 8,197\n\nGoodwill **3,751** 3,215 3,280 3,108 3,018\n\nIntangible assets **3,211** 2,951 2,721 2,591 2,643\n\nInvestments **1,487** 1,484 1,107 933 563\n\nOther assets **4,897** 2,392 2,140 1,964 2,597\n\n**$ 23,601** $ 19,618 $ 18,362 $ 17,033 $ 17,018\n\nLiabilities and Shareholders’ Equity\n\nLong-term liabilities **$ 14,326** $ 12,848 $ 12,241 $ 10,440 $ 9,997\n\nCurrent liabilities **4,606** 3,002 2,549 2,833 2,748\n\nTotal liabilities **18,932** 15,850 14,790 13,273 12,745\n\nShareholders’ equity **4,669** 3,768 3,572 3,760 4,273\n\n**$ 23,601** $ 19,618 $ 18,362 $ 17,033 $ 17,018\n\n**Subscriber count results (000s)**\n\nWireless subscribers **9,503** 9,437 9,335 8,977 8,494\n\nTelevision subscribers **2,127** 2,214 2,297 2,305 2,296\n\nInternet subscribers **1,961** 1,864 1,793 1,686 1,619\n\nPhone subscribers **1,153** 1,074 1,052 1,003 937\n\n**Additional wireless metrics**\n\nWireless blended ARPU **$ 59.58** $ 59.79 $ 60.20 $ 62.62 $ 63.59\n\nWireless chum **1.24%** 1.29% 1.32% 1.18% 1.06%\n\n**Ratios:**\n\nRevenue growth **2%** 1% 3% 4% 4%\n\nAdjusted operating profit growth **3%** 2% 2% 6% 8%\n\nDividends declared per share **$ 1.74** $ 1.58 $ 1.42 $ 1.28 $ 1.16\n\nDividend payout ratio <sup>2</sup> **54%** 48% 49% 49% 49%\n\nDividends as a percentage of pre-tax free cash flow <sup>1</sup> **44%** 40% 39% 34% 38%\n\nReturn on assets <sup>1</sup> **7.1%** 8.6% 8.5% 8.8% 8.7%\n\nAdjusted net debt/adjusted operating profit <sup>1,2</sup> **2.4** 2.3 2.2 2.1 2.1\n\n1 Adjusted operating profit, adjusted net income, adjusted diluted earnings per share, pre-tax free cash flow and adjusted net debt are Non-GAAP measures and should not be\n\nconsidered as a substitute or alternative for GAAP measures. These are not defined terms under IFRS, and do not have standard meanings, so may not be a reliable way to compare\n\nus to other companies. See “Non-GAAP Measures” for information about these measures, including how we calculate them.\n\n2 As defined. See “Key Performance Indicators”.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 87",
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- "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n\nQUARTERLY RESULTS\n\nThe table below shows our quarterly consolidated financial results and key performance indicators for 2013 and 2012.\n\nQUARTERLY CONSOLIDATED FINANCIAL SUMMARY\n\n**2013** 2012\n\n(In millions of dollars, except per share amounts) **Full Year** Q4 Q3 Q2 Q1 Full Year Q4 Q3 Q2 Q1\n\nOperating revenue\n\nWireless **$ 7,270** $ 1,851 $ 1,846 $ 1,813 $ 1,760 $ 7,280 $ 1,920 $ 1,889 $ 1,765 $ 1,706\n\nCable **3,475** 871 873 870 861 3,358 852 838 843 825\n\nBusiness Solutions **374** 98 93 90 93 351 88 86 90 87\n\nMedia **1,704** 453 440 470 341 1,620 434 392 440 354\n\nCorporate items and intercompany eliminations **(117)** (30) (28) (31) (28) (123) (33) (29) (32) (29)\n\n**Total operating revenue 12,706** 3,243 3,224 3,212 3,027 12,486 3,261 3,176 3,106 2,943\n\nAdjusted operating profit (loss)\n\nWireless **3,157** 696 875 821 765 3,063 687 843 796 737\n\nCable **1,718** 433 425 431 429 1,605 421 403 403 378\n\nBusiness Solutions **106** 29 29 25 23 89 27 22 22 18\n\nMedia **161** 49 55 64 (7) 190 75 50 79 (14)\n\nCorporate items and intercompany eliminations **(149)** (40) (43) (35) (31) (113) (34) (30) (24) (25)\n\n**Adjusted operating profit <sup>1</sup> 4,993** 1,167 1,341 1,306 1,179 4,834 1,176 1,288 1,276 1,094\n\nStock-based compensation (expense) recovery **(84)** (18) (7) (1) (58) (77) (57) (26) 12 (6)\n\nRestructuring, acquisition and other expenses **(85)** (24) (38) (14) (9) (92) (10) (7) (33) (42)\n\nDepreciation and amortization **(1,898)** (508) (477) (463) (450) (1,819) (453) (437) (466) (463)\n\nImpairment of assets **-** - - - - (80) (80) - - -\n\n**Operating income <sup>2</sup> 2,926** 617 819 828 662 2,766 576 818 789 583\n\nFinance costs **(742)** (196) (180) (185) (181) (671) (183) (169) (159) (160)\n\nOther income (expense) **81** 14 (3) 60 10 250 241 (6) 7 8\n\nNet income before income taxes **2,265** 435 636 703 491 2,345 634 643 637 431\n\nIncome tax expense **(596)** (115) (172) (171) (138) (620) (112) (177) (224) (107)\n\nNet income from continuing operations **$ 1,669** $ 320 $ 464 $ 532 $ 353 $ 1,725 $ 522 $ 466 $ 413 $ 324\n\nLoss from discontinued operations **-** - - - - (32) - - (13) (19)\n\n**Net income $ 1,669** $ 320 $ 464 $ 532 $ 353 $ 1,693 $ 522 $ 466 $ 400 $ 305\n\nEarnings per share from continuing operations:\n\nBasic **$ 3.24** $ 0.62 $ 0.90 $ 1.03 $ 0.69 $ 3.32 $ 1.01 $ 0.90 $ 0.79 $ 0.62\n\nDiluted **3.22** 0.62 0.90 0.93 0.68 3.30 1.01 0.90 0.77 0.61\n\nEarnings per share:\n\nBasic **3.24** 0.62 0.90 1.03 0.69 3.26 1.01 0.90 0.77 0.58\n\nDiluted **3.22** 0.62 0.90 0.93 0.68 3.24 1.01 0.90 0.75 0.57\n\nNet income **1,669** 320 464 532 353 1,693 522 466 400 305\n\nLoss from discontinued operations **-** - - - - 32 - - 13 19\n\n**Net income from continuing operations $ 1,669** $ 320 $ 464 $ 532 $ 353 $ 1,725 $ 522 $ 466 $ 413 $ 324\n\nAdd (deduct):\n\nStock-based compensation expense (recovery) **84** 18 7 1 58 77 57 26 (12) 6\n\nRestructuring, acquisition and other expenses **85** 24 38 14 9 92 10 7 33 42\n\nImpairment of assets **-** - - - - 80 80 - - -\n\nGain on sale of TVtropolis **(47)** - - (47) - - - - - -\n\nGain on spectrum distribution **-** - - - - (233) (233) - - -\n\nIncome tax impact of above items **(30)** (5) (8) (11) (6) (14) 12 (4) (10) (12)\n\nIncome tax adjustment, legislative tax change **8** - - 8 - 54 - - 54 -\n\n**Adjusted net income <sup>1</sup> $ 1,769** $ 357 $ 501 $ 497 $ 414 $ 1,781 $ 448 $ 495 $ 478 $ 360\n\nAdjusted earnings per share from continuing operations <sup>1</sup> :\n\nBasic **$ 3.43** $ 0.69 $ 0.97 $ 0.97 $ 0.80 $ 3.43 $ 0.87 $ 0.96 $ 0.92 $ 0.69\n\nDiluted **3.42** 0.69 0.97 0.96 0.80 3.41 0.86 0.96 0.91 0.68\n\nAdditions to property, plant and equipment **2,240** 703 548 525 464 2,142 707 528 458 449\n\nPre-tax free cash flow <sup>1</sup> **2,044** 279 620 602 543 2,029 296 589 656 488\n\nAfter-tax free cash flow <sup>1</sup> **1,548** 109 506 505 428 1,649 39 561 633 416\n\nCash provided by operating activities **$ 3,990** $ 1,072 $ 1,052 $ 1,061 $ 805 $ 3,421 $ 668 $ 1,146 $ 1,079 $ 528\n\n1 Adjusted operating profit, adjusted net income, adjusted basic and diluted earnings per share, pre-tax free cash flow and after-tax free cash flow are Non-GAAP measures and\n\nshould not be considered as a substitute or alternative for GAAP measures. They are not defined terms under IFRS, and do not have standard meanings, so may not be a reliable\n\nway to compare us to other companies. See “Non-GAAP Measures” for information about these measures, including how we calculate them.\n\n2 As defined. See “Additional GAAP Measures”.\n\n54 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "source_file": "NYSE_RCI_2013.pdf",
- "query": "What has Rogers Communications done to improve its television platform?",
- "target_page": 2,
- "target_passage": "Launched NextBox 3.0 delivering a superior TV experience and leveraged the success of Rogers AnyPlace TV, our Internet and mobile on-demand TV service.",
- "chunk_present": {
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- "text": "##### **STRATEGIC OBJECTIVES** AND **VALUE DRIVERS**\n\n**At Rogers, our purpose is to easily connect customers with what matters most. Our vision is to be known for leading**\n\n**the enablement of seamless, and reliable experiences across any device, place or time.**\n\n####### **DELIVER DIFFERENTIATED**\n\n####### **END-TO-END CUSTOMER**\n\n####### **EXPERIENCES**\n\nFocus on evolving our cross-device\n\nintegration to enable seamless,\n\nreliable and easy-to-use experiences\n\nanytime, anyplace and anywhere; on\n\ndelivering a differentiated range of\n\ndevices and device-related services;\n\nand on enabling greater integration\n\nof our media assets across screens.\n\n####### **STRENGTHEN THE**\n\n####### **CUSTOMER EXPERIENCE**\n\nConstantly improve the experience\n\nthat customers have using our\n\nproducts and services by making it\n\neasier for them; providing the tools\n\nand resources customers need to use\n\nour products with confidence; being\n\nattuned to our customers’ evolving\n\nneeds; and continuing to simplify\n\nour product offerings.\n\n####### **EXPAND OUR SERVICES REACH**\n\nExpand the reach of our networks and\n\nservices through new construction and\n\ntargeted acquisitions that complement\n\nour existing platforms; by more widely\n\ndeploying products and services; and\n\nby expanding the reach of key media\n\nbrands nationally and across our digital\n\nplatforms.\n\n####### **DRIVE FUTURE GROWTH**\n\n####### **OPPORTUNITIES**\n\nContinue to develop targeted new\n\ngrowth areas of our business, including\n\nmachine-to-machine communications,\n\nmobile commerce and video, sports,\n\nbusiness communications services,\n\nlocal and digital media services,\n\nand home automation.\n\n####### **MAINTAIN INDUSTRY-LEADING**\n\n####### **NETWORKS**\n\nReinforce our fastest and most reliable\n\nnetworks by expanding our LTE\n\nnetwork to a wider proportion of the\n\nCanadian population, continuing to\n\nincrease broadband Internet speeds\n\nto capture and monetize the growth\n\nin data consumption, and further\n\nenhancing our TV platform with next\n\ngeneration features and functionality.\n\n####### **IMPROVE PRODUCTIVITY**\n\n####### **AND COST STRUCTURE**\n\nContinue to focus on cost-optimization\n\ninitiatives and organizational efficiency\n\nby improving service delivery; reducing\n\ncomplexity; focusing on fewer, more\n\nimpactful projects; managing expenses,\n\nand working closely with key suppliers.\n\nFOR A DETAILED DISCUSSION OF OUR STRATEGIC GOALS AND OBJECTIVES,\n\nSEE THE “ **OUR STRATEGY** ” SECTION IN THE ACCOMPANYING MD&A LATER IN THE REPORT.\n\n####### **DELIVER INDUSTRY-LEADING SHAREHOLDER RETURNS**\n\n####### **Our mandate is to deliver long-term value and industry-leading shareholder returns.**\n\n####### **To sustain our lead as the top integrated telecommunications and media company in Canada,**\n\n####### **our actions and investments are guided by the following six long-term strategic objectives:**\n\n04 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n\nExecutive Summary\n\nABOUT ROGERS COMMUNICATIONS INC.\n\nRogers Communications is one of Canada’s leading diversified communications and media companies.\n\nWe provide a broad range of services: wireless and wired voice and data\n\ncommunications, cable television, high-speed Internet, cable telephony,\n\nwired telecom and data networking services to consumers and\n\nbusinesses. We also compete in television and radio broadcasting,\n\nmulti-platform shopping, sports media and entertainment, digital media\n\nand consumer, trade and professional publications.\n\nAlmost all of our operations and sales are in Canada. We have a highly\n\nskilled and diversified workforce of approximately 28,000 employees.\n\nOur head-office is in Toronto, Ontario and we have numerous offices\n\nacross Canada.\n\nFOUR BUSINESS SEGMENTS\n\nWe report our results of operations in four segments.\n\nWireless Wireless telecommunications operations\n\nfor consumers and businesses\n\n| Cable | Cable telecommunications operations, including cable television, Internet and cable telephony for Canadian consumers and businesses |\n|:---|:---|\n| Business Solutions | Network connectivity through our fibre network assets to support a range of voice, data, networking, data centre and cloud-based services for medium and large Canadian businesses, governments, and other telecommunications providers |\n| Media | A diversified portfolio of media properties, including television and radio broadcasting, digital media, multi- platform shopping, publishing and sports media and entertainment |\n\n$12.7 BILLION\n\n(%)\n\n**2013 CONSOLIDATED REVENUE BY SEGMENT**\n\nWIRELESS **57%**\n\nCABLE **27%**\n\nMEDIA **13%**\n\nBUSINESS SOLUTIONS **3%**\n\n$5.0 BILLION\n\n(%)\n\n**2013 CONSOLIDATED ADJUSTED OPERATING PROFIT BY SEGMENT**\n\nWIRELESS **61%**\n\nCABLE **33%**\n\nMEDIA **4%**\n\nBUSINESS SOLUTIONS **2%**\n\n26 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
- "page_start": 29,
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- "text": "**CONNECTED** HOME\n\nROGERS CONTINUES TO DEFINE HOW FAMILIES COME\n\nTOGETHER AND CONNECT WITH THEIR WORLD. MILLIONS OF\n\nCANADIANS DEPEND ON ROGERS TO KEEP THEM INFORMED,\n\nCONNECTED AND ENTERTAINED WITH A COMBINATION OF\n\nTHE FASTEST INTERNET SPEEDS AND THE MOST INNOVATIVE\n\nTELEVISION, TELEPHONY AND HOME MONITORING\n\nSOLUTIONS AVAILABLE.\n\nThe core of Rogers connected home strategy is to provide customers\n\nwith the fastest broadband connections, together with the ability to\n\nseamlessly shift - to shift time, to shift screens and to shift places so they\n\naccess what they want, when they want, on the screen of their choice.\n\nRogers offers the best in on-demand, sports, movies, specialty, episodic\n\nand multicultural programming. Customers can schedule, pause, rewind\n\nBROADBAND\n\nINTERNET\n\nE-MAIL\n\n& MESSAGING\n\nWHOLE HOME\n\nPVR\n\nCATEGORY-\n\nLEADING MEDIA\n\nCONTENT\n\nHOME\n\nTELEPHONY\n\nANY SCREEN\n\nSTREAMING TV\n\nON-DEMAND\n\nVIDEO CONTENT\n\nHOME\n\nMONITORING\n\n& AUTOMATION\n\nCONVERGED\n\nWIRELESS/\n\nWIRELINE\n\n08 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "##### OUR **BU S I N E S S**\n\n##### **D E L I V E RI NG ON OUR COMMITMENTS** IN 2 013\n\nCO O NT NT EN TS\n\n**2** Let etter ter er s t s t s o S har eh old old olders ers e\n\n**4** Str ate te gic gic c Ob Ob Ob jec je tiv es and and nd Va Va V lue l Dr ivers\n\n**5** Why W In ves vest i t i t i n R n R n R oge og rs\n\n**6** Con Con Con nec n t L ike ke Ne Ne e ver ver ve Be Be fore\n\n**16 16** Cor Cor Corpor por por a te So cia i l R l R esp esp esp ons ons on ibi ib lit y\n\n**18 18** Cor Cor Corpor por por ate ate ate Go G vernan ce ce\n\n**20 0** Dir Dir Dir Di ect ect ect ors ors ors an an an d S d S d S eni en or Exe cut cutive ive e Of Of Of fice fice fic rs rs\n\n**24 24** Management’s Discussion and Analysis\n\n**88** Man agement’s Responsibility for\n\nFinancial Re porting\n\n**88** Ind ependent Aud itors’ Report o f\n\nReg ist ere d P ubl ic Accountin g F irm\n\n**89** Con sol ida ted State ments of Inc ome\n\n**90 90** Con Con Con sol so s ida da ted State men ts of\n\nCom Com Com pre pre pre hen hen hen siv siv siv e I e I e nco nco o me me\n\n**91 91** Con solidated St ate men n ts ts ts of of\n\nFinanc ial Po sit ion\n\n**92** Con sol ida ted St ate ate ate men me m ts of\n\nCha nges i n S S har har har eho eh eho lde rs’ Eq Eq uit uit it y\n\n**93** Con sol ol ida ida da ted ted ted St S ate men en ts ts of of of Cas C as h F h low s\n\n**94** Not Not Not es es es to to Consol ida da ted tedd Fi Fi Fi nan nan cia c l\n\nSt Sta Sta tem t ent s\n\n**126** Cor por r ate ate an an and S d S d S har har h eho eh lde r I nfo nfo fo rma rma rma tio tio tion\n\n####### **DIVIDEND**\n\n####### **GROWTH**\n\n**WHAT WE SAID:** Increase\n\ncash returns to shareholders\n\nconsistently over time.\n\n**WHAT WE DID:** Increased the\n\nannualized dividend per share\n\n10% from $1.58 to $1.74 in 2013.\n\nFurther increased the dividend\n\nby 5% to $1.83 in February 2014.\n\n####### **HIGHER VALUE**\n\n####### **WIRELESS SUBSCRIBERS**\n\n**WHAT WE SAID:** Continue the\n\ngrowth in our smartphone\n\nsubscriber base to drive wireless\n\ndata revenue and ARPU.\n\n**WHAT WE DID:** Activated nearly\n\n2.7 million smartphones, helping\n\nbring smartphone penetration\n\nto 75% of postpaid subscriber\n\nbase.\n\n####### **OPERATING**\n\n####### **EFFICIENCIES**\n\n**WHAT WE SAID:** Implement\n\nproductivity improvement\n\ninitiatives to capture sustainable\n\noperating efficiencies.\n\n**WHAT WE DID:** Reduced operating\n\nexpenses for the combined Wireless\n\nand Cable segments, excluding the\n\ncost of wireless equipment sales, by\n\napproximately 1% from 2012 levels.\n\n####### **EVOLVE AND ENHANCE**\n\n####### **TELEVISION PLATFORM**\n\n**WHAT WE SAID:** Invest in the\n\nevolution of our current TV\n\nplatform and extend our video\n\nofferings to new platforms.\n\n**WHAT WE DID:** Launched NextBox\n\n3.0 delivering a superior TV\n\nexperience and leveraged the\n\nsuccess of Rogers AnyPlace TV,\n\nour Internet and mobile\n\non-demand TV service.\n\n####### **FAST AND RELIABLE**\n\n####### **NETWORKS**\n\n**WHAT WE SAID:** Maintain\n\nRogers leadership in network\n\ntechnology and innovation.\n\n**WHAT WE DID:** Rogers was\n\nnamed both the fastest wireless\n\nnetwork and the fastest\n\nbroadband ISP in Canada\n\nby PCMag.com.\n\n####### **ENHANCE AND STRENGTHEN**\n\n####### **THE CORE BUSINESS**\n\n**WHAT WE SAID:** We will make\n\nstrategic investments to expand\n\nand strengthen the core\n\nbusiness.\n\n**WHAT WE DID:** Executed\n\nstrategic acquisitions including\n\nMountain Cable, data centre and\n\nhosting assets, theScore and\n\nvaluable, high profile sports\n\ncontent.\n\n####### **DATA REVENUE**\n\n####### **GROWTH**\n\n**WHAT WE SAID:** Generate\n\ndouble-digit wireless and\n\nbroadband data growth consistent\n\nwith our data usage monetization\n\nstrategy.\n\n**WHAT WE DID:** Grew wireless\n\nand broadband data revenues by\n\n17% and 16%, respectively over\n\n2012 levels.\n\n####### **FREE CASH FLOW**\n\n####### **GENERATION**\n\n**WHAT WE SAID:** Deliver another\n\nyear of significant consolidated\n\npre-tax free cash flow.\n\n**WHAT WE DID:** Generated\n\n$2.0 billion of pre-tax free cash\n\nflow in 2013, supporting the\n\nsignificant investments and cash\n\nwe returned to shareholders\n\nduring the year.\n\n**AT A GLANCE**\n\n**Ro Ro ge gers rs C om mu mu ni nica ca ti on s In c. .** i s s s a a di di ve rs ified Canadi an tel ecommu nica tion s an an and me m dia co co mp mp mp an a n y. y.\n\nRo Ro Ro ge ge ge rs rs rs Wi re e le le ss ss i s s Ca C na da a ’s ’s s l a r ar ge g st wir eless vo ice and da ta telecom munica ti on s se e rv rv rv ic ic ic es es e p rovi de de r r r\n\nan an and th t e co coun un n trtr tr y’ y’ s on ly y nat at atio io i nal carr ier operat ing on the combined wo rld stan dard GSM M /H /H /H SP SP S A+ A /L L TE TE\n\nte te te ch c no o lo ogy gy gy p la latf or ms ms ms . R o Roge rs Ca bl e i s a le ading Ca nadian cable ser vices prov ider, of feri ng g hig ig ig h- h- sp ee e d\n\nIn I te rn n et et t a cc cc es s, cab ab ab le le l tel evisio n, a nd t elep hony products, and together wi th Rog ers Bu sine ss S ol ol ut ions ,\n\npr ov ov id id d es e s b us in n es es es s te t le co m, n etwo rk ing, hosting, managed services and IP solu ti on s to s ma ll, me di di di um um um\n\nan an d la la l rg r e en n te te te r p rp ri se , go ve rnme nt and carrier customers. Rogers Media is Canada ’s pre mi er g ro up\n\nof of f c at at eg or ry- y- y-le l e ad in g br oa dc as t, specialty, print and online media ass ets, with businesses i n ra di o an d\n\nte te tele levi si on n b road ca st in g, t el evised shopping, sports entertainment, magaz ine and trade jo ur na l pu bl is hi ng ng g\n\nan an a d di gi gi gi ta ta ta l l me di a. We ar e publicly traded on both the TSX and NYSE stock exchanges and a re inc lu de d\n\nin i t he e S &P & /T SX 6 0 In de x of the largest publicly traded companies in Canada.",
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- "text": "##### **ROGERS COMMUNICATIONS INC.** AT A GLANCE\n\n####### **Rogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian**\n\n####### **telecommunications and media company. As discussed in the following**\n\n####### **pages, Rogers Communications is engaged in the telecom and media**\n\n####### **businesses through its primary operating segments Rogers Wireless,**\n\n####### **Rogers Cable, Rogers Business Solutions and Rogers Media.**\n\n**ROGERS COMMUNICATIONS**\n\n**ROGERS COMMUNICATIONS**\n\n**CABLE BUSINESS SOLUTIONS WIRELESS MEDIA**\n\nWIRELESS SEGMENT\n\nRogers Wireless provides wireless voice and data communications services across\n\nCanada to approximately 9.5 million customers under the Rogers Wireless, Fido\n\nand chatr brands. Rogers Wireless is Canada’s largest wireless provider and the\n\nonly national carrier operating on the combined global standard GSM/HSPA+/LTE\n\ntechnology platforms. Rogers Wireless is Canada’s leader in innovative wireless\n\nservices, and provides customers with the best and latest wireless devices and\n\napplications and the fastest network speeds. Rogers Wireless also provides\n\nseamless wireless roaming across the U.S. and more than 200 other countries,\n\nand is the Canadian leader in the deployment of mobile commerce and machine-\n\nto-machine communications.\n\nCABLE AND BUSINESS SOLUTIONS SEGMENTS\n\nRogers Cable is a leading Canadian cable services provider, whose service\n\nterritory covers approximately 4.0 million homes in Ontario, New Brunswick and\n\nNewfoundland representing approximately 30% of the Canadian cable market.\n\nOur advanced digital hybrid fibre-coax network provides market leading high-\n\nspeed broadband Internet access speeds, the most innovative selection of digital\n\ntelevision and online viewing and telephony services to millions of residential\n\nand small business customers. Together with Rogers Business Solutions, it also\n\nprovides scalable carrier-grade business telecom, networking, hosting and\n\nmanaged data services, and IP connectivity and solutions to medium and large\n\nenterprise, government and carrier customers.\n\nMEDIA SEGMENT\n\nRogers Media is Canada’s premier destination for category-leading television and\n\nradio broadcasting, sports entertainment, publishing, and digital media properties.\n\nTelevision assets include national City network which reaches more than 80% of\n\nCanadians, five OMNI Television multilingual channels, seven regional and national\n\nSportsnet channels, as well as specialty channels FX Canada, OLN, The Biography\n\nChannel and G4. Rogers Media also owns The Shopping Channel, Canada’s only\n\nnationally televised and online shopping service. It operates more than 50 Canadian\n\nradio stations, publishes 50+ well known consumer and business magazines, and\n\nowns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball\n\nClub and Rogers Centre, Canada’s largest sports and entertainment facility. Rogers\n\nalso holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL\n\nToronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.",
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- "text": "**DELIVERING** WHAT’S NEXT\n\nINNOVATION AND A DRIVE TO BE FIRST TO DELIVER THE\n\nMOST ADVANCED INFORMATION, COMMUNICATIONS,\n\nENTERTAINMENT AND TRANSACTION SERVICES, SOLUTIONS\n\nAND DEVICES ARE AT THE VERY CORE OF ROGERS.\n\nAs one of the first carriers in the world to offer the telecommunications\n\n“quadruple play” of wireless, television, Internet and telephony services\n\nover its own networks, few have more capabilities or success in enabling\n\nsubscribers to enjoy their experiences across multiple screens.\n\nRogers has a long history of firsts, including the first cellular call in Canada,\n\nthe world’s first high-speed cable modem service, the first digital cellular\n\nnetwork in North America, Canada’s first video-on-demand and mobile\n\nTV services, the first HSPA and LTE networks and the first to offer iPhone,\n\nAndroid, BlackBerry and Windows 8 in Canada. With the combination of\n\nour advanced next-generation national wireless network, our powerful\n\nbroadband cable infrastructure and our category-leading media assets,\n\nwe are in a unique position to help Canadians to live like never before.\n\nLEADING\n\nNEXT GENERATION\n\nNETWORKS\n\nDIGITAL MEDIA\n\nMOBILE\n\nCOMMERCE\n\nHOME\n\nAUTOMATION\n\nMACHINE-TO-\n\nMACHINE\n\nCOMMUNICATIONS\n\nMOBILE\n\nSTREAMING\n\nTELEVISION\n\nADVANCED IP\n\nSOLUTIONS\n\nENTERPRISE\n\nMOBILE\n\nAPPLICATIONS\n\nCONVERGED\n\nWIRELESS/\n\nWIRELINE\n\n14 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "ROGERS IS COMMITTED TO DELIVERING WORLD-CLASS\n\nCONTENT AND EXPERIENCES TO CONSUMERS AND\n\nADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY\n\nHAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA\n\nBRANDS WITH COMPELLING CONTENT THAT RESONATES WITH\n\nAUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE.\n\nToday, businesses across Canada connect with customers through Rogers\n\ncategory-leading television and radio assets, sports entertainment,\n\ntelevised and online shopping, publishing, and digital media properties as\n\nthe one-stop solution for all their local and national advertising needs.\n\nRogers Media is Canada’s premier combination of diversified broadcast,\n\nspecialty, sports, print and online media assets which together touch\n\nnearly 90% of Canadians every week. This includes over 50 popular AM\n\nand FM radio stations across Canada. In television, it includes the seven\n\nstation City network which broadcasts intensely local, urban-oriented\n\n**LEADING** CONTENT\n\nLEADING\n\nSPORTSNET TV\n\nFRANCHISE\n\nOMNI\n\nMULTICULTURAL\n\nNETWORK\n\nCITY NATIONAL\n\nTELEVISION\n\nNETWORK\n\nTORONTO\n\nBLUE JAYS\n\nBASEBALL TEAM\n\nNATIONAL\n\nRADIO\n\nPORTFOLIO\n\nTELEVISED\n\nSHOPPING\n\nNETWORK\n\n37.5% OWNERSHIP\n\nOF LEAFS,\n\nRAPTORS & TFC\n\nDIGITAL MEDIA\n\nPORTFOLIO\n\nICONIC\n\nMAGAZINE\n\nBRANDS\n\n12 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** Understanding Our Business\n\nRogers Communications is one of Canada’s leading diversified communications and media companies.\n\n**Our vision** is to be known for leading the enablement and delivery of seamless, customer-driven communications,\n\nentertainment, information and transactional experiences across any device, place or time.\n\n**Wireless** provides wireless voice and data communication services,\n\nincluding machine to machine to both consumer and enterprise\n\nbusinesses, governments and other telecommunications service\n\nproviders. **Cable** provides voice and data communications, home\n\nmonitoring, television and high-speed Internet services to both\n\nconsumers and businesses. **Business Solutions** provides voice and data\n\ncommunications and advanced services including data centre based\n\nsolutions and cloud computing services to a wide range of medium to\n\nlarge businesses, including other service providers, and government\n\neither wirelessly or over our terrestrial network. Revenue generated\n\nfrom these segments is generally based on monthly subscription and\n\nnetwork usage rates. Costs include attracting, setting-up and retaining\n\ncustomers, content, and the costs of upgrading and maintaining the\n\nunderlying network.\n\nOur wireless network is currently one of the most extensive and\n\nadvanced independent high-speed wireless data networks in Canada,\n\ncapable of supporting wireless services on smartphones, tablets,\n\ncomputers and a broad variety of machine-to-machine and specialized\n\ndevices. We built the first Long Term Evolution (LTE) high speed\n\nnetwork in Canada, reaching nearly 73% of the Canadian population\n\nat December 31, 2013. We also have roaming agreements with\n\ninternational carriers in more than 200 other countries, including 5 LTE\n\nroaming operators and have network sharing arrangements with several\n\ncarriers in Canada.\n\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers\n\nservices to consumers and businesses in Ontario, New Brunswick and\n\nNewfoundland. We also operate a North American transcontinental\n\nfibre-optic network that extends over 41,000 route kilometres that is\n\nused to serve enterprise customers, including government and other\n\ntelecommunications service providers. In Canada, the network extends\n\ncoast to coast and includes local and regional fibre, transmission\n\nelectronics and systems, hubs, POPs and IP Routing and switching\n\ninfrastructure. The network also extends to the US, from Vancouver\n\nsouth to Seattle, from the Manitoba-Minnesota border through\n\nMinneapolis, Milwaukee and Chicago, and from Toronto, through\n\nBuffalo, and Montreal, through Albany, to New York City, allowing us\n\nto connect Canada’s largest markets, while also reaching key US\n\nmarkets for the exchange of data and voice traffic.\n\n**Media** provides television and radio broadcasting services to end\n\ncustomers over both traditional broadcast networks and new digital\n\nnetworks as well as multi-platform shopping, consumer and trade\n\npublications and sports media and entertainment experiences, primarily\n\nthrough its ownership of the Toronto Blue Jays. Revenue is largely\n\ndriven by advertising and, in the case of TV broadcasting and publishing\n\nby additional revenues from monthly subscriptions. Revenue is also\n\ngenerated by the sale of merchandise and event tickets. Costs include\n\nsports programming, broadcast content (including TV studios, writers\n\nand on air and on field talent), the cost of merchandise and the\n\nproduction costs associated with each medium.\n\nWe report our results of operations in four segments, which reflect how\n\nwe manage our operations and measure our performance.\n\n####### **WIRELESS**\n\nsee page 37\n\nCanada’s largest provider of\n\nwireless communications services.\n\n####### **MEDIA**\n\nsee page 47\n\nA diversified Canadian media\n\ncompany that engages in\n\ntelevision and radio\n\nbroadcasting, multi-platform\n\nshopping, publishing, digital,\n\nand sports media and\n\nentertainment.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 29",
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- "text": "Our new wireless Share Everything plans were Canada’s first to let\n\nindividuals, families and small businesses share wireless data and\n\nunlimited nationwide talk and text, with up to 10 wireless devices.\n\nRogers recently further enhanced its exciting One Number service by\n\nintroducing smartphone apps which enable customers to use mobile\n\ndata or Wi-Fi to talk, text and video chat using their existing Rogers\n\nwireless number from any device.\n\nWe also keep customers informed and entertained with Rogers next-\n\ngeneration NextBox 3.0 TV experience which allows customers to view\n\nand record up to eight HD programs simultaneously, store hundreds of\n\nhours of content and enjoy whole-home PVR capability. And with\n\nRogers Anyplace TV, it’s also a wireless experience where viewers can\n\nnavigate their cable guide, use a virtual remote, set PVR recordings and\n\nstream live or on-demand content from a tablet, smartphone, laptop\n\nor gaming console.\n\nRogers continues to be Canada’s innovation leader in rapidly growing\n\nareas such as wireless machine-to-machine communications, remote\n\nhome monitoring and automation, mobile payments, in-car\n\ninfotainment and telematics, and digital media. As well, Rogers has\n\ndeployed a suite of unique local digital services that create virtual\n\nmarketplaces for bringing consumers and businesses together and\n\nprovide location-based targeted offers.\n\nThese are just a few examples of the ways Rogers continues to\n\ninnovate and lead the way, introducing wireless, broadband and digital\n\ntechnologies and services that fundamentally change the way\n\ncustomers stay connected, informed and entertained anywhere they\n\nare. Canadians know there’s one thing to be certain of - if they’re with\n\nRogers, they’ll never miss a thing.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 15",
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- "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n\nOUR STRATEGY\n\nTo achieve our vision and drive our future growth, we have six strategic objectives. We made significant progress this year\n\nagainst each of these, across all business segments. See “Key Highlights” for more detail about individual highlights.\n\n1. DELIVER DIFFERENTIATED END-TO-END\n\nCUSTOMER EXPERIENCES\n\nFocus on evolving our cross-device, multi-screen integration to enable\n\nseamless, reliable and easy-to-use product experiences anytime,\n\nanyplace and anywhere; on delivering a differentiated range of devices\n\nand device-related services; and on enabling greater integration of our\n\nmedia assets across screens.\n\nOUR PROGRESS IN 2013\n\nWe continued to evolve our wireless offering this year, redesigning and\n\nsimplifying wireless offerings and pricing tiers, and introducing\n\nCanada’s first wireless Share Everything plan. We also launched a hybrid\n\nwireless home and small business phone solution that operates on our\n\nnational wireless network.\n\nCable unveiled the next generation of TV experience with NextBox 3.0,\n\nand Media made significant progress this year, announcing a landmark\n\nexclusive 12-year licensing agreement to broadcast national NHL\n\ngames, launching a subscription digital magazine service, upgrading\n\nThe Shopping Channel, and including adding a mobile app and social\n\nmedia. It also launched Sportsnet 360, and announced a 10-year\n\npartnership extension with the Vancouver Canucks.\n\n2. MAINTAIN INDUSTRY-LEADING NETWORKS\n\nReinforce our network’s reliability and speed to capture and monetize\n\nthe growth in data consumption by expanding our LTE network to a\n\nwider proportion of the Canadian population, continuing to increase\n\nbroadband Internet speeds, and further enhancing our TV platforms\n\nwith next generation features and functionality.\n\nOUR PROGRESS IN 2013\n\nWe continued to expand our high speed wireless LTE 4G broadband\n\nnetwork this year, and offered the largest selection of LTE devices of\n\nany carrier in Canada. Our LTE 4G network was the first in Canada,\n\nwhich covered approximately 73% of the Canadian population at\n\nDecember 31, 2013.\n\nWe were also recognized for our networks: PCMag.com named us\n\nCanada’s fastest broadband Internet service provider *and* wireless\n\nnetwork in October 2013, and SamKnows stated through in-home\n\ntesting in May 2013, that we delivered, on average, 100% or more of\n\nour advertised download speeds on our most popular Internet\n\npackages, better than most providers they tested in the US and Europe.\n\n3. EXPAND OUR SERVICES REACH\n\nExpand the reach of our networks and services through new\n\nconstruction and targeted acquisitions that complement our existing\n\nplatforms; by more widely deploying products and services; and by\n\nexpanding the reach of our key media brands nationally and across our\n\ndigital platforms.\n\nOUR PROGRESS IN 2013\n\nWe expanded our wireless network by establishing key network sharing\n\nagreements to bring LTE to more customers at faster speeds to\n\ncustomers in Manitoba, Quebec and the Ottawa region, and through\n\nour relationship with AT&T to become the first Canadian carrier to offer\n\nLTE roaming for customers travelling to the US. We also secured an\n\noption to buy Shaw’s Advanced Wireless Service (AWS) spectrum\n\nholdings.\n\nWe launched new products, including Rogers Smart Home Monitoring,\n\nto customers in Ontario’s Golden Horseshoe area and Atlantic Canada.\n\nWe completed several strategic acquisitions this year that strengthened\n\nour offering of cable television, Internet and telephony services in the\n\nHamilton, Ontario area, established Business Solutions as a leader in\n\nCanadian data centre and hosting services and increased the reach of\n\nour television broadcast network to over 80% of Canadian households.\n\n4. STRENGTHEN THE CUSTOMER EXPERIENCE\n\nConstantly improve the experience that customers have using our\n\nproducts and services by making it easier for them, providing the tools\n\nand resources customers need to use our products with confidence,\n\nbeing attuned to our customers’ evolving needs and continuing to\n\nsimplify our product offerings.\n\nOUR PROGRESS IN 2013\n\nWe launched several new programs this year to improve the customer\n\nexperience, including Canada’s first Share Everything plans for\n\nindividuals, families and small businesses, our “worry free” $7.99 per\n\nday US wireless data roaming plan, a new suite of simplified travel value\n\npacks of voice, text and data roaming, and the Rogers First Rewards\n\nloyalty program, and we received regulatory approval for the Rogers\n\ncredit card. Connected for Success, our new broadband Internet pilot\n\nproject is designed to provide affordable broadband Internet,\n\ncomputers and software to residents of Toronto Community Housing as\n\npart of the Rogers Youth Fund program.\n\n5. IMPROVE PRODUCTIVITY AND COST STRUCTURE\n\nContinue to focus on cost-optimization initiatives and organizational\n\nefficiency by improving service delivery, reducing complexity, focusing\n\non fewer projects with more impact, managing expenses and working\n\nmore closely with key suppliers.\n\nOUR PROGRESS IN 2013\n\nWe continued to make progress on our cost efficiency initiatives this\n\nyear, which contributed to a 3% increase in consolidated adjusted\n\noperating profit and a 6 basis point increase in our consolidated\n\nadjusted operating profit margin to 39.3%, driven mostly by Wireless\n\nand Cable.\n\n6. DRIVE FUTURE GROWTH OPPORTUNITIES\n\nContinue to develop targeted new growth areas of our business,\n\nincluding machine-to-machine (M2M) communications, mobile\n\ncommerce and video, business communications services, local and\n\ndigital media services, home automation and sports.\n\nOUR PROGRESS IN 2013\n\nWe made strides in the M2M market this year, demonstrating a single,\n\nworldwide SIM card with our M2M global alliance partners that will\n\nstrengthen our M2M offering to multinational customers, and\n\nannouncing an M2M agreement with Sprint to bring a comprehensive\n\nin-car infotainment solution to the Canadian market. We also certified\n\nthe Suretap wallet, our mobile payment service, for the Android and\n\nBlackBerry 10 operating smartphone systems. We received a licence to\n\noperate a bank for the purposes of launching a Rogers’ branded credit\n\ncard. In addition, we expanded our Rogers Smart Home Monitoring\n\nfootprint, and launched other initiatives such as Outrank, an online site\n\nfor marketing and advertising small business, introduced Rogers Alerts\n\nand other digital opportunities.\n\n32 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "query": "Until what NHL season will the Vancouver's ice hockey team be a Rogers Communications partner?",
- "target_page": 39,
- "target_passage": "Sportsnet announced a 10-year partnership extension with the Vancouver Canucks through the 2022-2023 NHL seasons",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** KEY HIGHLIGHTS\n\nWIRELESS\n\n- Canada’s first and fastest wireless LTE 4G broadband network\n\ncontinued its expansion. Our network covered approximately 73% of\n\nthe Canadian population at December 31, 2013, while continuing to\n\noffer the largest selection of LTE devices of any carrier in Canada. We\n\nwere also the first carrier in North America and one of the first in the\n\nworld to offer international LTE roaming to wireless customers.\n\n- Our wireless offerings and pricing tiers were simplified, reducing\n\ncomplexity and service times for our sales and support teams and\n\nadding customer value. These innovations include Canada’s first\n\ncomplete wireless Share Everything plan which allows individuals,\n\nfamilies and small businesses to share wireless data, unlimited\n\nnationwide talk and text and calling features across 1 to 10 wireless\n\ndevices.\n\n- Our “worry free” $7.99 per day US wireless data roaming plan was\n\nlaunched, with twice the daily data capacity (50 MB) typically used\n\ndaily by consumers for wireless Internet, as well as enhanced voice,\n\ntext and data roaming value packages.\n\n- A hybrid wireless home and small business phone solution was\n\nlaunched, that operates on our national wireless network. The service\n\nis available in regions outside Rogers’ cable territories and offers a\n\ntraditional home or office phone service and features without the\n\nneed for a landline or Internet connection.\n\n- The M2M World Alliance, an organization comprised of eight leading\n\ninternational mobile operators including Rogers, demonstrated a\n\nsingle global SIM card which makes it easier to deploy connected\n\ndevices in multiple countries and expected to drive further growth for\n\nour machine-to-machine business.\n\nCABLE\n\n- Acquisition of Mountain Cable, Shaw Communications’ (Shaw) cable\n\nsystem in Hamilton, Ontario was completed.\n\n- Next generation TV experience was unveiled with NextBox 3.0 giving\n\nviewers access to record up to eight HD programs at one time and\n\nstore up to 240 hours of HD content. The NextBox 3.0 experience\n\nincludes Whole Home PVR capability and becomes a wireless TV\n\nexperience allowing viewers to navigate their cable guide, use a\n\nvirtual remote, set PVR recordings and live stream channels all from a\n\ntablet or smartphone while at home or away.\n\n- Rogers was named both the fastest broadband Internet service\n\nprovider and the fastest wireless network in Canada in October 2013\n\nby PCMag.com, a leading US based technology website.\n\n- SamKnows, an independent broadband performance company,\n\nstated through in-home testing in May 2013 that we delivered, on\n\naverage, 100% or more of our advertised download speeds on our\n\nmost popular Internet packages, better than most providers in the US\n\nand Europe that were tested.\n\n- MLB Network, a 24-hour network dedicated exclusively to baseball\n\nwas launched on Rogers digital television, marking the first time this\n\nnetwork is available in Canada. MLB Network’s year-round\n\nprogramming features live games, news, highlights, and the game’s\n\ntop analysts.\n\n- Our TV experience was significantly enriched with the launch of our\n\nRecommendations App for NextBox, giving customers access to\n\npersonalized live, rental, on-demand and previously recorded\n\nprogram recommendations displayed on their TV screens. A\n\nCanadian cable industry first, the application recommends similar\n\nprograms based on what customers are viewing, helping Canadians\n\nto explore and uncover more programming that appeals to their\n\nindividual tastes.\n\nBUSINESS SOLUTIONS\n\n- Following the acquisition of Blackiron and Pivot Data Centres this\n\nyear, Business Solutions announced it is expanding its hosting and\n\ncolocation business in Western Canada through a newly expanded\n\ndata centre in Edmonton and a new Western Canada flagship data\n\ncentre in Calgary.\n\n- SIP Trunking, a new IP-based voice solution, was announced for\n\nenterprises designed to complement our fibre-based Internet and\n\nWAN connectivity services. Merging voice services with a business\n\ndata network, SIP Trunking solutions dynamically allocate bandwidth\n\nas needed to support voice and/or data needs depending upon\n\ncapacity requirements during peak hours and also provide a platform\n\nfor next generation IP-based video, mobile and productivity\n\napplications and services.\n\nMEDIA\n\n- Exclusive NHL 12-year licensing agreement to broadcast national NHL\n\ngames beginning with the 2014-2015 season was signed. The\n\nagreement grants Rogers the exclusive distribution of all national live\n\nand in-progress regular season and playoff games within Canada, in\n\nmultiple languages, across all platforms. We executed separate\n\nagreements to sublicense certain of these broadcasting rights to TVA\n\nSports and CBC.\n\n- Sportsnet 360 was launched, which is comprised of the rebranded\n\ntheScore assets. The acquisition of theScore received final regulatory\n\napproval in the first half of this year.\n\n- Sportsnet announced a 10-year partnership extension with the\n\nVancouver Canucks through the 2022-2023 NHL seasons, continuing\n\na 14-year network tradition as the regional television broadcaster of\n\nCanucks hockey. The new agreement features a comprehensive suite\n\nof multimedia rights including television, online and mobile,\n\ndelivering up to 60 regular season Vancouver Canucks games each\n\nseason. Sportsnet is also the official regional television broadcast\n\nrights holder for the Toronto Maple Leafs, Calgary Flames and\n\nEdmonton Oilers.\n\n- Next Issue Canada, an innovative, all-you-can-read subscription\n\ndigital magazine service that provides consumers with exclusive and\n\nunlimited access to a catalogue of more than 100 premium Canadian\n\nand US titles was launched. Next Issue Canada delivers access to our\n\nleading publishing brands alongside many of the most popular US\n\nmagazine titles.\n\n- The Shopping Channel launched a brighter, easier, and more\n\nengaging multi-channel retail experience and a refreshed on-air and\n\nonline look, an all-new mobile app, special-themed programming\n\nand improved shipping. The leading interactive and only national\n\nCanadian multi-channel retailer also added on-air social media\n\nengagement, new leading brands and more celebrity guest\n\nappearances.\n\n- Sportsnet announced an eight-year multi-platform broadcast rights\n\nextension with MLB Properties and MLB Advanced Media to show\n\nlive and in-progress regular season and playoff baseball games and\n\nhighlights within Canada.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 35",
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- "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n\nACQUISITIONS\n\n- Closed our agreement to acquire Metro 14 Montreal for $10 million\n\non February 4, 2013, and relaunched the station as City Montreal,\n\nexpanding the City broadcast TV network into the largest market in\n\nQuebec and increasing the City television network reach to over\n\n80% of Canadian households.\n\n- Finalized our purchase of theScore, Canada’s third largest specialty\n\nsports channel, for $167 million. We later rebranded theScore as\n\nSportsnet 360.\n\nNHL\n\n- Advanced our strategy of delivering highly sought-after sports\n\ncontent anywhere, anytime, on any platform and strengthening the\n\nvalue of our sports brand by entering into an exclusive 12-year\n\nlicensing agreement with the NHL which begins with the 2014-2015\n\nseason and grants Rogers the following:\n\n- national rights across television broadcasts, wireless and\n\nmobile tablets and Internet streaming\n\n- national rights to all regular season games, all playoff games\n\nand the Stanley Cup Final, and all special events and non-\n\ngame events (e.g. NHL All-Star Game, NHL Draft) - in multiple\n\nlanguages\n\n- out-of-market rights for all regional games\n\n- ownership of all linear and digital highlights, including\n\ncondensed games and video archives\n\n- NHL broadcast assets: Rogers to operate NHL Centre Ice and\n\nNHL Game Centre Live\n\n- sponsorship rights to the NHL Shield logo as an official partner\n\nof the NHL\n\n- Canadian representation of ad sales for NHL.com\n\n- ownership of all commercial inventories for the television\n\nbroadcasts\n\n- rights to sublicense broadcasting rights to TVA and CBC\n\n- rights to use the Hockey Night In Canada brand through the\n\nCBC sublicense agreement.\n\nThrough this agreement, Rogers plans to provide Canadians with a\n\nunique viewing experience that will feature expanded pre- and post-\n\ngame coverage of regular season and playoff games and other\n\nenhanced NHL content. We expect this agreement to drive Sportsnet\n\nsubscriber growth and to provide highly sought after content in\n\nmultiple languages across all of Rogers’ platforms.\n\nMEDIA FINANCIAL RESULTS\n\nYears ended December 31\n\n(In millions of dollars, except percentages) **2013 <sup>1</sup>** 2012 % Chg\n\n**Operating revenue - Media $ 1,704** $ 1,620 5\n\nOperating expenses **(1,543)** (1,430) 8\n\n**Adjusted operating profit - Media $ 161** $ 190 (15)\n\nAdjusted operating profit margin **9.4%** 11.7%\n\nAdditions to property, plant and equipment **$ 79** $ 55 44\n\n1 Results of operations include theScore’s operating results as of April 30, 2013 (the\n\ndate of acquisition).\n\n(IN MILLIONS OF DOLLARS)\n\n**MEDIA REVENUE**\n\n**2013**\n\n2012\n\n2011\n\n**$1,704**\n\n$1,620\n\n$1,611\n\n####### **Higher Operating Revenue**\n\nMedia generates revenue in five areas:\n\n- advertising sales across its television, radio, publishing and digital\n\nmedia properties\n\n- circulation\n\n- subscriptions\n\n- retail product sales\n\n- ticket sales, receipts of MLB revenue sharing and concession sales\n\nassociated with Rogers Sports Entertainment.\n\nOperating revenue was 5% higher this year, mainly because of:\n\n- higher subscription and advertising revenue generated by the\n\nSportsnet properties, including the acquisition of theScore, and\n\noverall growth in distribution of our other specialty channels\n\n- higher advertising revenue of $21 million resulting from timing of\n\nNHL hockey games. Advertising revenue last year was lower than\n\nnormal due to the NHL player lockout which resulted in no NHL\n\ngames being aired, and higher than normal this year due to the\n\ncompressed 2012-2013 season which started in January 2013 and\n\nthe compressed 2013-2014 NHL schedule in advance of the\n\nupcoming winter Olympics\n\n- higher attendance and merchandise sales at Blue Jays games\n\n- higher sales at The Shopping Channel.\n\nThe increases in revenue were partially offset by continuing volatility in\n\nadvertising spending across most industry sectors, driven by a continued\n\nslow economy.\n\n48 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "ROGERS IS COMMITTED TO DELIVERING WORLD-CLASS\n\nCONTENT AND EXPERIENCES TO CONSUMERS AND\n\nADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY\n\nHAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA\n\nBRANDS WITH COMPELLING CONTENT THAT RESONATES WITH\n\nAUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE.\n\nToday, businesses across Canada connect with customers through Rogers\n\ncategory-leading television and radio assets, sports entertainment,\n\ntelevised and online shopping, publishing, and digital media properties as\n\nthe one-stop solution for all their local and national advertising needs.\n\nRogers Media is Canada’s premier combination of diversified broadcast,\n\nspecialty, sports, print and online media assets which together touch\n\nnearly 90% of Canadians every week. This includes over 50 popular AM\n\nand FM radio stations across Canada. In television, it includes the seven\n\nstation City network which broadcasts intensely local, urban-oriented\n\n**LEADING** CONTENT\n\nLEADING\n\nSPORTSNET TV\n\nFRANCHISE\n\nOMNI\n\nMULTICULTURAL\n\nNETWORK\n\nCITY NATIONAL\n\nTELEVISION\n\nNETWORK\n\nTORONTO\n\nBLUE JAYS\n\nBASEBALL TEAM\n\nNATIONAL\n\nRADIO\n\nPORTFOLIO\n\nTELEVISED\n\nSHOPPING\n\nNETWORK\n\n37.5% OWNERSHIP\n\nOF LEAFS,\n\nRAPTORS & TFC\n\nDIGITAL MEDIA\n\nPORTFOLIO\n\nICONIC\n\nMAGAZINE\n\nBRANDS\n\n12 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "##### **ROGERS COMMUNICATIONS INC.** AT A GLANCE\n\n####### **Rogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian**\n\n####### **telecommunications and media company. As discussed in the following**\n\n####### **pages, Rogers Communications is engaged in the telecom and media**\n\n####### **businesses through its primary operating segments Rogers Wireless,**\n\n####### **Rogers Cable, Rogers Business Solutions and Rogers Media.**\n\n**ROGERS COMMUNICATIONS**\n\n**ROGERS COMMUNICATIONS**\n\n**CABLE BUSINESS SOLUTIONS WIRELESS MEDIA**\n\nWIRELESS SEGMENT\n\nRogers Wireless provides wireless voice and data communications services across\n\nCanada to approximately 9.5 million customers under the Rogers Wireless, Fido\n\nand chatr brands. Rogers Wireless is Canada’s largest wireless provider and the\n\nonly national carrier operating on the combined global standard GSM/HSPA+/LTE\n\ntechnology platforms. Rogers Wireless is Canada’s leader in innovative wireless\n\nservices, and provides customers with the best and latest wireless devices and\n\napplications and the fastest network speeds. Rogers Wireless also provides\n\nseamless wireless roaming across the U.S. and more than 200 other countries,\n\nand is the Canadian leader in the deployment of mobile commerce and machine-\n\nto-machine communications.\n\nCABLE AND BUSINESS SOLUTIONS SEGMENTS\n\nRogers Cable is a leading Canadian cable services provider, whose service\n\nterritory covers approximately 4.0 million homes in Ontario, New Brunswick and\n\nNewfoundland representing approximately 30% of the Canadian cable market.\n\nOur advanced digital hybrid fibre-coax network provides market leading high-\n\nspeed broadband Internet access speeds, the most innovative selection of digital\n\ntelevision and online viewing and telephony services to millions of residential\n\nand small business customers. Together with Rogers Business Solutions, it also\n\nprovides scalable carrier-grade business telecom, networking, hosting and\n\nmanaged data services, and IP connectivity and solutions to medium and large\n\nenterprise, government and carrier customers.\n\nMEDIA SEGMENT\n\nRogers Media is Canada’s premier destination for category-leading television and\n\nradio broadcasting, sports entertainment, publishing, and digital media properties.\n\nTelevision assets include national City network which reaches more than 80% of\n\nCanadians, five OMNI Television multilingual channels, seven regional and national\n\nSportsnet channels, as well as specialty channels FX Canada, OLN, The Biography\n\nChannel and G4. Rogers Media also owns The Shopping Channel, Canada’s only\n\nnationally televised and online shopping service. It operates more than 50 Canadian\n\nradio stations, publishes 50+ well known consumer and business magazines, and\n\nowns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball\n\nClub and Rogers Centre, Canada’s largest sports and entertainment facility. Rogers\n\nalso holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL\n\nToronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** Understanding Our Business\n\nRogers Communications is one of Canada’s leading diversified communications and media companies.\n\n**Our vision** is to be known for leading the enablement and delivery of seamless, customer-driven communications,\n\nentertainment, information and transactional experiences across any device, place or time.\n\n**Wireless** provides wireless voice and data communication services,\n\nincluding machine to machine to both consumer and enterprise\n\nbusinesses, governments and other telecommunications service\n\nproviders. **Cable** provides voice and data communications, home\n\nmonitoring, television and high-speed Internet services to both\n\nconsumers and businesses. **Business Solutions** provides voice and data\n\ncommunications and advanced services including data centre based\n\nsolutions and cloud computing services to a wide range of medium to\n\nlarge businesses, including other service providers, and government\n\neither wirelessly or over our terrestrial network. Revenue generated\n\nfrom these segments is generally based on monthly subscription and\n\nnetwork usage rates. Costs include attracting, setting-up and retaining\n\ncustomers, content, and the costs of upgrading and maintaining the\n\nunderlying network.\n\nOur wireless network is currently one of the most extensive and\n\nadvanced independent high-speed wireless data networks in Canada,\n\ncapable of supporting wireless services on smartphones, tablets,\n\ncomputers and a broad variety of machine-to-machine and specialized\n\ndevices. We built the first Long Term Evolution (LTE) high speed\n\nnetwork in Canada, reaching nearly 73% of the Canadian population\n\nat December 31, 2013. We also have roaming agreements with\n\ninternational carriers in more than 200 other countries, including 5 LTE\n\nroaming operators and have network sharing arrangements with several\n\ncarriers in Canada.\n\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers\n\nservices to consumers and businesses in Ontario, New Brunswick and\n\nNewfoundland. We also operate a North American transcontinental\n\nfibre-optic network that extends over 41,000 route kilometres that is\n\nused to serve enterprise customers, including government and other\n\ntelecommunications service providers. In Canada, the network extends\n\ncoast to coast and includes local and regional fibre, transmission\n\nelectronics and systems, hubs, POPs and IP Routing and switching\n\ninfrastructure. The network also extends to the US, from Vancouver\n\nsouth to Seattle, from the Manitoba-Minnesota border through\n\nMinneapolis, Milwaukee and Chicago, and from Toronto, through\n\nBuffalo, and Montreal, through Albany, to New York City, allowing us\n\nto connect Canada’s largest markets, while also reaching key US\n\nmarkets for the exchange of data and voice traffic.\n\n**Media** provides television and radio broadcasting services to end\n\ncustomers over both traditional broadcast networks and new digital\n\nnetworks as well as multi-platform shopping, consumer and trade\n\npublications and sports media and entertainment experiences, primarily\n\nthrough its ownership of the Toronto Blue Jays. Revenue is largely\n\ndriven by advertising and, in the case of TV broadcasting and publishing\n\nby additional revenues from monthly subscriptions. Revenue is also\n\ngenerated by the sale of merchandise and event tickets. Costs include\n\nsports programming, broadcast content (including TV studios, writers\n\nand on air and on field talent), the cost of merchandise and the\n\nproduction costs associated with each medium.\n\nWe report our results of operations in four segments, which reflect how\n\nwe manage our operations and measure our performance.\n\n####### **WIRELESS**\n\nsee page 37\n\nCanada’s largest provider of\n\nwireless communications services.\n\n####### **MEDIA**\n\nsee page 47\n\nA diversified Canadian media\n\ncompany that engages in\n\ntelevision and radio\n\nbroadcasting, multi-platform\n\nshopping, publishing, digital,\n\nand sports media and\n\nentertainment.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 29",
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- "text": "**MANAGEMENT’S DISCUSSION AND ANALYSIS** WIRELESS\n\nROGERS IS CANADA’S LARGEST WIRELESS\n\nCOMMUNICATIONS SERVICE PROVIDER\n\nAs at December 31, 2013, we had:\n\n- approximately 9.5 million subscribers\n\n- approximately 34% share of the Canadian wireless market.\n\nPRODUCTS AND SERVICES\n\nRogers is a Canadian leader in innovative new wireless network\n\ntechnologies and services. We provide wireless voice and advanced\n\nhigh-speed data communication services to subscribers across Canada\n\nunder the Rogers, Fido and Chatr brands, and provide our customers\n\nwith the best and latest wireless devices and applications including:\n\n- mobile high speed Internet access\n\n- wireless voice and enhanced voice features\n\n- wireless home phone\n\n- device protection\n\n- text messaging\n\n- e-mail\n\n- global voice and data roaming\n\n- machine-to-machine solutions\n\n- advanced business solutions\n\n- Suretap mobile wallet\n\n- Rogers AnyPlace TV\n\n- Rogers One Number\n\n- Rogers First Rewards Loyalty Program.\n\nNATIONAL DISTRIBUTION\n\nWe distribute our wireless products using various channels including:\n\n- independent dealer networks\n\n- company-owned Rogers, Fido and Chatr retail stores\n\n- customer self-serve rogers.com, fido.ca, chatrwireless.com, ecommerce\n\nsites\n\n- Rogers call centres and outbound telemarketing\n\n- major retail chains and convenience stores.\n\n$7.3 BILLION\n\n(%)\n\n**2013 WIRELESS REVENUE MIX**\n\nPOSTPAID VOICE **46%**\n\nDATA **44%**\n\nEQUIPMENT **7%**\n\nPREPAID VOICE **3%**\n\nEXTENSIVE WIRELESS NETWORK\n\nRogers has one of the most extensive and advanced wireless networks\n\nin Canada:\n\n- supports wireless services on smartphone, tablets, computers and a\n\nbroad variety of M2M, mobile commerce, retail point of sale and\n\nother specialized devices\n\n- the first LTE high-speed network in Canada, which reached more\n\nthan 73% of the Canadian population at December 31, 2013\n\n- voice and data roaming agreements with international carriers in\n\nmore than 200 countries\n\n- network sharing arrangements with several regional wireless\n\noperators in Canada.\n\nWe are continuously enhancing our IP service infrastructure for all of\n\nour wireless services. Advances in technology have transformed how\n\nour customers interact and how they use the variety of tools that are\n\navailable to them in their personal and professional lives. Technology\n\nhas also changed the way businesses operate.\n\nNew technologies allow us to offer new services, such as Rogers One\n\nNumber, which makes enhanced wireless services available to\n\nsubscribers on their computer, tablet, or smartphone and can be used\n\nas an alternative to fixed line telephony. Users enjoy the same services\n\nand features across the coverage area, thanks to the seamless\n\nintegrated nature of the Rogers network and those of our roaming and\n\nnetwork sharing partners.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 37",
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- "text": "**CONNECTED** HOME\n\nROGERS CONTINUES TO DEFINE HOW FAMILIES COME\n\nTOGETHER AND CONNECT WITH THEIR WORLD. MILLIONS OF\n\nCANADIANS DEPEND ON ROGERS TO KEEP THEM INFORMED,\n\nCONNECTED AND ENTERTAINED WITH A COMBINATION OF\n\nTHE FASTEST INTERNET SPEEDS AND THE MOST INNOVATIVE\n\nTELEVISION, TELEPHONY AND HOME MONITORING\n\nSOLUTIONS AVAILABLE.\n\nThe core of Rogers connected home strategy is to provide customers\n\nwith the fastest broadband connections, together with the ability to\n\nseamlessly shift - to shift time, to shift screens and to shift places so they\n\naccess what they want, when they want, on the screen of their choice.\n\nRogers offers the best in on-demand, sports, movies, specialty, episodic\n\nand multicultural programming. Customers can schedule, pause, rewind\n\nBROADBAND\n\nINTERNET\n\nE-MAIL\n\n& MESSAGING\n\nWHOLE HOME\n\nPVR\n\nCATEGORY-\n\nLEADING MEDIA\n\nCONTENT\n\nHOME\n\nTELEPHONY\n\nANY SCREEN\n\nSTREAMING TV\n\nON-DEMAND\n\nVIDEO CONTENT\n\nHOME\n\nMONITORING\n\n& AUTOMATION\n\nCONVERGED\n\nWIRELESS/\n\nWIRELINE\n\n08 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n\nOUR STRATEGY\n\nTo achieve our vision and drive our future growth, we have six strategic objectives. We made significant progress this year\n\nagainst each of these, across all business segments. See “Key Highlights” for more detail about individual highlights.\n\n1. DELIVER DIFFERENTIATED END-TO-END\n\nCUSTOMER EXPERIENCES\n\nFocus on evolving our cross-device, multi-screen integration to enable\n\nseamless, reliable and easy-to-use product experiences anytime,\n\nanyplace and anywhere; on delivering a differentiated range of devices\n\nand device-related services; and on enabling greater integration of our\n\nmedia assets across screens.\n\nOUR PROGRESS IN 2013\n\nWe continued to evolve our wireless offering this year, redesigning and\n\nsimplifying wireless offerings and pricing tiers, and introducing\n\nCanada’s first wireless Share Everything plan. We also launched a hybrid\n\nwireless home and small business phone solution that operates on our\n\nnational wireless network.\n\nCable unveiled the next generation of TV experience with NextBox 3.0,\n\nand Media made significant progress this year, announcing a landmark\n\nexclusive 12-year licensing agreement to broadcast national NHL\n\ngames, launching a subscription digital magazine service, upgrading\n\nThe Shopping Channel, and including adding a mobile app and social\n\nmedia. It also launched Sportsnet 360, and announced a 10-year\n\npartnership extension with the Vancouver Canucks.\n\n2. MAINTAIN INDUSTRY-LEADING NETWORKS\n\nReinforce our network’s reliability and speed to capture and monetize\n\nthe growth in data consumption by expanding our LTE network to a\n\nwider proportion of the Canadian population, continuing to increase\n\nbroadband Internet speeds, and further enhancing our TV platforms\n\nwith next generation features and functionality.\n\nOUR PROGRESS IN 2013\n\nWe continued to expand our high speed wireless LTE 4G broadband\n\nnetwork this year, and offered the largest selection of LTE devices of\n\nany carrier in Canada. Our LTE 4G network was the first in Canada,\n\nwhich covered approximately 73% of the Canadian population at\n\nDecember 31, 2013.\n\nWe were also recognized for our networks: PCMag.com named us\n\nCanada’s fastest broadband Internet service provider *and* wireless\n\nnetwork in October 2013, and SamKnows stated through in-home\n\ntesting in May 2013, that we delivered, on average, 100% or more of\n\nour advertised download speeds on our most popular Internet\n\npackages, better than most providers they tested in the US and Europe.\n\n3. EXPAND OUR SERVICES REACH\n\nExpand the reach of our networks and services through new\n\nconstruction and targeted acquisitions that complement our existing\n\nplatforms; by more widely deploying products and services; and by\n\nexpanding the reach of our key media brands nationally and across our\n\ndigital platforms.\n\nOUR PROGRESS IN 2013\n\nWe expanded our wireless network by establishing key network sharing\n\nagreements to bring LTE to more customers at faster speeds to\n\ncustomers in Manitoba, Quebec and the Ottawa region, and through\n\nour relationship with AT&T to become the first Canadian carrier to offer\n\nLTE roaming for customers travelling to the US. We also secured an\n\noption to buy Shaw’s Advanced Wireless Service (AWS) spectrum\n\nholdings.\n\nWe launched new products, including Rogers Smart Home Monitoring,\n\nto customers in Ontario’s Golden Horseshoe area and Atlantic Canada.\n\nWe completed several strategic acquisitions this year that strengthened\n\nour offering of cable television, Internet and telephony services in the\n\nHamilton, Ontario area, established Business Solutions as a leader in\n\nCanadian data centre and hosting services and increased the reach of\n\nour television broadcast network to over 80% of Canadian households.\n\n4. STRENGTHEN THE CUSTOMER EXPERIENCE\n\nConstantly improve the experience that customers have using our\n\nproducts and services by making it easier for them, providing the tools\n\nand resources customers need to use our products with confidence,\n\nbeing attuned to our customers’ evolving needs and continuing to\n\nsimplify our product offerings.\n\nOUR PROGRESS IN 2013\n\nWe launched several new programs this year to improve the customer\n\nexperience, including Canada’s first Share Everything plans for\n\nindividuals, families and small businesses, our “worry free” $7.99 per\n\nday US wireless data roaming plan, a new suite of simplified travel value\n\npacks of voice, text and data roaming, and the Rogers First Rewards\n\nloyalty program, and we received regulatory approval for the Rogers\n\ncredit card. Connected for Success, our new broadband Internet pilot\n\nproject is designed to provide affordable broadband Internet,\n\ncomputers and software to residents of Toronto Community Housing as\n\npart of the Rogers Youth Fund program.\n\n5. IMPROVE PRODUCTIVITY AND COST STRUCTURE\n\nContinue to focus on cost-optimization initiatives and organizational\n\nefficiency by improving service delivery, reducing complexity, focusing\n\non fewer projects with more impact, managing expenses and working\n\nmore closely with key suppliers.\n\nOUR PROGRESS IN 2013\n\nWe continued to make progress on our cost efficiency initiatives this\n\nyear, which contributed to a 3% increase in consolidated adjusted\n\noperating profit and a 6 basis point increase in our consolidated\n\nadjusted operating profit margin to 39.3%, driven mostly by Wireless\n\nand Cable.\n\n6. DRIVE FUTURE GROWTH OPPORTUNITIES\n\nContinue to develop targeted new growth areas of our business,\n\nincluding machine-to-machine (M2M) communications, mobile\n\ncommerce and video, business communications services, local and\n\ndigital media services, home automation and sports.\n\nOUR PROGRESS IN 2013\n\nWe made strides in the M2M market this year, demonstrating a single,\n\nworldwide SIM card with our M2M global alliance partners that will\n\nstrengthen our M2M offering to multinational customers, and\n\nannouncing an M2M agreement with Sprint to bring a comprehensive\n\nin-car infotainment solution to the Canadian market. We also certified\n\nthe Suretap wallet, our mobile payment service, for the Android and\n\nBlackBerry 10 operating smartphone systems. We received a licence to\n\noperate a bank for the purposes of launching a Rogers’ branded credit\n\ncard. In addition, we expanded our Rogers Smart Home Monitoring\n\nfootprint, and launched other initiatives such as Outrank, an online site\n\nfor marketing and advertising small business, introduced Rogers Alerts\n\nand other digital opportunities.\n\n32 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "**BUSINESS** SOLUTIONS\n\nIN TODAY’S FAST-PACED DIGITAL WORLD OF BUSINESS,\n\nTHE ABILITY TO COMMUNICATE AND ACCESS INFORMATION\n\nANYTIME, ANYPLACE IS A COMPETITIVE ADVANTAGE THAT\n\nBUSINESS PROFESSIONALS LOOK TO ROGERS TO PROVIDE.\n\nROGERS ENSURES THE INFORMATION THAT DRIVES\n\nCOMMERCE FORWARD IS ALWAYS ON HAND AND HELPS\n\nBUSINESSES DEFINE HOW TO WIN IN THE DIGITAL WORLD.\n\nRogers provides a single reliable source for advanced business-focused\n\nvoice, Internet and data networking solutions designed specifically for\n\nthe most demanding of wireless and wired commercial requirements.\n\nBusinesses across Canada rely on Rogers for its national wireless\n\nnetwork, world-leading LTE technology, seamless global connectivity,\n\nand the broadest array of wireless applications and devices, because\n\nthey know that their mobility and remote connectivity needs are always\n\ncovered with the most advanced solutions available. Because Rogers\n\nWIRELESS\n\nVOICE & DATA\n\nMOBILE INTERNET\n\n& E-MAIL\n\nADVERTISING\n\nMEDIA SOLUTIONS\n\nDATA CENTRE &\n\nCLOUD SERVICES\n\nBUSINESS\n\nTELEPHONY\n\nADVANCED\n\nM2M SOLUTIONS\n\nBUSINESS IP\n\nSOLUTIONS DATA\n\nNETWORKING VIRTUAL\n\nOFFICE\n\n10 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "programming across the country’s largest markets, as well\n\nas five OMNI Television stations which deliver multilingual news,\n\ninformation and entertainment to Canada’s multiple language\n\ncommunities.\n\nThe Sportsnet specialty network provides sports programming across\n\nCanada through its four regional television channels and its nationally-\n\ndistributed Sportsnet ONE, Sportsnet World, and Sportsnet 360\n\nstations. Rogers also owns other Canadian specialty television channels,\n\nincluding FX Canada, OLN, The Biography Channel and G4.\n\nThe Shopping Channel - Canada’s only nationally televised and\n\nInternet shopping service - is a leading interactive multi-channel\n\nretailer, offering a vast assortment of exclusive products and top brand\n\nnames. As one of Canada’s most innovative and diversified retailers,\n\nit provides customers with exceptional selections in health/beauty,\n\njewelry, home/lifestyle, fashion/accessories, and electronics.\n\nRogers also publishes many well-known consumer magazines, such as\n\nMaclean’s, Chatelaine, FLARE, L’actualité, and Canadian Business, and is\n\nthe leading publisher of a number of industry, medical and financial\n\npublications. Rogers also controls a suite of fast-growing digital media\n\nassets, including 90+ owned and 300+ premium partnership online\n\nsites, as well as the recently launched Next Issue Canada digital\n\nmagazine platform which provides 100+ of North America’s most\n\ncelebrated titles on an unlimited anytime, anywhere basis.\n\nIn sports entertainment, Rogers owns the Toronto Blue Jays baseball\n\nteam and Rogers Centre stadium, Canada’s largest sports and\n\nentertainment facility and home field of the Blue Jays. Rogers also holds\n\na 37.5% investment in Maple Leaf Sports & Entertainment which owns\n\nthe NHL Maple Leafs, NBA Raptors, MLS Toronto FC and a number of\n\nother sports related assets.\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 13",
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- "source_file": "NASDAQ_EMMS_2004.pdf",
- "query": "I am a shareholder of Emmis Communication, but I will be available from the 20th of June to the 4th of July, will the Annual Meeting take place during this period?",
- "target_page": 6,
- "target_passage": "The Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis’ Corporate office.",
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- "text": "Executive Officers\n\nJeffrey H. Smulyan\n\nChairman of the Board,\n\nPresident and Chief Executive Officer\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nRandall Bongarten\n\nTelevision Division President\n\nRichard F. Cummings\n\nRadio Division President\n\nGary L. Kaseff\n\nExecutive Vice President,\n\nGeneral Counsel\n\nPaul W. Fiddick\n\nInternational Division President\n\nMichael Levitan\n\nSenior Vice President,\n\nHuman Resources\n\nGary Thoe\n\nPublishing Division President\n\nBoard of Directors\n\nJeffrey H. Smulyan\n\nChairman of the Board,\n\nPresident and Chief Executive Officer\n\nSusan B. Bayh\n\nFormer Commissioner of the International Joint\n\nCommission of the United States and Canada\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nGary L. Kaseff\n\nExecutive Vice President,\n\nGeneral Counsel\n\nRichard A. Leventhal\n\nPresident and Majority Owner,\n\nLMCS, LLC\n\nPeter A. Lund\n\nMedia consultant and former\n\nPresident of CBS Inc.\n\nGreg A. Nathanson\n\nMedia consultant and former\n\nPresident of Fox Television Stations and\n\nEmmis Television\n\nFrank V. Sica\n\nSenior Advisor\n\nSoros Fund Management LLC\n\nLawrence B. Sorrel\n\nManaging Partner and Co-CEO\n\nTailwind Capital Partners\n\nCorporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n\n317.266.0100.\n\nBusiness\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award-\n\nwinning radio broadcasting, television broadcasting and magazine publishing\n\noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest\n\nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\n\nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in\n\nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.;\n\nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.;\n\nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes\n\n*Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles* and Country\n\nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio\n\nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of\n\nthe population in the Flanders region of Belgium; and has ancillary businesses in\n\nbroadcast sales, publishing and interactive products.\n\nTransfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group,\n\n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\nAnnual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on\n\nWednesday, June 30, 2004, at Emmis’ Corporate office.\n\nForm 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29,\n\n2004, which was filed with the Securities and Exchange Commission, will be sent\n\nto shareholders without charge upon written request to Kate Healey, Emmis\n\nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700,\n\nIndianapolis, Indiana 46204, or ir@emmis.com.\n\nMarket and Dividend Information\n\nThe Company’s Class A Common Stock is traded in the over-the-counter market\n\nand is quoted on the National Association of Securities Dealers Automated\n\nQuotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common\n\nStock for the periods indicated. No dividends were paid during any such periods.\n\nQuarter Ended High Low\n\nMay 2002 31.85 26.15\n\nAugust 2002 30.15 11.65\n\nNovember 2002 24.05 14.25\n\nFebruary 2003 24.86 17.82\n\nMay 2003 21.24 14.84\n\nAugust 2003 23.87 18.68\n\nNovember 2003 24.06 18.00\n\nFebruary 2004 28.65 22.74\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A\n\nCommon Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate\n\npaying any dividends on shares of its common stock in the foreseeable future.",
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- "text": "###### Outperform Emmis Communications 2004 Annual Report",
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- "text": "Dear Shareholders,\n\nOn our year-end conference call, I said that last year was the\n\nbest in Emmis Communications’ history. And while that might\n\nhave sounded like the usual Wall Street hyperbole - like any\n\nother CEO bragging about his company’s performance - the\n\ndifference is, I believed it. And I still do.\n\nBut I’ve been in this business long enough to know two\n\nthings for sure: What I believe is not as important as what I\n\ncan prove, and what we did last year is only meaningful if it\n\nreflects on how we will do in the coming year. The good\n\nnews is, Emmis does have the results to back up my high\n\npraise, and what we did to perform last year does directly\n\nrelate to how we’ll perform in the year ahead.\n\n**The best year**\n\nThe bottom line is this: Emmis Communications turned in a\n\nremarkable performance last year. Again and again, and by a\n\nnumber of measures, we outperformed our peers, our mar-\n\nkets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about\n\nevery way. The economy was unstable, public companies\n\ncame under continuing scrutiny, indecency issues hounded\n\nbroadcasters, competition for tight ad dollars increased and\n\ntechnology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges.\n\nInstead, they worked through them. They innovated, hustled\n\nand focused. And they produced.\n\nOur radio division’s revenue growth led our markets and the\n\nindustry - in our fiscal year, our group was up 4.5 percent\n\nwhile our markets were up 2.7 percent and the industry only\n\n1 percent. Based on this kind of performance, we have con-\n\nsistently ranked among the nation’s leaders in per-station\n\nrevenue, and we continue to produce top-rated programming\n\nin markets across the nation.\n\nOur TV performance was even more impressive. The Emmis\n\ntelevision group’s revenues were up 0.5 percent in calendar\n\n2003, a year when our markets saw a 2.3 percent decrease\n\nin revenues, and the industry experienced a 4.7 percent\n\nrevenue decline. This industry-leading result made us one of\n\nthe few groups in the nation to post positive growth. In addi-\n\ntion, we gained revenue share at 11 of our 13 measured\n\nstations and held the line on expenses, giving us a 1.2\n\npercent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong\n\nresults. In a tough publishing market, our magazines boosted\n\ntheir division’s revenues by 4.6 percent over last year and\n\nincreased cash flow by 3.3 percent. Our international division\n\nturned in a revenue increase of 27 percent and a cash flow\n\nincrease of 31 percent.\n\nIn addition to boosting performance in our divisions, we\n\nhoned our corporate operations by continuing to build one\n\nof the most adept and hardest-working corporate groups in\n\nAmerican media. With this team in place, we’ve brought\n\nour leverage and cost of capital down to more manageable\n\nlevels, found ways to combat the continually increasing\n\ncosts of health insurance and, in a truly top-notch effort,\n\nsmoothly integrated our new Austin radio properties - in just\n\nunder a year as a part of Emmis, the Austin properties are\n\nenjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is\n\nits impact on your investment. I’m proud to say that we saw\n\na 27 percent increase in our share price over the course of\n\nthe last fiscal year - we ended fiscal ’03 at 19.79, and closed\n\nthe book on fiscal ’04 at 25.17.\n\n**How we did it**\n\nOperationally, we were on top of our game last year. However,\n\nas I said, I know that the past year’s performance really only\n\nmatters if it reflects on what we’ll do in the coming year. The\n\ngood news is, it does. We performed at these high levels not\n\nby doing something unusual, but by operating the way Emmis\n\nhas always operated, and the way we always will.\n\nFirst of all, we focus on assembling and maintaining the best\n\nteams in our markets. We have traditionally had the top\n\nsalespeople, creative and technical professionals, news\n\nstaffs, managers and support staff in every city where we\n\noperate. Their peers turn to them for industry leadership,\n\nhonor them with awards and copy them at every opportunity.\n\nWe invest in these people, giving them industry-leading ben-\n\nefits packages, great opportunities and the tools they need to\n\nsucceed. This has always been a hallmark of Emmis, and it\n\nwon’t change.\n\n##### you can count on emmis to continue to do",
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- "text": "Annual Report 2004 34\n\nacknowledgment from the\n\nChairman or his representative\n\n(and executives from the\n\nSecretary or a person appointed\n\nby the Board) of an intention\n\nprior to any dealings in\n\nsecurities either by themselves\n\nor by their associates, and must\n\npromptly notify details following\n\nthe dealing.\n\nThe Company’s policy is that\n\ntrading in Santos securities is\n\npermitted, with approval as set\n\nout above, only during the\n\nfollowing periods:\n\n- the period commencing\n\ntwo clear days after the\n\nannouncement of the\n\nCompany’s annual results\n\nand ending 1 July; and\n\n- the period commencing\n\ntwo clear days after the\n\nannouncement of the\n\nCompany’s half yearly\n\nresults and ending 1 January.\n\nUnder the guidelines,\n\nprohibitions on dealing in\n\nsecurities apply not only to\n\nthe acquisition and disposal of\n\nshares, but also to the acquiring,\n\ntaking, assigning and releasing\n\nof options traded in the options\n\nmarket. Directors and executives\n\nmay not deal in securities on\n\nconsiderations of a short-term\n\nnature.\n\n**11. CONTINUOUS DISCLOSURE**\n\n**& SHAREHOLDER**\n\n**COMMUNICATION**\n\nThe Company is committed to\n\ngiving all shareholders timely\n\nand equal access to information\n\nconcerning the Company.\n\nThe Company has developed\n\npolicies and procedures in\n\naccordance with its commitment\n\nto fulfilling its obligations to\n\nshareholders and the broader\n\nmarket for continuous disclosure.\n\nThe policies are summarised in\n\nthis Statement, which may be\n\naccessed at the Company’s\n\nwebsite at www.santos.com.\n\nThe Company is currently in the\n\nprocess of compiling stand-alone\n\nsummaries of relevant policies\n\nfor inclusion on the Corporate\n\nGovernance section of the\n\nCompany’s website. The policies\n\nare regularly reviewed and\n\nupdated for changes to the law\n\nand the Listing Rules. The\n\nCompany notes that the ASX\n\nBest Practice Recommendations\n\nare for full copies of certain\n\npolicies and charters to be\n\nincluded on the website. The\n\nCompany has been working on\n\nthis during the year, together\n\nwith the update of the website\n\nitself. These will shortly be\n\navailable on the Corporate\n\nGovernance section of the\n\nwebsite.\n\nThese policies establish\n\nprocedures to ensure that\n\nDirectors and management are\n\naware of and fulfil their\n\nobligations in relation to the\n\ntimely disclosure of material\n\nprice sensitive information.\n\nInformation must not be\n\nselectively disclosed prior to\n\nbeing announced to the ASX,\n\nNASDAQ or New Zealand\n\nExchange Ltd (NZX). Directors\n\nand executive management must\n\nnotify the Company Secretary as\n\nsoon as they become aware of\n\ninformation that should be\n\nconsidered for release to the\n\nmarket.\n\nWhen the Company makes an\n\nannouncement to the market,\n\nthat announcement is released\n\nto each exchange where its\n\nshares are listed: ASX, NASDAQ\n\nand NZX. The Company Secretary\n\nis responsible for communications\n\nwith the exchanges. All material\n\ninformation disclosed to the ASX\n\nis posted on the Company’s\n\nwebsite at www.santos.com. This\n\nincludes ASX announcements,\n\nannual reports (including\n\ntherefore this Corporate\n\nGovernance Statement), notices\n\nof meeting, CEO briefings, media\n\nreleases, and materials presented\n\nat investor, media and analyst\n\nbriefings. An email “alert”\n\nfacility is also offered to\n\nshareholders. Web-casting of\n\nmaterial presentations, including\n\nannual and half-yearly results\n\npresentations, is provided for\n\nthe benefit of shareholders,\n\nregardless of their location.\n\nAdditionally, the Company’s\n\nexternal auditor attends annual\n\ngeneral meetings to be available\n\nto answer shareholder questions\n\nrelevant to the conduct of\n\nthe audit.",
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- "source_file": "ASX_STO_2004.pdf"
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- "text": "68\n\n**Item 9B. Other Information.**\n\nNone.\n\n**PART III**\n\n**Item 10. Directors, Executive Officers and Corporate Governance.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of\n\nShareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nExecutive Officers\n\nDirector Elections\n\nBoard Committees and Charters\n\nDirector Nominating Process\n\nWebsite Access to Corporate Governance Documents\n\nSection 16(a) Beneficial Ownership Reporting Compliance\n\nCorporate Governance\n\nThe certifications of our President and Chief Financial Officer required pursuant to Sections 302 and 906 of the Sarbanes-Oxley Act of 2002\n\nare included as exhibits to this Annual Report on Form 10-K and were included as exhibits to each of our quarterly reports on Form 10-Q.\n\nOur President certified to the New York Stock Exchange (“NYSE”) on May 15, 2014 pursuant to Section 303A.12(a) of the NYSE’s listing\n\nstandards, that he was not aware of any violation by the Company of the NYSE’s corporate governance listing standards as of that date.\n\n**Item 11. Executive Compensation.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of\n\nShareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nCompensation of Executive Officers\n\nCompensation Discussion and Analysis\n\nDirector Compensation\n\nCompensation Committee Interlocks and Insider Participation\n\n**Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Shareholder Matters.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of\n\nShareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nSecurity Ownership of Certain Beneficial Owners and Management\n\nEquity Compensation Plans\n\n**Item 13. Certain Relationships and Related Transactions, and Director Independence.**\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of\n\nShareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nElection of Directors\n\nCertain Relationships and Related Transactions\n\n**Item 14. Principal Accounting Fees and Services.**\n\nThe information required under this item is included in the following section of our Proxy Statement for our 2015 Annual Meeting of\n\nShareholders, the section of which is incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nRatification of the Appointment of Independent Registered Public Accounting Firm",
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- "text": "#### about emmis\n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM\n\ndomestic radio stations serving the nation’s largest markets of New\n\nYork, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\n\nIndianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television\n\nstations, award-winning regional and specialty magazines, a radio net-\n\nwork, international radio interests, and ancillary businesses in broadcast\n\nsales and publishing.\n\nEmmis was founded in 1980, and the company launched its first radio\n\nstation, WENS-FM, in July 1981. As Emmis (the Hebrew word for\n\n“truth”) acquired more radio stations across the nation, it established a\n\nreputation for sound operations and emerged as a radio industry leader\n\nand innovator. Emmis was the first broadcast company to own top-\n\nrated radio stations in both L.A. and New York, and it pioneered such\n\nconcepts as the all-sports format.\n\nThe company launched its magazine division in 1988 with the purchase\n\nof *Indianapolis Monthly* , and moved into the world of international radio\n\nin 1997, when it was awarded a license to operate a national radio\n\nnetwork in Hungary. In 1998, Emmis expanded into television by buying\n\nsix television stations in markets throughout the United States. In the last\n\nsix years, the company has added properties in each of its divisions.\n\nWith its emphasis on solid operations, integrity, community involvement\n\nand fun, the company’s culture has been repeatedly lauded by both its\n\nemployees and its peers. Trade publications have regularly cited the\n\ncompany’s leaders as being among the best in the business.\n\nEmmis became a public company in 1994. It maintains its worldwide\n\nheadquarters in Indianapolis, where the company was founded.\n\n*This annual report contains certain non-GAAP measures. For a presen-*\n\n*tation of the directly comparable GAAP measure and a reconciliation of*\n\n*the non-GAAP measures to the GAAP measures, see the attachment to*\n\n*the back of our Form 10-K in this Annual Report.*",
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- "text": "Annual Report 2004 30\n\nof, non-executive, independent\n\nDirectors, except for the\n\nEnvironmental and Safety\n\nCommittee, which includes\n\nthe CEO as a member.\n\nThe Board Guidelines prescribe\n\nthat the Board is to meet at\n\nleast eight times a year,\n\nincluding a strategy meeting of\n\ntwo days duration. The number\n\nof meetings of the Board and of\n\neach of its Committees and the\n\nnames of attendees at those\n\nmeetings are set out on page 47\n\nof this Annual Report. Board\n\nMeetings are structured in two\n\nseparate sessions, without\n\nmanagement present for one of\n\nthose sessions. The agenda for\n\nmeetings is prepared by the\n\nCompany Secretary in\n\nconjunction with the Chairman\n\nand CEO, with periodic input\n\nfrom the Board. Comprehensive\n\nBoard papers are distributed to\n\nDirectors in advance of\n\nscheduled meetings. Board\n\nmeetings take place both at the\n\nCompany’s head office and at key\n\noperating sites, to assist the\n\nBoard in its understanding of\n\noperational issues.\n\nExecutive management attend\n\nBoard and Committee meetings,\n\nat which they report to Directors\n\nwithin their respective areas of\n\nresponsibility. This assists the\n\nBoard in maintaining its\n\nunderstanding of the Company’s\n\nbusiness and assessing the\n\nexecutive management team.\n\nWhere appropriate, advisors to\n\nthe Company attend meetings of\n\nthe Board and of its Committees.\n\n**2.3 Composition of the Board**\n\nThe composition of the Board is\n\ndetermined in accordance with\n\nthe Company’s Constitution and\n\nthe Board Guidelines which,\n\namong other things, require that:\n\n- the Board is to comprise\n\na minimum of five and a\n\nmaximum of ten Directors\n\n(exclusive of the CEO);\n\n- the Board should comprise a\n\nsubstantial majority of\n\nindependent, non-executive\n\nDirectors;\n\n- there should be a separation\n\nof the roles of Chairman and\n\nChief Executive Officer of the\n\nCompany; and\n\n- the Chairman of the Board\n\nshould be an independent,\n\nnon-executive Director.\n\nUnder the Company’s\n\nConstitution approximately one-\n\nthird of Directors retire by\n\nrotation each year and Directors\n\nappointed during the year are\n\nrequired to submit themselves\n\nfor election by shareholders at\n\nthe Company’s next Annual\n\nGeneral Meeting. The Board\n\nGuidelines encourage Directors to\n\nretire at the first Annual General\n\nMeeting after reaching the age\n\nof 72 years and not seek re-\n\nappointment.\n\nCurrently, the Board comprises\n\neight non-executive Directors\n\nand one executive Director. The\n\nBoard has adopted the definition\n\nset out in the ASX Best Practice\n\nRecommendations and as defined\n\nin the 2002 guidelines of the\n\nInvestment and Financial\n\nServices Association Limited and\n\nconsiders all current non-\n\nexecutive Directors, including the\n\nChairman, to be independent\n\ndirectors.\n\nGenerally, the Board considers a\n\nDirector to be independent if he\n\nor she is not a member of\n\nmanagement and is free of any\n\nbusiness or other relationship\n\nthat could materially interfere\n\nwith, or could reasonably be\n\nperceived to materially interfere\n\nwith, the Director’s ability to\n\nact in the best interests of the\n\nCompany. The Board will assess\n\nthe materiality of any given\n\nrelationship that may affect\n\nindependence on a case by case\n\nbasis and has adopted\n\nmateriality guidelines to assist in\n\nthat assessment. Under these\n\nguidelines, the following\n\ninterests are regarded as material\n\nin the absence of any mitigating\n\nfactors:\n\n- a holding of 5% or more of\n\nthe Company’s voting shares or\n\na direct association with an\n\nentity that holds more than\n\n5% of the Company’s voting\n\nshares;\n\n- an affiliation with an entity\n\nwhich accounts for 5% or more\n\nor the revenue or expense of\n\nthe Company.\n\nThe Board has determined that\n\nthere should not be any arbitrary\n\nlength of tenure that should be\n\nconsidered to materially interfere\n\nwith a Director’s ability to act in\n\nthe best interests of the\n\nCompany, as it believes this\n\nassessment must be made on a\n\ncase by case basis with reference\n\nto the length of service of all\n\nmembers of the Board.\n\nEach Director’s independence is\n\nassessed by the Board on an\n\nindividual basis, with reference\n\nto the above materiality\n\nguidelines and focussing on an\n\nassessment of each Director’s\n\ncapacity to bring independence\n\nof judgment to Board decisions.\n\nIn this context, as mentioned\n\nbelow, Directors are required to\n\npromptly disclose their interests\n\nin contracts and other\n\ndirectorships and offices held.\n\nThe names and details of the\n\nexperience, qualifications, special\n\nresponsibilities, and term of\n\noffice of each Director of the\n\nCompany are set out on page 41\n\nof this Annual Report. Details\n\nof each Director’s attendance at\n\nBoard and Committee Meetings\n\nand their shareholdings are also\n\nset out on page 47 of this\n\nAnnual Report.\n\n**2.4 Nomination Committee**\n\nThe role, responsibilities and\n\nmembership requirements of\n\nthe Nomination Committee are\n\ndocumented in the Board\n\nGuidelines and in a separate\n\nCharter, approved by the Board.\n\nUnder the Board Guidelines,\n\nit is the responsibility of the\n\nNomination Committee to devise\n\nthe criteria for, and review\n\nmembership of, and nominations\n\nto, the Board. The primary\n\ncriteria adopted in selection of\n\nsuitable Board candidates is their\n\ncapacity to contribute to the\n\nongoing development of the\n\nCompany having regard to the\n\nlocation and nature of the\n\nCompany’s significant business\n\ninterests and to the candidates’\n\nage and experience by reference\n\nto the attributes of existing\n\nBoard members.\n\nWhen a Board vacancy exists or\n\nwhere it is considered that the\n\nBoard would benefit from the\n\nservices of a new Director with\n\nparticular skills, the Nomination\n\nCommittee has responsibility for\n\nproposing candidates for\n\nconsideration by the Board and,\n\nwhere appropriate, engages the\n\nservices of external consultants.\n\nPrior to appointment, each\n\nDirector is provided with a letter\n\nof appointment which encloses a\n\ncopy of the Company’s\n\nConstitution and of the relevant\n\npolicies. Additionally, the\n\nexpectations of the Board in",
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- "text": "### D I R E C TO R S ’ R E P O R T\n\n31\n\nat the Company’s annual general meeting in November 2000, it was proposed to invite each\n\nholder of the above options to subscribe for one new 30 November 2001, 0.75 cent option for\n\neach of the above options held on its expiry at a proposed issue price of 1 cent per new option.\n\nThere is no inherent right arising from these options to participate in any new issue of shares in\n\nthe Company which may be offered to shareholders from time to time prior to the exercise of\n\nthe options. The Company will ensure however, that during the exercise period, for the purpose\n\nof determining entitlement to any new issue, the relevant record date will be at least 12 business\n\ndays after the new issue is exercised, so as to give the holder of options an opportunity to exercise\n\ntheir options prior to the relevant record date of any new issue.\n\nIn accordance with the provisions of the\n\nMermaid Marine Australia Limited Employee Share Option Incentive Plan (the “Employee\n\nOption Plan”), as at the date of this report a total of 42 employees have under option an aggregate\n\nof 615,000 ordinary shares in the Company. Of the 615,000 ordinary shares under option pursuant\n\nto the Employee Option Plan, half (307,500) may be purchased within 12 months of 18 June 2000\n\nat an issue price of 60 cents per share and half (307,500) may be purchased within 12 months of\n\n18 June 2000 at an issue price of 70 cents per share.\n\nHolders of options over unissued shares in the Company do not have the right, by virtue of the\n\noption, to participate in any share issue or interest issue of the Company or of any other body\n\ncorporate or registered scheme.\n\nAs at the date of this report no shares have been issued during or since the end of the Financial\n\nYear as a result of the exercise of an option over unissued shares in the Company.\n\nDuring the Financial Year, Mermaid paid a premium for a contract insuring all of the directors\n\nof the Company, the company secretaries and all executive officers of Mermaid against any\n\nliability incurred by such director, secretary or executive officer during the course of their duties\n\nas such director, secretary or executive officer to the extent permitted by the Corporations Law.\n\nThe policy does not allocate an identifiable part of the premium to specific directors or officers.\n\nAccordingly, the premium paid has not been apportioned to directors’ remuneration.\n\nThe company has not otherwise during or since the end of the Financial Year, indemnified or\n\nagreed to indemnify an officer or auditor of the company against a liability incurred as such\n\nofficer or auditor.\n\nE M P L OY E E S H A R E O P T I O N I N C E N T I V E P L A N\n\nI N D E M N I T I E S A N D I N S U R A N C E P R E M I U M S F O R O F F I C E R S A N D A U D I T O R S",
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- "text": "##### **PART II. OTHER INFORMATION**\n\n##### **ITEM 1. LEGAL PROCEEDINGS**\n\nFor a description of our material pending legal proceedings, please see Note 10, *Commitments and Contingencies* , to the\n\nconsolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q.\n\n##### **ITEM 1A. RISK FACTORS**\n\nOur operations and financial results are subject to various risks and uncertainties, including the factors discussed in Part\n\nI, Item 1A, *Risk Factors* in our Annual Report on Form 10-K for the year ended December 31, 2023, which could adversely\n\naffect our business, financial conditions and future results.\n\n##### **ITEM 2. UNREGISTERED SALES OF EQUITY SECURITIES AND USE OF PROCEEDS**\n\nIn connection with the offering of 2.00% Convertible Senior Notes due 2024 in May 2019, we sold warrants to each of\n\nSociété Générale, Wells Fargo Bank, National Association, Credit Suisse Capital LLC (later assigned to UBS AG, London\n\nBranch) and Goldman, Sachs & Co. LLC (together, the “2019 Warrantholders”). Between August 19, 2024 and September 30,\n\n2024, we issued an aggregate of 8,506,223 shares of our common stock to the 2019 Warrantholders pursuant to their exercise of\n\nsuch warrants, which were net of the applicable exercise prices. Such shares were issued pursuant to an exemption from\n\nregistration provided by Rule 3(a)(9) of the Securities Act of 1933.\n\n##### **ITEM 3. DEFAULTS UPON SENIOR SECURITIES**\n\nNone.\n\n##### **ITEM 4. MINE SAFETY DISCLOSURES**\n\nNot applicable.\n\n##### **ITEM 5. OTHER INFORMATION**\n\nNone of the Company’s directors or officers adopted, modified or terminated a Rule 10b5-1 trading arrangement or a\n\nnon-Rule 10b5-1 trading arrangement during the Company’s fiscal quarter ended September 30, 2024, as such terms are\n\ndefined under Item 408(a) of Regulation S-K, except as follows:\n\nOn July 25, 2024, Robyn Denholm, one of our directors, adopted a Rule 10b5-1 trading arrangement for the potential\n\nsale of up to 674,345 shares of our common stock (all resulting from stock options expiring in June 2025), subject to certain\n\nconditions. The arrangement's expiration date is June 18, 2025.\n\nOn July 31, 2024, Kimbal Musk, one of our directors, adopted a Rule 10b5-1 trading arrangement for the potential sale\n\nof up to 152,088 shares of our common stock, subject to certain conditions. The arrangement's expiration date is May 30, 2025.\n\nOn August 12, 2024, Kathleen Wilson-Thompson, one of our directors, adopted a Rule 10b5-1 trading arrangement for\n\nthe potential sale of up to 300,000 shares of our common stock, subject to certain conditions. The arrangement's expiration date\n\nis February 28, 2025.\n\n36",
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- "text": "emmis communications\n\none emmis plaza\n\n40 monument circle\n\nindianapolis, indiana 46204\n\n®",
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- "query": "Who is the President of the TV Department of Emmis Communications?",
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- "text": "Executive Officers\n\nJeffrey H. Smulyan\n\nChairman of the Board,\n\nPresident and Chief Executive Officer\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nRandall Bongarten\n\nTelevision Division President\n\nRichard F. Cummings\n\nRadio Division President\n\nGary L. Kaseff\n\nExecutive Vice President,\n\nGeneral Counsel\n\nPaul W. Fiddick\n\nInternational Division President\n\nMichael Levitan\n\nSenior Vice President,\n\nHuman Resources\n\nGary Thoe\n\nPublishing Division President\n\nBoard of Directors\n\nJeffrey H. Smulyan\n\nChairman of the Board,\n\nPresident and Chief Executive Officer\n\nSusan B. Bayh\n\nFormer Commissioner of the International Joint\n\nCommission of the United States and Canada\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nGary L. Kaseff\n\nExecutive Vice President,\n\nGeneral Counsel\n\nRichard A. Leventhal\n\nPresident and Majority Owner,\n\nLMCS, LLC\n\nPeter A. Lund\n\nMedia consultant and former\n\nPresident of CBS Inc.\n\nGreg A. Nathanson\n\nMedia consultant and former\n\nPresident of Fox Television Stations and\n\nEmmis Television\n\nFrank V. Sica\n\nSenior Advisor\n\nSoros Fund Management LLC\n\nLawrence B. Sorrel\n\nManaging Partner and Co-CEO\n\nTailwind Capital Partners\n\nCorporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n\n317.266.0100.\n\nBusiness\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award-\n\nwinning radio broadcasting, television broadcasting and magazine publishing\n\noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest\n\nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\n\nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in\n\nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.;\n\nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.;\n\nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes\n\n*Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles* and Country\n\nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio\n\nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of\n\nthe population in the Flanders region of Belgium; and has ancillary businesses in\n\nbroadcast sales, publishing and interactive products.\n\nTransfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group,\n\n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\nAnnual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on\n\nWednesday, June 30, 2004, at Emmis’ Corporate office.\n\nForm 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29,\n\n2004, which was filed with the Securities and Exchange Commission, will be sent\n\nto shareholders without charge upon written request to Kate Healey, Emmis\n\nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700,\n\nIndianapolis, Indiana 46204, or ir@emmis.com.\n\nMarket and Dividend Information\n\nThe Company’s Class A Common Stock is traded in the over-the-counter market\n\nand is quoted on the National Association of Securities Dealers Automated\n\nQuotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common\n\nStock for the periods indicated. No dividends were paid during any such periods.\n\nQuarter Ended High Low\n\nMay 2002 31.85 26.15\n\nAugust 2002 30.15 11.65\n\nNovember 2002 24.05 14.25\n\nFebruary 2003 24.86 17.82\n\nMay 2003 21.24 14.84\n\nAugust 2003 23.87 18.68\n\nNovember 2003 24.06 18.00\n\nFebruary 2004 28.65 22.74\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A\n\nCommon Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate\n\npaying any dividends on shares of its common stock in the foreseeable future.",
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- "text": "In addition, we commit ourselves to creating the best content\n\nin our markets. Our magazines routinely dominate their\n\nindustry awards ceremonies - last year, *Texas Monthly* won a\n\ncoveted National Magazine Award, and Emmis publications\n\nclaimed more than half of the awards at the City and\n\nRegional Magazine competition. Our radio stations feature\n\nsome of the industry’s most popular personalities - in 2003,\n\nEmmis people and stations were awarded three Marconi\n\nRadio Awards. And our television operations are regularly\n\nhonored by journalism organizations for their news gathering\n\nand community service. In short, we provide our markets\n\nwith reliable, high-quality content - content that helps us\n\nassemble the audiences our advertisers want to reach.\n\nWe then generate revenue by overallocating to sales. We\n\ngive our teams well-developed strategies, clearly defined\n\nbrands and solid products. We build bigger, better sales\n\nforces and put a greater emphasis on local dollars than our\n\ncompetitors. We hire aggressive managers, set ambitious\n\ngoals and then watch our people work harder and smarter\n\nthan anyone else.\n\nWe also seize the right opportunities and make the most\n\nof them. As the cost of buying radio properties has gone\n\nthrough the roof, we have been careful about buying.\n\nHowever, when we had a chance to acquire the LBJ stations\n\nin Austin, we knew it was the right fit: good stations, a\n\ntremendous heritage and a great culture, all with an opportu-\n\nnity for growth. And we’ve already built on that group’s track\n\nrecord - since we bought them, we’ve reformatted one sta-\n\ntion and quickly sent it to No. 1 in the market, and we’ve\n\npushed revenues up 9 percent for the entire group.\n\nFinally, we innovate. Why has Emmis, traditionally a radio\n\ncompany, become the company to emulate in TV? Because\n\nwe approached TV in a way it’s never been approached\n\nbefore. Why do we operate leading hip-hop stations in mar-\n\nkets across the nation? Because we pioneered the concept.\n\nWhy have we created a new “Music with Class” format in St.\n\nLouis’ Red 104.1? Because we believe we see a new oppor-\n\ntunity. We know that successful companies don’t follow the\n\npack. They lead it, and that’s what we’ll always do.\n\n**The year ahead**\n\nThat last point - innovation - is an important one, especially\n\nfor the future of Emmis, because we are planning something\n\nthat could change the face of American TV and once again\n\ndemonstrate that Emmis is a company that leads the way.\n\nForty years ago, Americans began taking down their TV\n\nantennas and severing broadcasters’ direct link to television\n\naudiences. Since then, the cable companies—the middlemen\n\nwho replaced us—have created more than $300 billion of\n\nvalue for themselves. However, changes in technology have\n\ngiven broadcasters the ability to provide the American public\n\nwith the most popular TV channels, without the middlemen\n\nand at a more reasonable price.\n\nWe are developing an innovative model that will leverage\n\nthat technology to get broadcast companies back into the\n\ngame. I believe it has the potential to revolutionize the\n\ntelevision industry. I also believe it will add substantial value\n\nto your investment.\n\nWe unveiled this concept at the National Association of\n\nBroadcasters meeting in April. I am proud to say that 11\n\nother television companies joined us at that meeting to\n\nexpress their support for what we’re calling the Broadcasters’\n\nInitiative, and more are signing on each week. Once again,\n\nEmmis has leveraged innovation to take a leading role in our\n\nindustries.\n\nWe’ll continue to use innovation to push us forward.\n\nMeanwhile, we’ll also build and maintain the best teams, pro-\n\nduce the best media content, outhustle and outsell our com-\n\npetitors, seize the best opportunities and operate this com-\n\npany better than any other.\n\nIn other words, you can count on Emmis to continue to do\n\nwhat it has always done: Outperform.\n\nThank you for your belief and investment in Emmis.\n\n##### what it has always done: outperform.\n\nJeffrey H. Smulyan\n\nchairman & ceo emmis communications",
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- "text": "14 **Guy Laurence**\n\nPresident and Chief\n\nExecutive Officer\n\n15 **Robert F. Berner**\n\nExecutive Vice President,\n\nNetwork and Chief Technology Officer\n\n16 **Robert W. Bruce**\n\nPresident,\n\nCommunications Division\n\n17 **Linda P. Jojo**\n\nExecutive Vice President,\n\nInformation Technology and\n\nChief Information Officer\n\n18 **Philip B. Lind, CM**\n\nExecutive Vice President,\n\nRegulatory and Vice Chairman\n\n19 **David P. Miller**\n\nSenior Vice President,\n\nLegal and General Counsel\n\n20 **Keith W. Pelley**\n\nPresident, Rogers Media\n\n21 **Jim M. Reid**\n\nSenior Vice President,\n\nHuman Resources and\n\nChief Human Resources Officer\n\n22 **Edward S. Rogers**\n\nDeputy Chairman and\n\nExecutive Vice President,\n\nEmerging Business,\n\nCorporate Development\n\n23 **Melinda M. Rogers**\n\nSenior Vice President,\n\nStrategy and Development\n\n24 **Anthony Staffieri, FCPA, FCA**\n\nExecutive Vice President\n\nand Chief Financial Officer\n\n25 **Terrie L. Tweddle**\n\nVice President,\n\nCorporate Communications\n\nAS OF FEBRUARY 11, 2014\n\n##### **SENIOR EXECUTIVE OFFICERS** OF ROGERS COMMUNICATIONS INC.\n\n14\n\n20\n\n15\n\n21\n\n16\n\n22\n\n17\n\n23\n\n18\n\n24\n\n19\n\n25\n\nFor detailed biographical information\n\nof Rogers Executive Officers, go to\n\n**rogers.com/investors**\n\nSENIOR **EXECUTIVE OFFICERS**\n\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 21",
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- "text": "###### Outperform Emmis Communications 2004 Annual Report",
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- "text": "Dear Shareholders,\n\nOn our year-end conference call, I said that last year was the\n\nbest in Emmis Communications’ history. And while that might\n\nhave sounded like the usual Wall Street hyperbole - like any\n\nother CEO bragging about his company’s performance - the\n\ndifference is, I believed it. And I still do.\n\nBut I’ve been in this business long enough to know two\n\nthings for sure: What I believe is not as important as what I\n\ncan prove, and what we did last year is only meaningful if it\n\nreflects on how we will do in the coming year. The good\n\nnews is, Emmis does have the results to back up my high\n\npraise, and what we did to perform last year does directly\n\nrelate to how we’ll perform in the year ahead.\n\n**The best year**\n\nThe bottom line is this: Emmis Communications turned in a\n\nremarkable performance last year. Again and again, and by a\n\nnumber of measures, we outperformed our peers, our mar-\n\nkets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about\n\nevery way. The economy was unstable, public companies\n\ncame under continuing scrutiny, indecency issues hounded\n\nbroadcasters, competition for tight ad dollars increased and\n\ntechnology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges.\n\nInstead, they worked through them. They innovated, hustled\n\nand focused. And they produced.\n\nOur radio division’s revenue growth led our markets and the\n\nindustry - in our fiscal year, our group was up 4.5 percent\n\nwhile our markets were up 2.7 percent and the industry only\n\n1 percent. Based on this kind of performance, we have con-\n\nsistently ranked among the nation’s leaders in per-station\n\nrevenue, and we continue to produce top-rated programming\n\nin markets across the nation.\n\nOur TV performance was even more impressive. The Emmis\n\ntelevision group’s revenues were up 0.5 percent in calendar\n\n2003, a year when our markets saw a 2.3 percent decrease\n\nin revenues, and the industry experienced a 4.7 percent\n\nrevenue decline. This industry-leading result made us one of\n\nthe few groups in the nation to post positive growth. In addi-\n\ntion, we gained revenue share at 11 of our 13 measured\n\nstations and held the line on expenses, giving us a 1.2\n\npercent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong\n\nresults. In a tough publishing market, our magazines boosted\n\ntheir division’s revenues by 4.6 percent over last year and\n\nincreased cash flow by 3.3 percent. Our international division\n\nturned in a revenue increase of 27 percent and a cash flow\n\nincrease of 31 percent.\n\nIn addition to boosting performance in our divisions, we\n\nhoned our corporate operations by continuing to build one\n\nof the most adept and hardest-working corporate groups in\n\nAmerican media. With this team in place, we’ve brought\n\nour leverage and cost of capital down to more manageable\n\nlevels, found ways to combat the continually increasing\n\ncosts of health insurance and, in a truly top-notch effort,\n\nsmoothly integrated our new Austin radio properties - in just\n\nunder a year as a part of Emmis, the Austin properties are\n\nenjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is\n\nits impact on your investment. I’m proud to say that we saw\n\na 27 percent increase in our share price over the course of\n\nthe last fiscal year - we ended fiscal ’03 at 19.79, and closed\n\nthe book on fiscal ’04 at 25.17.\n\n**How we did it**\n\nOperationally, we were on top of our game last year. However,\n\nas I said, I know that the past year’s performance really only\n\nmatters if it reflects on what we’ll do in the coming year. The\n\ngood news is, it does. We performed at these high levels not\n\nby doing something unusual, but by operating the way Emmis\n\nhas always operated, and the way we always will.\n\nFirst of all, we focus on assembling and maintaining the best\n\nteams in our markets. We have traditionally had the top\n\nsalespeople, creative and technical professionals, news\n\nstaffs, managers and support staff in every city where we\n\noperate. Their peers turn to them for industry leadership,\n\nhonor them with awards and copy them at every opportunity.\n\nWe invest in these people, giving them industry-leading ben-\n\nefits packages, great opportunities and the tools they need to\n\nsucceed. This has always been a hallmark of Emmis, and it\n\nwon’t change.\n\n##### you can count on emmis to continue to do",
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- "text": "###### Board of Directors",
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- "text": "#### about emmis\n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM\n\ndomestic radio stations serving the nation’s largest markets of New\n\nYork, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\n\nIndianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television\n\nstations, award-winning regional and specialty magazines, a radio net-\n\nwork, international radio interests, and ancillary businesses in broadcast\n\nsales and publishing.\n\nEmmis was founded in 1980, and the company launched its first radio\n\nstation, WENS-FM, in July 1981. As Emmis (the Hebrew word for\n\n“truth”) acquired more radio stations across the nation, it established a\n\nreputation for sound operations and emerged as a radio industry leader\n\nand innovator. Emmis was the first broadcast company to own top-\n\nrated radio stations in both L.A. and New York, and it pioneered such\n\nconcepts as the all-sports format.\n\nThe company launched its magazine division in 1988 with the purchase\n\nof *Indianapolis Monthly* , and moved into the world of international radio\n\nin 1997, when it was awarded a license to operate a national radio\n\nnetwork in Hungary. In 1998, Emmis expanded into television by buying\n\nsix television stations in markets throughout the United States. In the last\n\nsix years, the company has added properties in each of its divisions.\n\nWith its emphasis on solid operations, integrity, community involvement\n\nand fun, the company’s culture has been repeatedly lauded by both its\n\nemployees and its peers. Trade publications have regularly cited the\n\ncompany’s leaders as being among the best in the business.\n\nEmmis became a public company in 1994. It maintains its worldwide\n\nheadquarters in Indianapolis, where the company was founded.\n\n*This annual report contains certain non-GAAP measures. For a presen-*\n\n*tation of the directly comparable GAAP measure and a reconciliation of*\n\n*the non-GAAP measures to the GAAP measures, see the attachment to*\n\n*the back of our Form 10-K in this Annual Report.*",
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- "text": "emmis communications\n\none emmis plaza\n\n40 monument circle\n\nindianapolis, indiana 46204\n\n®",
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- "text": "1 **Alan D. Horn, CPA, CA**\n\nChairman, President and\n\nChief Executive Officer,\n\nRogers Telecommunications Ltd.\n\n2 **Peter C. Godsoe, O.C., O. Ont.**\n\nLead Director,\n\nCompany Director\n\n14 **Guy Laurence***\n\nPresident and Chief Executive Officer,\n\nRogers Communications\n\n3 **Charles William David Birchall**\n\nVice Chairman,\n\nBarrick Gold Corporation\n\n4 **Stephen A. Burch**\n\nChairman,\n\nUniversity of Maryland Medical Systems\n\n5 **John H. Clappison, FCPA, FCA**\n\nCompany Director\n\n6 **Thomas I. Hull**\n\nChairman and Chief Executive Officer,\n\nThe Hull Group of Companies\n\n18 **Philip B. Lind, CM ***\n\nExecutive Vice President,\n\nRegulatory and Vice Chairman,\n\nRogers Communications\n\n7 **John A. MacDonald**\n\nCompany Director\n\n8 **Isabelle Marcoux**\n\nChair,\n\nTranscontinental Inc.\n\n9 **The Hon. David R. Peterson, PC, QC**\n\nSenior Partner and Chairman,\n\nCassels Brock & Blackwell LLP\n\n22 **Edward S. Rogers***\n\nDeputy Chairman and\n\nExecutive Vice President,\n\nEmerging Business,\n\nCorporate Development,\n\nRogers Communications\n\n10 **Loretta A. Rogers**\n\nCompany Director\n\n11 **Martha L. Rogers**\n\nDoctor of\n\nNaturopathic Medicine\n\n23 **Melinda M. Rogers***\n\nSenior Vice President,\n\nStrategy and Development,\n\nRogers Communications\n\n12 **Dr. Charles Sirois**\n\nChief Executive Officer,\n\nTelesystem Ltd.\n\n13 **John H. Tory, O. Ont.**\n\nCompany Director\n\n*** Management Directors are pictured on the following page.**\n\nAS OF FEBRUARY 11, 2014\n\n##### **DIRECTORS** OF ROGERS COMMUNICATIONS INC.\n\n3\n\n9\n\n4\n\n10\n\n5\n\n11\n\n6 7 8\n\n1 2\n\n12 13\n\n**DIRECTORS**\n\nFor detailed biographical\n\ninformation of Rogers Directors,\n\ngo to **rogers.com/investors**\n\n20 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "## Outperform.\n\n###### emmis communications 2004 abbreviated financial highlights *in thousands except where noted*\n\n*year ended Feb. 28 (29)* ’00 ’01 ’02 ’03 ’04\n\nnet revenues 325,265 473,345 539,822 562,363 591,868\n\nstation operating income* 125,477 174,213 185,665 213,112 220,445\n\nstation op income margin 38.6% 36.8% 34.4% 37.9% 37.2%\n\nleverage 2.5x 6.8x 9.3x 6.5x 6.7x\n\n**excluding noncash compensation*\n\npublishing tv radio\n\n5\n\n4\n\n3\n\n2\n\n1\n\n0 1% 2.7% 4.5%\n\n**INDUSTRY**\n\n**MARKETS**\n\n**EMMIS**\n\nradio division revenue growth fiscal 2004\n\n$600,000\n\n$500,000\n\n$400,000\n\n$300,000\n\n$200,000\n\n$100,000\n\n$0 00 01 02 03 04\n\n$300,000\n\n$250,000\n\n$200,000\n\n$150,000\n\n$100,000\n\n$50,000\n\n$0 00 01 02 03 04\n\n**325,265**\n\n**473,345 539,822 562,363 591,868**\n\n**125,447**\n\n**174,213 185,665 213,112 220,445**\n\nnet revenue station operating income, excluding noncash compensation\n\n4\n\n2\n\n0\n\n-2\n\n-4\n\n-6 -4.7% -2.3% 0.5%\n\n**INDUSTRY MARKETS EMMIS**\n\ntv division revenue growth calendar 2003",
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- "query": "Does the radio station 93.7 in Austin belong to Emmis Communication?",
- "target_page": 7,
- "target_passage": "KLBJ-FM (93.7), Album Oriented Rock",
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- "text": "#### about emmis\n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM\n\ndomestic radio stations serving the nation’s largest markets of New\n\nYork, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\n\nIndianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television\n\nstations, award-winning regional and specialty magazines, a radio net-\n\nwork, international radio interests, and ancillary businesses in broadcast\n\nsales and publishing.\n\nEmmis was founded in 1980, and the company launched its first radio\n\nstation, WENS-FM, in July 1981. As Emmis (the Hebrew word for\n\n“truth”) acquired more radio stations across the nation, it established a\n\nreputation for sound operations and emerged as a radio industry leader\n\nand innovator. Emmis was the first broadcast company to own top-\n\nrated radio stations in both L.A. and New York, and it pioneered such\n\nconcepts as the all-sports format.\n\nThe company launched its magazine division in 1988 with the purchase\n\nof *Indianapolis Monthly* , and moved into the world of international radio\n\nin 1997, when it was awarded a license to operate a national radio\n\nnetwork in Hungary. In 1998, Emmis expanded into television by buying\n\nsix television stations in markets throughout the United States. In the last\n\nsix years, the company has added properties in each of its divisions.\n\nWith its emphasis on solid operations, integrity, community involvement\n\nand fun, the company’s culture has been repeatedly lauded by both its\n\nemployees and its peers. Trade publications have regularly cited the\n\ncompany’s leaders as being among the best in the business.\n\nEmmis became a public company in 1994. It maintains its worldwide\n\nheadquarters in Indianapolis, where the company was founded.\n\n*This annual report contains certain non-GAAP measures. For a presen-*\n\n*tation of the directly comparable GAAP measure and a reconciliation of*\n\n*the non-GAAP measures to the GAAP measures, see the attachment to*\n\n*the back of our Form 10-K in this Annual Report.*",
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- "text": "emmis entities\n\n**RADIO**\n\n**Austin**\n\nKDHT-FM (93.3), Rhythmic CHR\n\nKEYI-FM (103.5), Oldies\n\nKGSR-FM (107.1), Adult Alternative\n\nKLBJ-AM (590), News/Talk\n\nKLBJ-FM (93.7), Album Oriented Rock\n\nKROX-FM (101.5), Alternative Rock\n\n**Chicago**\n\nWKQX-FM (101.1), Alternative Rock\n\n**Indianapolis**\n\nWENS-FM (97.1), Adult Contemporary\n\nWIBC-AM (1070), News/Talk/Sports\n\nWNOU-FM (93.1), CHR\n\nWYXB-FM (105.7), Soft Adult Contemporary\n\nNetwork Indiana, Statewide news network\n\n**Los Angeles**\n\nKPWR-FM (105.9), Hip-Hop/R&B\n\nKZLA-FM (93.9), Country\n\n**New York**\n\nWQCD-FM (101.9), Smooth Jazz\n\nWQHT-FM (97.7), Hip-Hop\n\nWRKS-FM(98.7), Classic Soul/Today’s R&B\n\n**Phoenix**\n\nKKFR-FM(92.3), Rhythmic CHR\n\nKKLT-FM (98.7), Adult Contemporary\n\nKMVP-AM (860), Sports\n\nKTAR-AM (620), News/Talk/Sports\n\n**St. Louis**\n\nKFTK-FM (97.1), Talk\n\nKIHT-FM (96.3), Classic Hits\n\nKPNT-FM (105.7), Alternative Rock\n\nKSHE-FM (94.7), Album Oriented Rock\n\nWRDA-FM (104.1), New Standards\n\n**Terre Haute**\n\nWTHI-FM (99.9), Country\n\nWWVR-FM (105.5), Classic Rock\n\n**TELEVISION**\n\nAlbuquerque, N.M., KRQE-TV (Channel 13),\n\nCBS programming/local news\n\nFort Myers, Fla., WFTX-TV (Channel 4),\n\nFox programming/local news\n\nGreen Bay, Wis., WLUK-TV (Channel 11),\n\nFox programming/local news\n\nHonolulu, KHON-TV (Channel 2),\n\nFox programming/local news\n\nHonolulu, KGMB-TV (Channel 9),\n\nCBS programming/local news\n\nHuntington/Charleston, W.Va., WSAZ-TV (Channel 3),\n\nNBC programming/local news\n\nMobile, Ala./Pensacola, Fla., WALA-TV (Channel 10),\n\nFox programming/local news\n\nMobile, Ala./Pensacola, Fla., WBPG-TV (Channel\n\n55), WB programming\n\nNew Orleans, WVUE-TV (Channel 8),\n\nFox programming/local news\n\nOmaha, Neb., KMTV-TV (Channel 3),\n\nCBS programming/local news\n\nOrlando, Fla., WKCF-TV (Channel 18),\n\nWB programming\n\nPortland, Ore., KOIN-TV (Channel 6),\n\nCBS programming/local news\n\nTerre Haute, Ind., WTHI-TV (Channel 10),\n\nCBS programming/local news\n\nTopeka, Kan., KSNT-TV (Channel 27),\n\nNBC programming/local news\n\nTucson, Ariz., KGUN-TV (Channel 9),\n\nABC programming/local news\n\nWichita, Kan., KSNW-TV (Channel 3),\n\nNBC programming/local news\n\n**PUBLISHING**\n\n*Atlanta*\n\n*Country Sampler*\n\n*Cincinnati*\n\n*Indianapolis Monthly*\n\n*Los Angeles*\n\n*Texas Monthly*\n\n**INTERNATIONAL**\n\nHungary, Sláger Rádió, Classic Rock/local programming\n\nBelgium, nine stations serving the Flanders region\n\n**RELATED BUSINESSES**\n\nEmmis Books\n\nEmmis Interactive\n\nRDS",
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- "text": "emmis communications\n\none emmis plaza\n\n40 monument circle\n\nindianapolis, indiana 46204\n\n®",
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- "text": "In addition, we commit ourselves to creating the best content\n\nin our markets. Our magazines routinely dominate their\n\nindustry awards ceremonies - last year, *Texas Monthly* won a\n\ncoveted National Magazine Award, and Emmis publications\n\nclaimed more than half of the awards at the City and\n\nRegional Magazine competition. Our radio stations feature\n\nsome of the industry’s most popular personalities - in 2003,\n\nEmmis people and stations were awarded three Marconi\n\nRadio Awards. And our television operations are regularly\n\nhonored by journalism organizations for their news gathering\n\nand community service. In short, we provide our markets\n\nwith reliable, high-quality content - content that helps us\n\nassemble the audiences our advertisers want to reach.\n\nWe then generate revenue by overallocating to sales. We\n\ngive our teams well-developed strategies, clearly defined\n\nbrands and solid products. We build bigger, better sales\n\nforces and put a greater emphasis on local dollars than our\n\ncompetitors. We hire aggressive managers, set ambitious\n\ngoals and then watch our people work harder and smarter\n\nthan anyone else.\n\nWe also seize the right opportunities and make the most\n\nof them. As the cost of buying radio properties has gone\n\nthrough the roof, we have been careful about buying.\n\nHowever, when we had a chance to acquire the LBJ stations\n\nin Austin, we knew it was the right fit: good stations, a\n\ntremendous heritage and a great culture, all with an opportu-\n\nnity for growth. And we’ve already built on that group’s track\n\nrecord - since we bought them, we’ve reformatted one sta-\n\ntion and quickly sent it to No. 1 in the market, and we’ve\n\npushed revenues up 9 percent for the entire group.\n\nFinally, we innovate. Why has Emmis, traditionally a radio\n\ncompany, become the company to emulate in TV? Because\n\nwe approached TV in a way it’s never been approached\n\nbefore. Why do we operate leading hip-hop stations in mar-\n\nkets across the nation? Because we pioneered the concept.\n\nWhy have we created a new “Music with Class” format in St.\n\nLouis’ Red 104.1? Because we believe we see a new oppor-\n\ntunity. We know that successful companies don’t follow the\n\npack. They lead it, and that’s what we’ll always do.\n\n**The year ahead**\n\nThat last point - innovation - is an important one, especially\n\nfor the future of Emmis, because we are planning something\n\nthat could change the face of American TV and once again\n\ndemonstrate that Emmis is a company that leads the way.\n\nForty years ago, Americans began taking down their TV\n\nantennas and severing broadcasters’ direct link to television\n\naudiences. Since then, the cable companies—the middlemen\n\nwho replaced us—have created more than $300 billion of\n\nvalue for themselves. However, changes in technology have\n\ngiven broadcasters the ability to provide the American public\n\nwith the most popular TV channels, without the middlemen\n\nand at a more reasonable price.\n\nWe are developing an innovative model that will leverage\n\nthat technology to get broadcast companies back into the\n\ngame. I believe it has the potential to revolutionize the\n\ntelevision industry. I also believe it will add substantial value\n\nto your investment.\n\nWe unveiled this concept at the National Association of\n\nBroadcasters meeting in April. I am proud to say that 11\n\nother television companies joined us at that meeting to\n\nexpress their support for what we’re calling the Broadcasters’\n\nInitiative, and more are signing on each week. Once again,\n\nEmmis has leveraged innovation to take a leading role in our\n\nindustries.\n\nWe’ll continue to use innovation to push us forward.\n\nMeanwhile, we’ll also build and maintain the best teams, pro-\n\nduce the best media content, outhustle and outsell our com-\n\npetitors, seize the best opportunities and operate this com-\n\npany better than any other.\n\nIn other words, you can count on Emmis to continue to do\n\nwhat it has always done: Outperform.\n\nThank you for your belief and investment in Emmis.\n\n##### what it has always done: outperform.\n\nJeffrey H. Smulyan\n\nchairman & ceo emmis communications",
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- "text": "Dear Shareholders,\n\nOn our year-end conference call, I said that last year was the\n\nbest in Emmis Communications’ history. And while that might\n\nhave sounded like the usual Wall Street hyperbole - like any\n\nother CEO bragging about his company’s performance - the\n\ndifference is, I believed it. And I still do.\n\nBut I’ve been in this business long enough to know two\n\nthings for sure: What I believe is not as important as what I\n\ncan prove, and what we did last year is only meaningful if it\n\nreflects on how we will do in the coming year. The good\n\nnews is, Emmis does have the results to back up my high\n\npraise, and what we did to perform last year does directly\n\nrelate to how we’ll perform in the year ahead.\n\n**The best year**\n\nThe bottom line is this: Emmis Communications turned in a\n\nremarkable performance last year. Again and again, and by a\n\nnumber of measures, we outperformed our peers, our mar-\n\nkets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about\n\nevery way. The economy was unstable, public companies\n\ncame under continuing scrutiny, indecency issues hounded\n\nbroadcasters, competition for tight ad dollars increased and\n\ntechnology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges.\n\nInstead, they worked through them. They innovated, hustled\n\nand focused. And they produced.\n\nOur radio division’s revenue growth led our markets and the\n\nindustry - in our fiscal year, our group was up 4.5 percent\n\nwhile our markets were up 2.7 percent and the industry only\n\n1 percent. Based on this kind of performance, we have con-\n\nsistently ranked among the nation’s leaders in per-station\n\nrevenue, and we continue to produce top-rated programming\n\nin markets across the nation.\n\nOur TV performance was even more impressive. The Emmis\n\ntelevision group’s revenues were up 0.5 percent in calendar\n\n2003, a year when our markets saw a 2.3 percent decrease\n\nin revenues, and the industry experienced a 4.7 percent\n\nrevenue decline. This industry-leading result made us one of\n\nthe few groups in the nation to post positive growth. In addi-\n\ntion, we gained revenue share at 11 of our 13 measured\n\nstations and held the line on expenses, giving us a 1.2\n\npercent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong\n\nresults. In a tough publishing market, our magazines boosted\n\ntheir division’s revenues by 4.6 percent over last year and\n\nincreased cash flow by 3.3 percent. Our international division\n\nturned in a revenue increase of 27 percent and a cash flow\n\nincrease of 31 percent.\n\nIn addition to boosting performance in our divisions, we\n\nhoned our corporate operations by continuing to build one\n\nof the most adept and hardest-working corporate groups in\n\nAmerican media. With this team in place, we’ve brought\n\nour leverage and cost of capital down to more manageable\n\nlevels, found ways to combat the continually increasing\n\ncosts of health insurance and, in a truly top-notch effort,\n\nsmoothly integrated our new Austin radio properties - in just\n\nunder a year as a part of Emmis, the Austin properties are\n\nenjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is\n\nits impact on your investment. I’m proud to say that we saw\n\na 27 percent increase in our share price over the course of\n\nthe last fiscal year - we ended fiscal ’03 at 19.79, and closed\n\nthe book on fiscal ’04 at 25.17.\n\n**How we did it**\n\nOperationally, we were on top of our game last year. However,\n\nas I said, I know that the past year’s performance really only\n\nmatters if it reflects on what we’ll do in the coming year. The\n\ngood news is, it does. We performed at these high levels not\n\nby doing something unusual, but by operating the way Emmis\n\nhas always operated, and the way we always will.\n\nFirst of all, we focus on assembling and maintaining the best\n\nteams in our markets. We have traditionally had the top\n\nsalespeople, creative and technical professionals, news\n\nstaffs, managers and support staff in every city where we\n\noperate. Their peers turn to them for industry leadership,\n\nhonor them with awards and copy them at every opportunity.\n\nWe invest in these people, giving them industry-leading ben-\n\nefits packages, great opportunities and the tools they need to\n\nsucceed. This has always been a hallmark of Emmis, and it\n\nwon’t change.\n\n##### you can count on emmis to continue to do",
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- "text": "Executive Officers\n\nJeffrey H. Smulyan\n\nChairman of the Board,\n\nPresident and Chief Executive Officer\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nRandall Bongarten\n\nTelevision Division President\n\nRichard F. Cummings\n\nRadio Division President\n\nGary L. Kaseff\n\nExecutive Vice President,\n\nGeneral Counsel\n\nPaul W. Fiddick\n\nInternational Division President\n\nMichael Levitan\n\nSenior Vice President,\n\nHuman Resources\n\nGary Thoe\n\nPublishing Division President\n\nBoard of Directors\n\nJeffrey H. Smulyan\n\nChairman of the Board,\n\nPresident and Chief Executive Officer\n\nSusan B. Bayh\n\nFormer Commissioner of the International Joint\n\nCommission of the United States and Canada\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nGary L. Kaseff\n\nExecutive Vice President,\n\nGeneral Counsel\n\nRichard A. Leventhal\n\nPresident and Majority Owner,\n\nLMCS, LLC\n\nPeter A. Lund\n\nMedia consultant and former\n\nPresident of CBS Inc.\n\nGreg A. Nathanson\n\nMedia consultant and former\n\nPresident of Fox Television Stations and\n\nEmmis Television\n\nFrank V. Sica\n\nSenior Advisor\n\nSoros Fund Management LLC\n\nLawrence B. Sorrel\n\nManaging Partner and Co-CEO\n\nTailwind Capital Partners\n\nCorporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n\n317.266.0100.\n\nBusiness\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award-\n\nwinning radio broadcasting, television broadcasting and magazine publishing\n\noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest\n\nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\n\nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in\n\nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.;\n\nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.;\n\nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes\n\n*Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles* and Country\n\nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio\n\nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of\n\nthe population in the Flanders region of Belgium; and has ancillary businesses in\n\nbroadcast sales, publishing and interactive products.\n\nTransfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group,\n\n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\nAnnual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on\n\nWednesday, June 30, 2004, at Emmis’ Corporate office.\n\nForm 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29,\n\n2004, which was filed with the Securities and Exchange Commission, will be sent\n\nto shareholders without charge upon written request to Kate Healey, Emmis\n\nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700,\n\nIndianapolis, Indiana 46204, or ir@emmis.com.\n\nMarket and Dividend Information\n\nThe Company’s Class A Common Stock is traded in the over-the-counter market\n\nand is quoted on the National Association of Securities Dealers Automated\n\nQuotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common\n\nStock for the periods indicated. No dividends were paid during any such periods.\n\nQuarter Ended High Low\n\nMay 2002 31.85 26.15\n\nAugust 2002 30.15 11.65\n\nNovember 2002 24.05 14.25\n\nFebruary 2003 24.86 17.82\n\nMay 2003 21.24 14.84\n\nAugust 2003 23.87 18.68\n\nNovember 2003 24.06 18.00\n\nFebruary 2004 28.65 22.74\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A\n\nCommon Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate\n\npaying any dividends on shares of its common stock in the foreseeable future.",
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- "text": "###### Outperform Emmis Communications 2004 Annual Report",
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- "text": "## Outperform.\n\n###### emmis communications 2004 abbreviated financial highlights *in thousands except where noted*\n\n*year ended Feb. 28 (29)* ’00 ’01 ’02 ’03 ’04\n\nnet revenues 325,265 473,345 539,822 562,363 591,868\n\nstation operating income* 125,477 174,213 185,665 213,112 220,445\n\nstation op income margin 38.6% 36.8% 34.4% 37.9% 37.2%\n\nleverage 2.5x 6.8x 9.3x 6.5x 6.7x\n\n**excluding noncash compensation*\n\npublishing tv radio\n\n5\n\n4\n\n3\n\n2\n\n1\n\n0 1% 2.7% 4.5%\n\n**INDUSTRY**\n\n**MARKETS**\n\n**EMMIS**\n\nradio division revenue growth fiscal 2004\n\n$600,000\n\n$500,000\n\n$400,000\n\n$300,000\n\n$200,000\n\n$100,000\n\n$0 00 01 02 03 04\n\n$300,000\n\n$250,000\n\n$200,000\n\n$150,000\n\n$100,000\n\n$50,000\n\n$0 00 01 02 03 04\n\n**325,265**\n\n**473,345 539,822 562,363 591,868**\n\n**125,447**\n\n**174,213 185,665 213,112 220,445**\n\nnet revenue station operating income, excluding noncash compensation\n\n4\n\n2\n\n0\n\n-2\n\n-4\n\n-6 -4.7% -2.3% 0.5%\n\n**INDUSTRY MARKETS EMMIS**\n\ntv division revenue growth calendar 2003",
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- "text": "ROGERS IS COMMITTED TO DELIVERING WORLD-CLASS\n\nCONTENT AND EXPERIENCES TO CONSUMERS AND\n\nADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY\n\nHAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA\n\nBRANDS WITH COMPELLING CONTENT THAT RESONATES WITH\n\nAUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE.\n\nToday, businesses across Canada connect with customers through Rogers\n\ncategory-leading television and radio assets, sports entertainment,\n\ntelevised and online shopping, publishing, and digital media properties as\n\nthe one-stop solution for all their local and national advertising needs.\n\nRogers Media is Canada’s premier combination of diversified broadcast,\n\nspecialty, sports, print and online media assets which together touch\n\nnearly 90% of Canadians every week. This includes over 50 popular AM\n\nand FM radio stations across Canada. In television, it includes the seven\n\nstation City network which broadcasts intensely local, urban-oriented\n\n**LEADING** CONTENT\n\nLEADING\n\nSPORTSNET TV\n\nFRANCHISE\n\nOMNI\n\nMULTICULTURAL\n\nNETWORK\n\nCITY NATIONAL\n\nTELEVISION\n\nNETWORK\n\nTORONTO\n\nBLUE JAYS\n\nBASEBALL TEAM\n\nNATIONAL\n\nRADIO\n\nPORTFOLIO\n\nTELEVISED\n\nSHOPPING\n\nNETWORK\n\n37.5% OWNERSHIP\n\nOF LEAFS,\n\nRAPTORS & TFC\n\nDIGITAL MEDIA\n\nPORTFOLIO\n\nICONIC\n\nMAGAZINE\n\nBRANDS\n\n12 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT",
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- "text": "### **Our Supporters**\n\nWe thank you all for your steadfast support of our work. In 2023, we received contributions from 30 foundations and companies and over 2,700 individual donors.\n\n#### **Thank You!**\n\nAmateur Radio Digital Communications Andrew Gass Ben Adida Brewster & Mary Kahle Bruno Hannud Colin Sullivan Douglas Jaffe Douglas Van Houweling Esther Wojcicki Garrett Camp Gabriel Levin James Grimmelmann\n\nJohn Seely Brown Lawrence Lessig Marta Belcher Mary Shaw & Roy Weil Molly Van Houweling Mustafa Üstündağ Paul and Iris Brest Reid Borsuk Tassanee Ponlakarn Ted and Michele Wang Zahavah Levine and Jeff Meyer",
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- "query": "What are the two components considered in the expected free energy?",
- "target_page": 4,
- "target_passage": "The former (utilitarian) objective is to realize one’s preferences, such as being satiated or safe, by minimizing the discrepancy between preferred sensa- tions (encoded as “priors over observations” in active inference) and current sensations in different modalities (e.g. interoceptive or exteroceptive). The latter (epistemic) objective is to reduce uncertainty about one’s estimated state",
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- "text": "generative models, or even (deep learning-based) amortised inference models. These vari-\n\nous extensions could provide valuable tools for using AIF models in both theoretical and\n\napplied research.\n\n**Author Contributions:** Conceptualisation, S.W.N., J.E.L. and P.T.W.; methodology, S.W.N., J.E.L. and\n\nP.T.W.; software, S.W.N., J.E.L. and P.T.W.; formal analysis, S.W.N. and J.E.L.; writing—original draft\n\npreparation, S.W.N. and J.E.L.; writing—review and editing, C.H., K.F., C.M. and P.T.W.; visualisation,\n\nS.W.N. and J.E.L.; supervision, C.M. and P.T.W.; project administration, P.T.W. All authors read and\n\nagreed to the published version of this manuscript.\n\n**Funding:** C.M. acknowledges funding from Aarhus Universitets Forskningsfonds (grant no. AUFF-\n\nE-2019-7-10) and from the Carlsberg Foundation (grant no. CF21-0439).\n\n**Institutional Review Board Statement:** Not applicable.\n\n**Informed Consent Statement:** Not applicable.\n\n**Data Availability Statement:** The original data presented in this study are openly available in\n\nActiveInferenceJuliaPaper at URL: [ https://osf.io/j3k5q/](https://osf.io/j3k5q/) .\n\n**Conflicts of Interest:** The authors declare no conflicts of interest. The funders had no role in the design\n\nof this study; in the collection, analyses or interpretation of data; in the writing of this manuscript; or\n\nin the decision to publish the results.\n\n**Abbreviations**\n\nThe following abbreviations are used in this manuscript:\n\nAIF Active inference\n\nFEP Free energy principle\n\nVFE Variational free energy\n\nEFE Expected free energy\n\nMCMC Markov Chain Monte Carlo\n\nPOMDP Partially Observed Markov Decision Process\n\n## **References**\n\n1. Parr, T.; Pezzulo, G.; Friston, K.J. *Active Inference: The Free Energy Principle in Mind, Brain, and Behavior* ; The MIT Press: Cambridge,\n\nMA, USA, 2022. [ [CrossRef](http://doi.org/10.7551/mitpress/12441.001.0001) ]\n\n2. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; O’Doherty, J.; Pezzulo, G. Active inference and learning. *Neurosci.*\n\n*Biobehav. Rev.* **2016** , *68* , 862- 879. [ [CrossRef](http://dx.doi.org/10.1016/j.neubiorev.2016.06.022) ]\n\n3. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; Pezzulo, G. Active inference: A process theory. *Neural Comput.* **2017** ,\n\n*29* , 1- 49. [ [CrossRef](http://dx.doi.org/10.1162/NECO_a_00912) ]\n\n4. Friston, K.J.; Stephan, K.E. Free-energy and the brain. *Synthese* **2007** , *159* , 417- 458. [ [CrossRef](http://dx.doi.org/10.1007/s11229-007-9237-y) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/19325932) ]\n\n5. Friston, K. The free-energy principle: A unified brain theory? *Nat. Rev. Neurosci.* **2010** , *11* , 127- 138. [ [CrossRef](http://dx.doi.org/10.1038/nrn2787) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/20068583) ]\n\n6. Friston, K. The free-energy principle: A rough guide to the brain? *Trends Cogn. Sci.* **2009** , *13* , 293- 301. [ [CrossRef](http://dx.doi.org/10.1016/j.tics.2009.04.005) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/19559644) ]\n\n7. Friston, K. A free energy principle for a particular physics. *arXiv* **2019** , arXiv:1906.10184. [ [CrossRef](http://dx.doi.org/10.48550/arXiv.1906.10184) ]\n\n8. Friston, K.; Da Costa, L.; Sajid, N.; Heins, C.; Ueltzhöffer, K.; Pavliotis, G.A.; Parr, T. The free energy principle made simpler but\n\nnot too simple. *Phys. Rep.* **2023** , *1024* , 1- 29. [ [CrossRef](http://dx.doi.org/10.1016/j.physrep.2023.07.001) ]\n\n9. Friston, K.; Kiebel, S. Predictive coding under the free-energy principle. *Philos. Trans. R. Soc. B Biol. Sci.* **2009** , *364* , 1211- 1221.\n\n[ [CrossRef](http://dx.doi.org/10.1098/rstb.2008.0300) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/19528002) ]\n\n10. Karl, F. A Free Energy Principle for Biological Systems. *Entropy* **2012** , *14* , 2100- 2121. [ [CrossRef](http://dx.doi.org/10.3390/e14112100) ]\n\n11. Corcoran, A.W.; Pezzulo, G.; Hohwy, J. From allostatic agents to counterfactual cognisers: Active inference, biological regulation,\n\nand the origins of cognition. *Biol. Philos.* **2020** , *35* , 32. [ [CrossRef](http://dx.doi.org/10.1007/s10539-020-09746-2) ]\n\n12. Heins, C.; Millidge, B.; Da Costa, L.; Mann, R.P.; Friston, K.J.; Couzin, I.D. Collective behavior from surprise minimization. *Proc.*\n\n*Natl. Acad. Sci. USA* **2024** , *121* , e2320239121. [ [CrossRef](http://dx.doi.org/10.1073/pnas.2320239121) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/38630721) ]\n\n13. Patzelt, E.H.; Hartley, C.A.; Gershman, S.J. Computational Phenotyping: Using Models to Understand Individual Differences in\n\nPersonality, Development, and Mental Illness. *Personal. Neurosci.* **2018** , *1* , e18. [ [CrossRef](http://dx.doi.org/10.1017/pen.2018.14) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/32435735) ]",
- "page_start": 29,
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- "text": "� d cos θ\n\n2 |M 2 | <sup>2</sup> = λ <sup>4</sup> N � ∂ Ψ\n\n∂h � 4 � − 8 − I 22 + J 22 ln ���� A + 2 b\n\nA − 2 b ���� � , (B8)\n\n� d cos θ\n\n2 M 1 M <sup>∗</sup> 2 <sup>= 4</sup> <sup>m</sup> <sup>N</sup> <sup>λ</sup> <sup>3</sup> N � ∂ Ψ\n\n∂h � 2 � ∂ Ψ\n\n∂h\n\ni\n\ns − M <sup>2</sup> h <sup>+</sup> <sup>iM</sup> <sup>h</sup> <sup>Γ</sup> <sup>h</sup> iλ hhh + <sup>∂</sup> <sup>Ψ</sup> ∂H\n\ni\n\ns − M <sup>2</sup> H <sup>+</sup> <sup>iM</sup> <sup>H</sup> <sup>Γ</sup> <sup>H</sup> iλ Hhh �\n\n� − 4 + <sup>s</sup> <sup>−</sup> <sup>4</sup> <sup>m</sup> <sup>2</sup> N <sup>+</sup> <sup>A</sup>\n\n2 b ln ���� A + 2 b\n\nA − 2 b ���� � , (B9)\n\nwhere θ is the scattering angle in the center of mass frame. The auxiliary functions appear\n\nabove are defined as\n\nI 22 ( s ) ≡ 4 <sup>(</sup> <sup>A</sup> <sup>+ 2</sup> <sup>a</sup> <sup>)</sup> <sup>2</sup> <sup>−</sup> <sup>2(</sup> <sup>s</sup> <sup>+ 4</sup> <sup>m</sup> <sup>2</sup> N <sup>)</sup> <sup>A</sup> <sup>−</sup> <sup>s</sup> <sup>(</sup> <sup>A</sup> <sup>+</sup> <sup>m</sup> <sup>2</sup> N <sup>)</sup> <sup>−</sup> <sup>3</sup> <sup>m</sup> <sup>2</sup> N <sup>(</sup> <sup>s</sup> <sup>−</sup> <sup>4</sup> <sup>m</sup> <sup>2</sup> N <sup>)</sup> A <sup>2</sup> − 4 b <sup>2</sup> , (B10)\n\nJ 22 ( s, m h ) ≡ 1\n\nAb � 2 A ( A + 2 a ) − A ( s + 4 m <sup>2</sup> N <sup>) +</sup> <sup>A</sup> <sup>2</sup> <sup>−</sup> <sup>4</sup> <sup>a</sup> <sup>2</sup> <sup>−</sup> <sup>(</sup> <sup>s</sup> <sup>−</sup> <sup>2</sup> <sup>m</sup> <sup>2</sup> N <sup>)(</sup> <sup>m</sup> <sup>2</sup> N <sup>−</sup> <sup>m</sup> <sup>2</sup> h <sup>)</sup>\n\n+3 m <sup>2</sup> N <sup>(</sup> <sup>s</sup> <sup>−</sup> <sup>4</sup> <sup>m</sup> <sup>2</sup> N <sup>)</sup> � , (B11)\n\nA ( s, m h ) ≡− <sup>s</sup> 2 <sup>+</sup> <sup>m</sup> <sup>2</sup> h <sup>,</sup> (B12)\n\nb ( s, m N , m h ) ≡ � s 4 <sup>−</sup> <sup>m</sup> <sup>2</sup> h � s 4 <sup>−</sup> <sup>m</sup> <sup>2</sup> N <sup>.</sup> (B13)\n\n## Appendix C: Thermal averaged annihilation cross section\n\nIn partial wave expansion, the thermal averaged cross section is given by\n\n⟨ σv ⟩ = 1\n\nm <sup>2</sup> N � w ( s ) − <sup>3</sup> 2 � 2 w ( s ) − 4 m <sup>2</sup> N\n\ndw\n\nds � T\n\nm N ����� s =4 m <sup>2</sup> N\n\n(C1)\n\n= 6 <sup>dw</sup> ds ���� s =4 m <sup>2</sup> N\n\nT\n\nm N\n\n, (C2)\n\nwith\n\n4 w ( s ) ≡ � d LIPS � |M| <sup>2</sup> = <sup>1</sup> 8 π � s − 4 m <sup>2</sup> final\n\ns � d cos θ\n\n2 � |M| <sup>2</sup> , (C3)\n\nwhere m final is the mass of final state particle.\n\n[1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in\n\nthe Universe , Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979),\n\np 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity , Proceedings of Workshop,\n\n12",
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- "source_file": "1002.2525.pdf"
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- "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How-\n\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains\n\nthe free energy functional for a continuous system\n\n*F* [ *ρ* *l* *, ρ* *n* ] = � d **r** � *f* ( *ρ* *l* *, ρ* *n* ) + *<sup>ε</sup>* *<sup>ll</sup>* 2 <sup>(</sup> *<sup>∇</sup>* *<sup>ρ</sup>* *<sup>l</sup>* <sup>)</sup> <sup>2</sup> <sup>+</sup> *<sup>ε</sup>* *<sup>nn</sup>* 2 <sup>(</sup> *<sup>∇</sup>* *<sup>ρ</sup>* *<sup>n</sup>* <sup>)</sup> <sup>2</sup> <sup>+</sup> *<sup>ε</sup>* *<sup>nl</sup>* <sup>(</sup> *<sup>∇</sup>* *<sup>ρ</sup>* *<sup>n</sup>* <sup>)</sup> *<sup>·</sup>* <sup>(</sup> *<sup>∇</sup>* *<sup>ρ</sup>* *<sup>l</sup>* <sup>)</sup> *<sup>−</sup>* *<sup>µρ</sup>* *<sup>l</sup>* � *,* (4)\n\nwhere\n\n*f* ( *ρ* *l* *, ρ* *n* ) = *kT* [ *ρ* *l* ln *ρ* *l* + (1 *−* *ρ* *l* ) ln(1 *−* *ρ* *l* )]\n\n+ *kT* [ *ρ* *n* ln *ρ* *n* + (1 *−* *ρ* *n* ) ln(1 *−* *ρ* *n* )]\n\n*−* 2 *ε* *ll* *ρ* <sup>2</sup> *l* *<sup>−</sup>* <sup>2</sup> *<sup>ε</sup>* *<sup>nn</sup>* *<sup>ρ</sup>* <sup>2</sup> *n* *<sup>−</sup>* <sup>4</sup> *<sup>ε</sup>* *<sup>nl</sup>* *<sup>ρ</sup>* *<sup>n</sup>* *<sup>ρ</sup>* *<sup>l</sup>* *<sup>.</sup>* (5)\n\nSince the liquid may evaporate from the surface into the vapour above the surface, *µ* is the (true)\n\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from\n\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a\n\ngradient expansion of the free energy functional of a continuous system [84]. However, here we\n\nhave made the mapping from the free energy of the lattice KMC system.\n\nThe chemical potential for the nanoparticles may be determined from the functional derivative\n\n*µ* *n* = *δF* [ *ρ* *n* *, ρ* *l* ] */δρ* *n* ( **r** ) . In equilibrium it is constant throughout the system, but it may vary\n\nspatially in a non-equilibrium system, i.e., *µ* *n* = *µ* *n* ( **r** *, t* ) . We assume that the dynamics of the\n\nnanoparticles is governed by the thermodynamic force *∇* *µ* *n* - i.e. that the nanoparticle current\n\nis **j** = *−* *M* *n* *ρ* *n* *∇* *µ* *n* , where *M* *n* ( *ρ* *l* ) is a mobility coefficient that depends on the local density of\n\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the\n\nfollowing evolution equation for the nanoparticle density profile\n\n*∂ρ* *n* *∂t* <sup>=</sup> *<sup>∇·</sup>* � *M* *n* *ρ* *n* *∇* *<sup>δF</sup>* <sup>[</sup> *<sup>ρ</sup>* *<sup>n</sup>* *<sup>, ρ</sup>* *<sup>l</sup>* <sup>]</sup> *δρ* *n* � *.* (6)\n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have\n\nover-damped stochastic equations of motion [80- 83]. Here, we assume that *M* *n* ( *ρ* *l* ) = *α* Θ *s* ( *ρ* *l* *−* 0 *.* 5) , where Θ *s* ( *x* ) is a continuous function that switches smoothly from the value 0 to the value\n\n1 at *x* = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that\n\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a\n\nmobility coefficient *α* when *ρ* *l* is high (wet substrate).\n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate\n\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may\n\n15",
- "page_start": 14,
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- "text": "5 of 33\n\nquantities as its target: the variational free energy ( *VFE* ) in the case of perception and the\n\nexpected free energy ( *EFE* ) in the case of action. The *VFE* is the free energy associated with\n\na given sensory observation and is resolved perceptually by updating beliefs about the\n\nenvironment. The *EFE* is the free energy that is expected in the future, contingent on a\n\ngiven policy or course of action. Choosing action policies associated with a low *EFE* lead\n\nto reducing uncertainty about the environment, as well as making preferred observations\n\nmore likely.\n\n### *2.1. POMDPs in Active Inference*\n\nIn AIF, the POMDP is one of the most common families of generative models used\n\nto make inferences about the environment. It is a Markovian discrete state-space model,\n\nwhere employing it means representing the environment and observations as inhabiting\n\none among a set of possible (possibly multidimensional) states, and that the changes\n\nin these states can only depend on the system’s previous state and the agent’s actions.\n\nEnvironmental states are not directly observable, so they have to be inferred based on\n\nincoming sensory observations. In AIF for POMDPs and other generative models in general,\n\nboth perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3 ), as well\n\nas the learning of parameters of the generative model (see Section 2.4 ). Crucially, an agent’s\n\ngenerative model does not a priori have to be isomorphic to the true environment (i.e.,\n\nthe data-generating process), although this will generally lead to a successful inference,\n\nand that the generative model will therefore often come to resemble the environment\n\nthrough learning.\n\nA discrete state-space POMDP in AIF is conventionally defined by five main sets of\n\nparameters: **A** , **B** , **C** , **D** and **E** [ 1 , 33 ], see Figure 1 . Together, these parametrise the agent’s\n\nprior beliefs about the prior probability of different states in the environment, how states\n\nof the environment change and how they generate observations. Typically, they will be\n\nvectors, matrices or tensors; however, henceforth we denote them by their corresponding\n\nletter in bold. These make up the components needed for the agent to perform AIF.\n\n**A** , also called the *observation model* , represents the state-to-observation likelihood model.\n\nThis describes how observations depend on or are generated by states of the environment.\n\nIt is structured as a matrix with a column for each possible environmental state *s* , and a row\n\nfor each possible observation *o* . Each column is then a categorical probability distribution\n\nover the observations that will occur given the environmental state (meaning that each\n\ncolumn must contain non-negative values that sum to 1). If the observations are multidi-\n\nmensional (i.e., multiple observations are made at each time point), there is a matrix for\n\neach observation modality. If two or more states determine the observation, the likelihood\n\nmodel then becomes a tensor. If **A** is imprecise (i.e., the probabilities are highly entropic and\n\nevenly distributed), observations are taken to carry less information about the environment,\n\nin many cases leading to more uncertain inferences, and vice versa.\n\n**B** , also called the *transition model* , describes the state-to-state transition probabilities of\n\nenvironmental states *s* . **B** encodes the agent’s assumptions about how the environment\n\nchanges over time, depending on its actions. It has a column and a row for each environ-\n\nmental state *s* , where each column is a categorical probability distribution over the states\n\nthe environment will take on the next time step, given the state it is currently in. If the envi-\n\nronment is modelled as multidimensional, there will be a matrix for each environmental\n\nstate factor. Additionally, there is a separate matrix for each possible action (making each\n\nfactor in **B** a tensor). This means that for every factor in the model, there may be one or\n\nmore actions that pick out the appropriate slice of the tensor. Action therefore allows the\n\nagent to predict that the environment (and the corresponding observations) will change\n\ndifferently depending on the actions that it chooses. If **B** is imprecise (i.e., highly entropic),",
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- "text": "640 650\n\n0.9\n\n1.0\n\n(d) H = 2 kOe, T = 300K\n\n(c) H = 1 kOe, T = 2K\n\n(a) absorption\n\n(b) H = 0, T = 2K\n\nX-ray absorption (arb. units)\n\nX-ray energy (eV)\n\nXMCD (arb. units)\n\nFIG. 3. (color online) (a) Polarization-averaged Mn L 2 , 3 spec- trum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured\n\nin remanence at 2 K; (c) XMCD spectra measured under a\n\n1000 Oe applied field at 2 K; (d) XMCD spectrum measured\n\nunder a 2000 Oe applied field at 300 K. XMCD spectra are\n\nobtained using TEY (thick red lines) and FY (thin blue lines)\n\ndetection.",
- "page_start": 5,
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- "source_file": "1001.2449.pdf"
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- {
- "text": "r (Å)\n\n0\n\n1\n\n2\n\n3\n\n| β V ~ 12 SR (r) β V 12 SR (r) (a) | β V ~ 33 SR (r) (d) |\n|:---|:---|\n| β V ~ 13 SR (r) (b) | β V ~ 23 SR (r) (c) |\n\n4 6 8 10\n\n0\n\n1\n\n2\n\n3\n\n4 6 8 10\n\nFIG. 3: Effective pair potentials derived for MSA3 and\n\nBIMSA3. (a) Cation anion (dashed line: without taking the\n\npair into account), (b) pair cation, (c) pair anion, and (d) pair\n\npair. The internal potential of the pair β <sup>�</sup> V int ( r ) is set equal to βV <sup>eff</sup> ij <sup>(</sup> <sup>r</sup> <sup>) for distances less than 4 ˚A.</sup>\n\ntrapolating the original potential at the barrier separat-\n\ning pairs from free ions (as shown in Fig. 3 ). We assume\n\nthat the interaction potential is averaged over the rota-\n\ntional degrees of freedom of the CIP and thus pairwise\n\nadditive. Hereafter, the quantities referring to such a\n\nthree-component model are written with a tilda symbol.\n\nThe short-range potentials involving the pair can be de-\n\nrived, in the infinite dilution limit, from an average of\n\nthe contributing ion interactions. In Fourier space,\n\n� V <sup>SR</sup> 3 i <sup>(</sup> <sup>k</sup> <sup>) =</sup> <sup>�</sup> <sup>w</sup> <sup>(</sup> <sup>k</sup> <sup>/</sup> <sup>2)</sup> � V <sup>SR</sup> 1 i + V <sup>SR</sup> 2 i � ( k ) , i = 1 , 2 (2a)\n\n� V <sup>SR</sup> 33 <sup>(</sup> <sup>k</sup> <sup>) =</sup> <sup>�</sup> <sup>w</sup> <sup>(</sup> <sup>k</sup> <sup>/</sup> <sup>2)</sup> <sup>2</sup> <sup>�</sup> V <sup>SR</sup> 11 <sup>+</sup> <sup>V</sup> <sup>SR</sup> 22 <sup>+ 2</sup> <sup>V</sup> <sup>SR</sup> 12 � ( k ) (2b)\n\nwhere � w ( r ) is the pair probability distribution � w ( r ) = K <sup>−</sup> <sup>1</sup> 0 <sup>e</sup> <sup>−</sup> <sup>β</sup> <sup>�</sup> <sup>V</sup> <sup>int</sup> <sup>(</sup> <sup>r</sup> <sup>)</sup> (2c)\n\n� V int ( r ) is the internal part of the pair potential (see\n\nFig. 3 ), and K 0 is the association constant, defined as:\n\nK 0 = � ∞\n\n0\n\nd r 4 πr <sup>2</sup> e <sup>−</sup> <sup>β</sup> <sup>�</sup> <sup>V</sup> <sup>int</sup> <sup>(</sup> <sup>r</sup> <sup>)</sup> = 0 . 43 L . mol <sup>−</sup> <sup>1</sup> (3)\n\nThe excess free-energy density of the original system\n\nβf <sup>ex</sup> v is that of the three component mixture β <sup>�</sup> f <sup>ex</sup> v plus a\n\ncorrection term\n\nβf <sup>ex</sup> v = β <sup>�</sup> f <sup>ex</sup> v <sup>−</sup> <sup>�</sup> <sup>ρ</sup> <sup>3</sup> <sup>ln</sup> <sup>K</sup> <sup>0</sup> <sup>,</sup> (4) which is due to the change in standard chemical potential\n\nbetween the two component and three component mod-\n\nels. It should be noted that the fraction of pairs is now an\n\nadditional parameter in the minimization scheme, which\n\nserves to ensure chemical equilibrium. Within this rep-\n\nresentation, the pair can be modeled as a hard sphere\n\n(MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n\n0 0.5 1 1.5\n\nc 1/2 (mol.L -1 ) 1/2\n\n-1.5\n\n-1\n\n-0.5\n\n0\n\nβ f v ex (mol.L -1\n\n)\n\nMC MSA2 MSA3 BIMSA3 DHLL Exp\n\n0 0.5 1\n\n0.1\n\n0.2\n\nPair Fraction\n\nFIG. 4: (Color online) Excess free-energy density βf <sup>ex</sup> v as\n\na function of the square root of the concentration <sup>√</sup> c . (dia-\n\nmond) MC simulations, (dot dashed) MSA2, (dashed) MSA3,\n\n(solid) BIMSA3, (dot) DHLL, and (cross) experiments. The\n\ninset gives the fraction of pairs (MSA3, BIMSA3) as a func-\n\ntion of <sup>√</sup> c .\n\nwe have no additional information, we consider only sym-\n\nmetric dumbbells. Furthermore, since analytic expres-\n\nsions for the RDF within BIMSA are not known, we ap-\n\nproximate the dumbbell as a hard sphere when comput-\n\ning the perturbation term (this is not necessary for the\n\nreference term, since an expression for the free energy\n\nis available). Let � σ c be the diameter of the cation (an-\n\nion) within the dumbbell, the diameter of the hard sphere\n\nrepresenting this dumbbell is taken to be � σ 3 = <sup>4</sup> √ 2 π <sup>�</sup> <sup>σ</sup> <sup>c</sup> <sup>[21].</sup> Using these two reference systems, the three-\n\ncomponent MSA3 and BIMSA3, we obtain results in\n\nmuch better agreement with the MC simulations, as\n\nshown in Fig. 4 . The diameters obtained for species 1,\n\n2, and 3 are 3.65, 4.79, and 5.76 <sup>˚</sup> A for MSA3 and 3.69,\n\n4.75 and 6.19 <sup>˚</sup> A for BIMSA3. The free ion diameters are\n\nsimilar for MSA2, MSA3, and BIMSA3. The pair diam-\n\neter is smaller when modeled as a hard sphere (MSA3)\n\nthan when modeled as a dumbbell (BIMSA3). At high\n\nconcentration (about 1 mol l <sup>−</sup> <sup>1</sup> ), the MSA3 overestimates\n\nthe free energy, because the excluded volume repulsion\n\nbecomes too important for the pairs to be represented as\n\nhard spheres. The BIMSA3 model is the closest to the\n\nMC simulation results. It is worth noting that even at\n\nthe lowest concentration considered, the fraction of pairs\n\n(shown in the insert of Fig. 4 ), although less then 5%,\n\nhas a non-negligible effect on the thermodynamics of the\n\nsystem.\n\nThis procedure also provides an accurate description of\n\nthe structure over the whole range of concentrations. A\n\ndevelopment similar to the one that leads to Eq. ( 2 ) de-\n\nrives the average unpaired RDF from the corresponding\n\npaired quantities:\n\nρ i ρ j g ij ( k ) = � ρ 3 � w ( k ) (1 − δ ij ) + � ρ i � ρ j � g ij ( k )\n\n+ � ρ 3 � w ( k / 2) � � ρ i � g 3 i + � ρ j � g 3 j � ( k ) (5)\n\n+ � ρ <sup>2</sup> 3 <sup>[</sup> <sup>�</sup> <sup>w</sup> <sup>(</sup> <sup>k</sup> <sup>/</sup> <sup>2)]</sup> <sup>2</sup> <sup>�</sup> <sup>g</sup> <sup>33</sup> <sup>(</sup> <sup>k</sup> <sup>)</sup>",
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- "text": "high-energy fermions and is an input for the low-energy\n\ntheory. Below we follow Refs. 31,33 and assume that\n\nthe momentum dependence of a collective boson is flat\n\nnear ( π, π ). The self energy within such model has been\n\nworked out consistently in Ref. 31,33. In the normal\n\nstate\n\nΣ <sup>′′</sup> ( ω ) = − <sup>1</sup> 2 <sup>λ</sup> <sup>n</sup> <sup>ω</sup> <sup>sf</sup> <sup>log</sup> � 1 + <sup>ω</sup> <sup>2</sup> ω <sup>2</sup> sf �\n\nΣ <sup>′</sup> ( ω ) = − λ n ω sf arctan <sup>ω</sup> ω sf\n\n(19)\n\nwhere λ n is the spin-fermion coupling constant, and ω sf\n\nis a typical spin relaxation frequency of overdamped spin\n\ncollective excitations with a propagator\n\nχ ( q ∼ Q, Ω) = χ Q\n\n1 − i <sup>Ω</sup> ω sf\n\n(20)\n\nwhere χ Q is the uniform static susceptibility. If we use\n\nOrnstein-Zernike form of χ ( q ) and use either Eliashberg 45 or FLEX computational schemes 48 , we get rather sim-\n\nilar behavior of Σ as a function of frequency and rather\n\nsimilar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in\n\nthe fact that the coupling λ and the bosonic frequency\n\nω sf are related: λ scales as ξ <sup>2</sup> , where ξ is the bosonic\n\nmass (the distance to a bosonic instability), and ω sf ∝ ξ <sup>−</sup> <sup>2</sup> (see Ref. 49). For a flat χ ( q ∼ Q ) the product λω sf\n\ndoes not depend on ξ and is the overall dimensional scale\n\nfor boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This\n\ngap affects fermionic self-energy in two ways: directly, via\n\nthe change of the dispersion of an intermediate boson in\n\nthe exchange process involving a CB, and indirectly, via\n\nthe change of the propagator of a CB. We remind our-\n\nselves that the dynamics of a CB comes from a particle-\n\nhole bubble which is indeed affected by ∆.\n\nThe effect of a d − wave pairing gap on a CB has been\n\ndiscussed in a number of papers, most recently in <sup>31</sup> . In\n\na SCS a gapless continuum described by Eq. (20) trans-\n\nforms into a gaped continuum, with a gap about 2∆and\n\na resonance at ω = ω 0 < 2∆, where for a d − wave gap we\n\ndefine ∆as a maximum of a d − wave gap.\n\nThe spin susceptibility near ( π, π ) in a superconductor\n\ncan generally be written up as\n\nχ ( q ∼ Q, Ω) = χ Q\n\n1 − i <sup>Π(Ω)</sup> ω sf\n\n(21)\n\nwhere Π is evaluated by adding up the bubbles made\n\nout of two normal and two anomalous Green’s functions.\n\nBelow 2∆, Π(Ω) is real ( ∼ Ω <sup>2</sup> / ∆for small Ω), and the\n\nresonance emerges at Ω= ω 0 at which Π( ω 0 ) = ω sf . At\n\nfrequencies larger than 2∆, Π(Ω) has an imaginary part,\n\nand this gives rise to a gaped continuum in χ (Ω).\n\nThe imaginary part of the spin susceptibility around\n\nthe resonance frequency ω 0 is <sup>31</sup>\n\nχ ′′ ( q, Ω) = πZ o ω 0\n\n2 δ (Ω − ω 0 ) (22)\n\nwhere Z o ∼ 2 ω sf χ 0 / <sup>∂</sup> <sup>Π</sup> ∂ω | Ω= ω 0 <sup>. The imaginary part</sup> of the spin susceptibility describing a gaped continuum\n\nexists for for Ω ≥ 2∆and is\n\nχ ′′ ( q, Ω) = Im � χ 0\n\n1 − 1\n\nω sf � 4∆ 2 Ω <sup>D</sup> <sup>(</sup> <sup>4∆</sup> <sup>2</sup> Ω <sup>2</sup> <sup>) +</sup> <sup>i</sup> <sup>Ω</sup> <sup>K</sup> <sup>2</sup> <sup>(1</sup> <sup>−</sup> <sup>4∆</sup> <sup>2</sup> Ω <sup>2</sup> <sup>)</sup> � �\n\n≈ Im � χ 0\n\n1 − 1\n\nω sf � π ∆ 2\n\nΩ + i <sup>π</sup> 2 <sup>Ω</sup> � � f or Ω >> 2∆ (23)\n\nIn Eq. (23) D ( x ) = <sup>K</sup> <sup>1</sup> <sup>(</sup> <sup>x</sup> <sup>)</sup> <sup>−</sup> <sup>K</sup> <sup>2</sup> <sup>(</sup> <sup>x</sup> <sup>)</sup> x , and K 1 ( x ) and K 2 ( x )\n\nare Elliptic integrals of first and second kind. The real\n\npart of χ is obtained by Kramers-Kr¨onig transform of the\n\nimaginary part.\n\nSubstituting Eq 6 for χ ( q, Ω) into the formula for the\n\nself-energy one obtains Σ <sup>′′</sup> ( ω ) in a SCS state as a sum of\n\ntwo terms <sup>31</sup>\n\nΣ <sup>′′</sup> ( ω ) = Σ <sup>′′</sup> A <sup>(</sup> <sup>ω</sup> <sup>) + Σ</sup> <sup>′′</sup> B <sup>(</sup> <sup>ω</sup> <sup>)</sup> (24)\n\nwhere,\n\nΣ <sup>′′</sup> A <sup>(</sup> <sup>ω</sup> <sup>) =</sup> <sup>πZ</sup> <sup>o</sup> 2 λ n ω o Re � ω + ω o\n\n� ( ω + ω o ) <sup>2</sup> − ∆ <sup>2</sup> �\n\ncomes from the interaction with the resonance and\n\nΣ <sup>′′</sup> B <sup>(</sup> <sup>ω</sup> <sup>) =</sup> <sup>−</sup> <sup>λ</sup> <sup>n</sup> � | E |\n\n2∆\n\ndx Re ω + x\n\n� ( ω + x ) <sup>2</sup> − ∆ <sup>2</sup>\n\nx\n\nω sf <sup>K</sup> <sup>2</sup> � 1 − <sup>4∆</sup> <sup>2</sup> x <sup>2</sup> � � 1 − <sup>4∆</sup> <sup>2</sup> xω sf <sup>D</sup> � 4∆ 2\n\nx <sup>2</sup> � <sup>�</sup> <sup>2</sup> + � x\n\nω sf <sup>K</sup> <sup>2</sup> � 1 − <sup>4∆</sup> <sup>2</sup> x <sup>2</sup> � <sup>�</sup> <sup>2</sup> (25)\n\ncomes from the interaction with the gaped continuum. The real part of Σ is obtained by Kramers-Kr¨onig trans-",
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- "text": "MAWEPS 00-801-80 AIRPLANE PERFORMANCE\n\nThe various items of airplane performance result from the combination of airplane and powerplant characteristics. The aerodynamic characteristics of the airplane generally define the power and thrust requirements at various conditions of flight while the powerplant characteristics generally define the power and thrust available at various conditions of flight. The matching of the aerodynamic configura- tion with the powerplant will be accomplished to provide maximum performance at the speci- fic design condition, e.g., range, endurance, climb, etc.\n\nSTRAIGHT AND LEVEL FLlGHT\n\nWhen the airyJane is in steady, level flight, the condition of equilibrium must prevail. The unaccelerated condition of flight is achieved with the airplane trimmed for lift equal to weight and the powerplant set for a thrust to equal the airplane drag. In certain conditions of airplane performance it is con- venient to consider the airplane requirements by the thnr$t required (or drag) while in other cases it is more applicable to consider the power re@red. Generally, the jet airplane will require consideration of the thrust required and the propeller airplane will require consid- eration of the power required. Hence, the airplane in steady level flight will require lift equal to weight and thrust available equal to thrust required (drag) or power available equal to power required. The variation of power required and thrust required with velocity is illustrated in figure 2.20. Each specific curve of power or thrust required is valid for a particular aerodynamic configuration at a given weight and altitude. These curves define the power or thrust re- quired to achieve equilibrium, Jift-equal- weight, constant altitude flight at various airspeeds. As shown by the curves of figure 2.20, ifit is desired to operate the airplane at\n\nthe airspeed corresponding to point A, the power or thrust required curves define a par- ticular value of thrust or power that must be made available from the powerplant ~to achieve equilibrium. Some different airspeed such as that corresponding to point B changes the value of thrust or power required to achieve equilibrium. Of course, the change of air- speed to point B also would require a change in angle of attack to maintain a constant lift equal to the airplane weight. Similarly, to establish airspeed and achieve equilibrium at point C will require a particular angle of attack and powerplant thrust or power. In this case, flight at point C would be in the vicinity of the minimum flying speed and a major portion of the ,thrust or power required would be due to induced drag. The maximum level flight speed for the air- plane will be obtained when the power :or thrust required equals the maximum power or thrust available from the powerplant. The minimum level flight airspeed is not usually defined by thrust or power requirement since conditions of, stall or stability and control problems generally predominate.\n\nCLIMB PERFOLWANCE\n\nDuring climbing flight, the airplane gains potential energy by virtue of elevation. This increase in potential energy during a climb is provided by one, or a combination, of two means: (1) expenditure of propulsive energy above that required to maintain level flight or (2) expenditure of airplane kinetic energy, i.e., loss of velocity by a zoom. Zooming for alti- tude is a transient process of trading kinetic energy for potential energy and is of considera- ble importance for airplane configurations which can operate at very high levels of kinetic energy. However, the major portions of climb performance for most airplanes is a near steady process in which additional propulsive energy is converted into potential energy. The funda- mental parts of airplane climb performance in- volve a flight condition where the airplane is in equilibrium but not at constant altitude.\n\n150",
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- "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B\n\nwe show how one may develop a dynamical density functional theory (DDFT) that describes the\n\nsystem at a similar level to the KMC. However, the DDFT may also be easily extended to include\n\nother effects such as fluid diffusion, that the KMC does not incorporate.\n\n### **A. Kinetic Monte Carlo model**\n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed\n\nin Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key\n\nassumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice\n\ngas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii)\n\nall relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided\n\nup into a regular array of lattice sites whose size is dictated by the nanoparticles. One then con-\n\nsiders each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively\n\nmaps the system onto a two-dimensional two-component lattice gas having two fields *n* and *l* . The\n\nresulting three possible states of a cell are: liquid ( *l* = 1 *, n* = 0 ), nanoparticle ( *l* = 0 *, n* = 1 ),\n\nand vapour ( *l* = 0 *, n* = 0 , i.e., cell empty). The energy of an overall configuration is given by the\n\nhamiltonian\n\n*E* = *−* *<sup>ε</sup>* *<sup>nn</sup>* 2 � *<ij>*\n\n*n* *i* *n* *j* *−* *<sup>ε</sup>* *<sup>nl</sup>* 2 � *<ij>*\n\n*n* *i* *l* *j* *−* *<sup>ε</sup>* *<sup>ll</sup>* 2 � *<ij>*\n\n*l* *i* *l* *j* *−* *µ* � *i*\n\n*l* *i* (3)\n\nwhere <sup>�</sup> *<ij>* <sup>denotes a sum over nearest neighbour pairs and</sup> *<sup>ε</sup>* *<sup>ll</sup>* <sup>,</sup> *<sup>ε</sup>* *<sup>nn</sup>* <sup>and</sup> *<sup>ε</sup>* *<sup>nl</sup>* <sup>are the liquid-liquid,</sup>\n\nparticle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction\n\nstrength parameters *ε* *ll* , *ε* *nn* , *ε* *nl* and the effective chemical potential *µ* determines the equilibrium\n\nstate of the system. We choose *ε* *ll* as unit of energy - i.e. we set *ε* *ll* = 1 .\n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. How-\n\never, as the system ‘dries in’ during the course of the solvent evaporation, the final nanoparticle\n\nconfigurations do not necessarily represent equilibrium structures. This implies that the system\n\ndynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their\n\nrelative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i)\n\nevaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility\n\n*M* corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of\n\n9",
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- "text": "free energy having some claims to being a better approximation than the information\n\ncriteria classically used with MCMC methods (although see other approximations, like the\n\nPareto-Smoothed Importance Sampling [ 59 ] or Thermodynamic Integration methods [ 60 ];\n\nsee [ 35 ] for a further review). Note that independently of which of these approaches one\n\nmight take, the process involves inverting a generative model of the mental processes\n\nunderlying the behaviour of a given subject, a generative model which itself is an inversion\n\nof the subject’s generative model of the environment. We can call the generative model that\n\nthe agent has of its environment the *subjective* generative model, and the model we have of\n\nthe agent the *objective* generative model, in what has been called a meta-Bayesian approach\n\nor “observing the observer” [ 1 , 61 ].\n\nHere, we demonstrated model fitting by fitting the POMDP model to the synthetic\n\nbehaviour that it generated; this is called a parameter recovery study since we can then\n\ncompare the estimated parameters to the generative values used for creating the simulated\n\ndata [ 62 , 63 ]. Here, we used the simulation method shown in the previous section to\n\nproduce a synthetic dataset with known parameter values for each agent (in practice, these\n\nare often participants in an experiment), here with a focus on estimating the *α* parameter.\n\nWe then used MCMC methods to estimate the parameters for each agent and compared\n\nthe estimated values with the correct values. Here, we simulated two groups of five\n\nsynthetic subjects agents with different *α* values (the parameters for the first group were\n\nsampled from a Gaussian distribution with mean = 8 and SD = 2, and the second group\n\nwith with mean = 24 and SD = 2). Each agent interacted with the T-maze environment for\n\n300 time steps. We produced the following data frame, containing the data of each of the\n\nagents: their observations, actions and an identifier, a format suitable for cognitive and\n\nbehavioural modelling.\n\n3000×5 DataFrame\n\nRow Location Reward Cue Action_Location Action_Reward SubjectID\n\nInt64 Int64 Int64 Int64 Int64 Int64\n\n1 1 1 1 4 1 1\n\n2 4 1 2 3 1 1\n\n3 3 3 2 2 1 1\n\n. . . . . . .\n\n. . . . . . .\n\n3000 2 2 2 2 1 10\n\nWe used ActionModels to fit the AIF model created above to each of the agents in the dataset.\n\nWe began by initialising an ActionModels agent: � � **using** ActionModels\n\n# Initialize ActionModels Agent with the action model and created active inference agent\n\nagent = init_agent(\n\naction_model = action_pomdp!, # Action model function\n\nsubstruct = aif, # Active inference agent as a substruct\n\n) � � We then set the prior for the parameter we wanted to estimate: the *α* action precision. As\n\nan example, we chose a wide, weakly informative prior: a Gaussian distribution with mean\n\n5 and standard deviation 5, truncated at 0 and 20:",
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- "query": "How could the heart rate be estimated by means of an active inference paradigm?",
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- "target_passage": "The second panel of Fig. 2 shows the Shannon surprise of an inference model that estimates the current heart rate using the two standard components of a generative model. The for- mer component is the prior, which encodes the person’s a priori probabilistic belief (i.e. probability distribution) about her “nor- mal” heart rate range; here, the prior is a Gaussian centered on 67 and has a precision of 0.11. The latter component is the likeli- hood, which encodes the probabilistic mapping between sensory (heartbeat) observations and the hidden state (heart rate); here, the likelihood is a Gaussian centered on the current heart rate with an additional bias of 15 pulses, and the panel shows the results for 10 values for precision obtained by subdividing the range [0.1,10] into equal intervals.",
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- "text": "*Modeling and controlling the body in maladaptive ways* 7\n\nFigure 2. A simplified example of (Bayesian) inference of one’s heart rate. First panel: simulated time series of heartbeat observations. Second panel:\n\nShannon surprise of a generative model composed of a fixed prior about heart rate (a Gaussian with a mean of 67 and a precision of 0.11) and a\n\nlikelihood (a Gaussian centered on the current heart rate with an additional bias of 15 pulses, with various precisions that vary between 0.47 and 10,\n\nsee the legend). Third panel: Bayesian surprise, which measures the discrepancy between posterior and prior probabilities over time. Bottom panels:\n\nthe two series of panels are organized in two (left and right) columns, which show the first five time steps of inference for the two cases with high\n\nprecision (of 10) and low precision (of 0.1) of the likelihood, respectively. See the main text for an explanation and online article for colored version of\n\nthis figure.\n\nthe current model generate significant surprise, and sometimes,\n\nthe surprise can remain relatively high for long periods before the\n\nmodel adapts (or the world changes), especially with some param-\n\neterizations of the generative model. This is particularly relevant\n\nin this context since active inference agents strive to minimize\n\ntheir surprise (and the long-term average of surprise, entropy,\n\nwhich is a measure of uncertainty) by changing their model, or\n\nchanging the world, or both.\n\nSecond, these examples illustrate the importance of precision\n\ncontrol and the appropriate setting of precision parameters in\n\nguiding inference. Remarkably, the inference can be more or less\n\naccurate or fast using the same data, depending on the precision parameters. Note that in Fig. 2 , we manipulated only the precision\n\nof the likelihood. However, it would also be possible to manipulate\n\nthe precision of the prior, together or in alternative to the precision\n\nof the likelihood. Generally speaking, when the precision of the",
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- "text": "generative models, or even (deep learning-based) amortised inference models. These vari-\n\nous extensions could provide valuable tools for using AIF models in both theoretical and\n\napplied research.\n\n**Author Contributions:** Conceptualisation, S.W.N., J.E.L. and P.T.W.; methodology, S.W.N., J.E.L. and\n\nP.T.W.; software, S.W.N., J.E.L. and P.T.W.; formal analysis, S.W.N. and J.E.L.; writing—original draft\n\npreparation, S.W.N. and J.E.L.; writing—review and editing, C.H., K.F., C.M. and P.T.W.; visualisation,\n\nS.W.N. and J.E.L.; supervision, C.M. and P.T.W.; project administration, P.T.W. All authors read and\n\nagreed to the published version of this manuscript.\n\n**Funding:** C.M. acknowledges funding from Aarhus Universitets Forskningsfonds (grant no. AUFF-\n\nE-2019-7-10) and from the Carlsberg Foundation (grant no. CF21-0439).\n\n**Institutional Review Board Statement:** Not applicable.\n\n**Informed Consent Statement:** Not applicable.\n\n**Data Availability Statement:** The original data presented in this study are openly available in\n\nActiveInferenceJuliaPaper at URL: [ https://osf.io/j3k5q/](https://osf.io/j3k5q/) .\n\n**Conflicts of Interest:** The authors declare no conflicts of interest. The funders had no role in the design\n\nof this study; in the collection, analyses or interpretation of data; in the writing of this manuscript; or\n\nin the decision to publish the results.\n\n**Abbreviations**\n\nThe following abbreviations are used in this manuscript:\n\nAIF Active inference\n\nFEP Free energy principle\n\nVFE Variational free energy\n\nEFE Expected free energy\n\nMCMC Markov Chain Monte Carlo\n\nPOMDP Partially Observed Markov Decision Process\n\n## **References**\n\n1. Parr, T.; Pezzulo, G.; Friston, K.J. *Active Inference: The Free Energy Principle in Mind, Brain, and Behavior* ; The MIT Press: Cambridge,\n\nMA, USA, 2022. [ [CrossRef](http://doi.org/10.7551/mitpress/12441.001.0001) ]\n\n2. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; O’Doherty, J.; Pezzulo, G. Active inference and learning. *Neurosci.*\n\n*Biobehav. Rev.* **2016** , *68* , 862- 879. [ [CrossRef](http://dx.doi.org/10.1016/j.neubiorev.2016.06.022) ]\n\n3. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; Pezzulo, G. Active inference: A process theory. *Neural Comput.* **2017** ,\n\n*29* , 1- 49. [ [CrossRef](http://dx.doi.org/10.1162/NECO_a_00912) ]\n\n4. Friston, K.J.; Stephan, K.E. Free-energy and the brain. *Synthese* **2007** , *159* , 417- 458. [ [CrossRef](http://dx.doi.org/10.1007/s11229-007-9237-y) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/19325932) ]\n\n5. Friston, K. The free-energy principle: A unified brain theory? *Nat. Rev. Neurosci.* **2010** , *11* , 127- 138. [ [CrossRef](http://dx.doi.org/10.1038/nrn2787) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/20068583) ]\n\n6. Friston, K. The free-energy principle: A rough guide to the brain? *Trends Cogn. Sci.* **2009** , *13* , 293- 301. [ [CrossRef](http://dx.doi.org/10.1016/j.tics.2009.04.005) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/19559644) ]\n\n7. Friston, K. A free energy principle for a particular physics. *arXiv* **2019** , arXiv:1906.10184. [ [CrossRef](http://dx.doi.org/10.48550/arXiv.1906.10184) ]\n\n8. Friston, K.; Da Costa, L.; Sajid, N.; Heins, C.; Ueltzhöffer, K.; Pavliotis, G.A.; Parr, T. The free energy principle made simpler but\n\nnot too simple. *Phys. Rep.* **2023** , *1024* , 1- 29. [ [CrossRef](http://dx.doi.org/10.1016/j.physrep.2023.07.001) ]\n\n9. Friston, K.; Kiebel, S. Predictive coding under the free-energy principle. *Philos. Trans. R. Soc. B Biol. Sci.* **2009** , *364* , 1211- 1221.\n\n[ [CrossRef](http://dx.doi.org/10.1098/rstb.2008.0300) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/19528002) ]\n\n10. Karl, F. A Free Energy Principle for Biological Systems. *Entropy* **2012** , *14* , 2100- 2121. [ [CrossRef](http://dx.doi.org/10.3390/e14112100) ]\n\n11. Corcoran, A.W.; Pezzulo, G.; Hohwy, J. From allostatic agents to counterfactual cognisers: Active inference, biological regulation,\n\nand the origins of cognition. *Biol. Philos.* **2020** , *35* , 32. [ [CrossRef](http://dx.doi.org/10.1007/s10539-020-09746-2) ]\n\n12. Heins, C.; Millidge, B.; Da Costa, L.; Mann, R.P.; Friston, K.J.; Couzin, I.D. Collective behavior from surprise minimization. *Proc.*\n\n*Natl. Acad. Sci. USA* **2024** , *121* , e2320239121. [ [CrossRef](http://dx.doi.org/10.1073/pnas.2320239121) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/38630721) ]\n\n13. Patzelt, E.H.; Hartley, C.A.; Gershman, S.J. Computational Phenotyping: Using Models to Understand Individual Differences in\n\nPersonality, Development, and Mental Illness. *Personal. Neurosci.* **2018** , *1* , e18. [ [CrossRef](http://dx.doi.org/10.1017/pen.2018.14) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/32435735) ]",
- "page_start": 29,
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- "text": "Academic Editor: Astero Provata\n\nReceived: 25 October 2024\n\nRevised: 2 January 2025\n\nAccepted: 7 January 2025\n\nPublished: 12 January 2025\n\n**Citation:** Nehrer, S.W.; Ehrenreich\n\nLaursen, J.; Heins, C.; Friston, K.;\n\nMathys, C.; Thestrup Waade, P.\n\nIntroducing ActiveInference.jl : A\n\nJulia Library for Simulation and\n\nParameter Estimation with Active\n\nInference Models. *Entropy* **2025** , *27* , 62.\n\n[https://doi.org/10.3390/e27010062](https://doi.org/10.3390/e27010062)\n\n**Copyright:** © 2025 by the authors.\n\nLicensee MDPI, Basel, Switzerland.\n\nThis article is an open access article\n\ndistributed under the terms and\n\nconditions of the Creative Commons\n\nAttribution (CC BY) license\n\n[(https://creativecommons.org/](https://creativecommons.org/licenses/by/4.0/)\n\n[licenses/by/4.0/).](https://creativecommons.org/licenses/by/4.0/)\n\n*Article*\n\n**Introducing ActiveInference.jl : A Julia Library for Simulation and Parameter Estimation with Active Inference Models**\n\n**Samuel William Nehrer <sup>1,†</sup> [, Jonathan Ehrenreich Laursen](https://orcid.org/0009-0005-5041-6367) <sup>1,†</sup> [, Conor Heins](https://orcid.org/0009-0005-7087-3717) <sup>2,3,</sup> * [, Karl Friston](https://orcid.org/0000-0002-5884-7728) <sup>3,4</sup> [,](https://orcid.org/0000-0001-7984-8909)**\n\n**Christoph Mathys <sup>[5](https://orcid.org/0000-0003-4079-5453)</sup> and Peter Thestrup Waade <sup>[5](https://orcid.org/0000-0002-6061-0084)</sup>**\n\n1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark;\n\n202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n\n2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n\n3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n\n4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n\n5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.);\n\nptw@cas.au.dk (P.T.W.)\n\n * Correspondence: cheins@ab.mpg.de\n\n† These authors contributed equally to this work.\n\n**Abstract:** We introduce a new software package for the Julia programming language,\n\nthe library ActiveInference.jl . To make active inference agents with Partially Ob-\n\nservable Markov Decision Process (POMDP) generative models available to the grow-\n\ning research community using Julia, we re-implemented the pymdp library for Python.\n\nActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive\n\nand behavioural modelling, as it is used in computational psychiatry, cognitive science\n\nand neuroscience. This means that POMDP active inference models can now be easily\n\nfit to empirically observed behaviour using sampling, as well as variational methods. In\n\nthis article, we show how ActiveInference.jl makes building POMDP active inference\n\nmodels straightforward, and how it enables researchers to use them for simulation, as well\n\nas fitting them to data or performing a model comparison.\n\n**Keywords:** active inference; free energy principle; predictive processing; Markov decision\n\nprocess; cognitive modelling; Julia\n\n**PACS:** 87.15.Aa\n\n**MSC:** 91-08\n\n**JEL Classification:** C63\n\n## **1. Introduction**\n\nWe introduce a novel software library for Julia, ActiveInference , which lets users\n\nproduce the simulated behaviour of agents and their internal belief states with active\n\ninference (AIF) models, as well as fit such models to empirically observed behaviour.\n\nAIF [ 1 - 3 ] is a generally applicable formal framework for understanding and simulating\n\nintelligent behaviour that is based in neurobiology and first principles from statistical\n\nphysics [ 4 - 8 ]. AIF treats action and perception as unified under a joint imperative: to\n\nminimise the variational free energy ( *VFE* ), which quantifies how well the agent’s internal\n\ngenerative model explains incoming sensory observations. It is an upper bound on the\n\nthe surprise from sensory observations, making AIF formally related to prediction error\n\n*Entropy* **2025** , *27* , 62 [https://doi.org/10.3390/e27010062](https://doi.org/10.3390/e27010062)",
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- "text": "6 Barca *et* *al.*\n\nparticipants processed faces expressing fear (but not neutral\n\nfaces or faces expressing other emotions) when their heart rate\n\nwas high—hence congruent with the fearful expression ( Pez- zulo et al. 2018 , Yu et al. 2021 ). The generative model shown in Fig. 1 could support this kind of inference by using interocep- tive information from the heart (i.e. high heart rate) as evidence\n\nthat “there might be something fearful out there” ( Pezzulo 2013 ).\n\nAnother more complex example regards emotional awareness\n\nand self-awareness—which significantly engage the brain regions\n\ninvolved in interoception and the representation of physiologi- cal processes ( Garfinkel et al. 2013 ). The generative model shown in Fig. 1 might support processes of emotional awareness in a way that is neither purely bottom-up (i.e. as if interoceptive sig- nals cause emotional awareness) nor top-down (i.e. as if emotional\n\nawareness causes interoceptive signals), but rather through a\n\ncircular causality between central predictions about bodily state—\n\nthat engage autonomic reflexes—and interoceptive streams—that\n\nupdate the predictions ( Seth and Friston 2016 ). In this perspec-\n\ntive, any representation that induces interoceptive predictions\n\ncould be associated with emotional or affective content; cru-\n\ncially, this is also the case with some aspects of self-awareness\n\n(e.g. recognizing one’s own face) that require integrating intero-\n\nceptive streams with concurrent exteroceptive (e.g. visual) and\n\nproprioceptive cues. These examples illustrate that the genera- tive model of Fig. 1 natively implements both the multisensory\n\nintegration required to unite (for example) interoceptive and exte-\n\nroceptive streams and the active aspects that are supposed to\n\nsupport emotional and self-processing—and the construction of an “embodied self” (i.e. the circular causality between engag-\n\ning autonomic reflexes and capturing the ensuing interoceptive\n\nsignals).\n\nIn general, the accuracy of the inference of hidden bodily\n\nstates, the “embodied self,” or other aspects of the model depends\n\non the signal-to-noise ratio of the sensations and on the quality of\n\nthe model. For example, it is difficult to self-localize in a city if it\n\nis dark (low signal-to-noise ratio) or if one does not know the city\n\nwell (poor model). The inference of hidden bodily and emotional\n\nstates might function in an analogous manner. If the quality of\n\nthe afferent interoceptive (e.g. cardiac) signals is low, or if one has\n\na poor model of how one’s body functions, then it would estimate\n\none’s bodily states such as fatigue incorrectly (which in turn would\n\nalso impair its adaptive regulation of the same bodily states). Inte-\n\nroceptive signals could be “too noisy” for various reasons, which\n\nmight be related to physiology, inflammation, or stress. The body\n\nmodel can be poor in various ways, too. For example, it could\n\npoorly characterize the statistical relations between interoceptive\n\nsensations and hidden bodily states (e.g. systematically mischar-\n\nacterize high heart rate as caused by hunger but not fatigue\n\nor joy).\n\nFinally, there is a third essential element that determines the\n\naccuracy of the inference: precision control. In predictive cod-\n\ning, the influence of prediction errors on inference is weighted by their precision, i.e. inverse variance (pink triangles in Fig. 1 ).\n\nThis weighting would ensure that very reliable sensations have\n\nmore impact on inference than unreliable sensations. However,\n\nprecision (like all other variables) needs to be estimated, but this\n\nmight be incorrect. An incorrect setting of precisions has been\n\nassociated with various psychopathological conditions, such as psychosis ( Adams et al. 2013 ), eating disorders ( Barca and Pezzulo\n\n2020 ), panic disorders ( Maisto et al. 2021 ), symptom perception ( Pezzulo et al. 2019 ), depression ( Barrett et al. 2016 ), and many others ( Khalsa et al. 2018 , Paulus et al. 2019 ). Intuitively, assign-\n\ning excessively high weight to noisy sensations yields an incorrect\n\ninference that tracks the noise rather than the correct state of\n\nthe estimated variable system (i.e. overfitting), whereas assigning\n\nexcessively low weight to sensations (or excessively high weight to\n\nprior knowledge) makes the system poorly responsive to incom-\n\ning observations that might signal a change in the state of the\n\nsystem—and both are examples of aberrant inference ( Friston et al. 2014 ). Figure 2 provides a formal illustration of the above by plot-\n\nting some examples of Bayesian inference using generative models\n\nunder various levels of precision of the model components. For\n\nsimplicity, we focus on a simplified example of inference of an\n\ninteroceptive variable: one’s heart rate. Heart rate is a “hidden\n\nvariable” in Bayesian parlance since it is not directly observable\n\nbut needs to be inferred through two sources of information:\n\nprior knowledge about the most likely heart rate and sensory (heartbeat) observations. The top panel of Fig. 2 shows a series\n\nof (noisy) heartbeat observations. In the beginning, they are\n\nin the normal range for an adult (time steps 1- 10), then they\n\nincrease significantly, simulating tachycardia (time steps 11- 20),\n\nthen they go back to the normal range (time steps 21- 30), then\n\nthey decrease significantly, simulating bradycardia (time steps\n\n31- 40), and finally, they go back to the normal range (time steps\n\n41- 50). The second panel of Fig. 2 shows the Shannon surprise of\n\nan inference model that estimates the current heart rate using\n\nthe two standard components of a generative model. The for-\n\nmer component is the prior, which encodes the person’s a priori probabilistic belief (i.e. probability distribution) about her “nor-\n\nmal” heart rate range; here, the prior is a Gaussian centered on\n\n67 and has a precision of 0.11. The latter component is the likeli-\n\nhood, which encodes the probabilistic mapping between sensory\n\n(heartbeat) observations and the hidden state (heart rate); here,\n\nthe likelihood is a Gaussian centered on the current heart rate\n\nwith an additional bias of 15 pulses, and the panel shows the\n\nresults for 10 values for precision obtained by subdividing the\n\nrange [0.1,10] into equal intervals. The results shown in the second panel of Fig. 2 show that Shannon surprise increases dramatically\n\nduring episodes of tachycardia and bradycardia, which are far\n\nfrom the normal range. The pattern of results is the same across\n\nall levels of likelihood precision. However, the inference with a\n\nvery high precision (a precision of 10) tracks more closely the noise\n\nsensory signals and can therefore lead to more extreme results.\n\nThe third panel shows the Bayesian surprise (or the Kullback-\n\nLeibler divergence between posterior and prior probability distri-\n\nbutions) over time. This is a measure of how much dissimilar the\n\nposterior and the prior are, and it always decreases as a result of\n\ninference, but note that it decreases much more rapidly when the\n\nprecision of the likelihood is 10, which is another indication that\n\nthe posterior is “overfitting,” meaning that the inference result is\n\nexcessively biased by the likelihood distribution.\n\nFinally, the two bottom series of panels are organized in two\n\n(left and right) columns, which show the first five time steps of\n\ninference for the two cases with high precision (of 10) and low pre-\n\ncision (of 0.1) of the likelihood, respectively. In these plots, the prior\n\ndistributions are in blue, the posterior distributions are in green,\n\nand the likelihoods are in red. It is possible to note that in the left\n\n(high precision) panels, the posterior inference closely follows the\n\nlikelihood (it “overfits”) after five time steps and the inferred heart rate is slightly biased (i.e. it is 79). Differently, in the right (low\n\nprecision) panels, the inference converges much slower to a high\n\nprecision posterior, but without overfitting.\n\nThese simple examples of Bayesian inference illustrate two\n\nthings. First, sensory observations that are unpredictable given",
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- "page_end": 5,
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- "text": "free energy having some claims to being a better approximation than the information\n\ncriteria classically used with MCMC methods (although see other approximations, like the\n\nPareto-Smoothed Importance Sampling [ 59 ] or Thermodynamic Integration methods [ 60 ];\n\nsee [ 35 ] for a further review). Note that independently of which of these approaches one\n\nmight take, the process involves inverting a generative model of the mental processes\n\nunderlying the behaviour of a given subject, a generative model which itself is an inversion\n\nof the subject’s generative model of the environment. We can call the generative model that\n\nthe agent has of its environment the *subjective* generative model, and the model we have of\n\nthe agent the *objective* generative model, in what has been called a meta-Bayesian approach\n\nor “observing the observer” [ 1 , 61 ].\n\nHere, we demonstrated model fitting by fitting the POMDP model to the synthetic\n\nbehaviour that it generated; this is called a parameter recovery study since we can then\n\ncompare the estimated parameters to the generative values used for creating the simulated\n\ndata [ 62 , 63 ]. Here, we used the simulation method shown in the previous section to\n\nproduce a synthetic dataset with known parameter values for each agent (in practice, these\n\nare often participants in an experiment), here with a focus on estimating the *α* parameter.\n\nWe then used MCMC methods to estimate the parameters for each agent and compared\n\nthe estimated values with the correct values. Here, we simulated two groups of five\n\nsynthetic subjects agents with different *α* values (the parameters for the first group were\n\nsampled from a Gaussian distribution with mean = 8 and SD = 2, and the second group\n\nwith with mean = 24 and SD = 2). Each agent interacted with the T-maze environment for\n\n300 time steps. We produced the following data frame, containing the data of each of the\n\nagents: their observations, actions and an identifier, a format suitable for cognitive and\n\nbehavioural modelling.\n\n3000×5 DataFrame\n\nRow Location Reward Cue Action_Location Action_Reward SubjectID\n\nInt64 Int64 Int64 Int64 Int64 Int64\n\n1 1 1 1 4 1 1\n\n2 4 1 2 3 1 1\n\n3 3 3 2 2 1 1\n\n. . . . . . .\n\n. . . . . . .\n\n3000 2 2 2 2 1 10\n\nWe used ActionModels to fit the AIF model created above to each of the agents in the dataset.\n\nWe began by initialising an ActionModels agent: � � **using** ActionModels\n\n# Initialize ActionModels Agent with the action model and created active inference agent\n\nagent = init_agent(\n\naction_model = action_pomdp!, # Action model function\n\nsubstruct = aif, # Active inference agent as a substruct\n\n) � � We then set the prior for the parameter we wanted to estimate: the *α* action precision. As\n\nan example, we chose a wide, weakly informative prior: a Gaussian distribution with mean\n\n5 and standard deviation 5, truncated at 0 and 20:",
- "page_start": 24,
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- "source_file": "pubmed7_cc4.pdf"
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- "text": "8 Barca *et* *al.*\n\nprior is very high, the posterior will closely reflect the prior, ren-\n\ndering the inference rigid and incapable of adapting to changing\n\nenvironmental conditions—which might be especially problem-\n\natic in periods of significant changes, such as adolescence or more\n\nsimply when one changes city, working environment, and friends. Furthermore, as shown in Fig. 1 , hierarchical predictive coding\n\narchitectures have precision values associated with every hierar- chical level (whereas, for simplicity, the inference shown in Fig. 2\n\nis not hierarchical). The correct balance of precision parameters\n\nwithin and across layers is crucial for accurate inference, as it\n\nensures that the correct levels of confidence are assigned to data\n\nand prior information.\n\nFinally, and importantly, aberrant precision control (as well\n\nas various combinations of other factors discussed earlier, such\n\nas noisy bodily sensations and poor bodily mode) can render\n\ninference not just incorrect but also highly ambiguous, leaving a\n\nperson in a permanent condition of uncertainty about whether\n\none is fatigued (when considering the bodily state), happy, or sad\n\n(when considering the emotional state), what kind of person one\n\nis or what are one’s desires (when considering self-models), etc.\n\nImportantly, this condition of uncertainty is not limited to percep-\n\ntual inference but has a cascade effect on decision-making and\n\naction selection. Indeed, an uncertain estimate of one’s state auto-\n\nmatically implies that one has low confidence in the effects of\n\none’s plans; for example, it renders more difficult the prediction\n\nof whether a run would be too fatiguing or a party too stressful.\n\nIt is exactly this kind of uncertainty (about the present and the\n\nfuture, the body state or the outcomes of social interactions, etc.)\n\nthat active inference agents strive to avoid.\n\n#### **Avoiding excessive uncertainty in maladaptive ways**\n\nOur previous discussion clarified that active inference agents have\n\nsophisticated (hierarchically deep, temporally extended) models\n\nof themselves that permit making inferences at multiple levels\n\nabout hidden bodily states (which comprise both the classical\n\n“body schema” and other states that are relevant for allostasis,\n\nsuch as hunger, thirst, and fatigue) and other states related to\n\nthe emotional and embodied self. These models are essential for\n\nensuring effective regulation and control at multiple levels, from\n\nsimple reflexes to sophisticated goal-directed behaviors ( Tschantz et al. 2022 ). However, in some cases, the aforementioned inferen-\n\ntial process might not work properly (e.g. if the sensory channels\n\nare too noisy or are assigned excessively high or low precision).\n\nAs a consequence, a person could experience an excessive or\n\nirreducible uncertainty about her bodily and emotional states or\n\nabout the self, which in turn translates into a loss of confidence\n\nabout which future courses of action could produce desired out-\n\ncomes. Crucially, active inference agents follow the imperative\n\nto avoid such an uncertainty about the present or the future.\n\nNormally, uncertainty minimization strategies are adaptive (e.g.\n\nseeking advice if one is uncertain about the direction of the pre-\n\nferred restaurant). However, in some conditions, such as when\n\na person experiences excessive and irreducible uncertainty and\n\nwhen the uncertainty is particularly distressing or related to fun-\n\ndamental life concerns, she might potentially seek “maladaptive”\n\nways to reduce it—or methods that reduce uncertainty at the cost\n\nof hindering fundamental imperatives of well-being and survival\n\n(see also Linson et al. 2020 ).\n\nIn this perspective, apparently paradoxical actions, such as\n\nfood restriction and self-injurious behaviors, might be pursued\n\nbecause they could contribute to reducing the (otherwise unman-\n\nageable) uncertainty about bodily and emotional states or the self.\n\nIn other words, in some conditions, the self-injuring pain could be\n\nmore than compensated by the information gain—and the pos-\n\nsibility to generate precise sensations about one’s bodily state.\n\nBy harming the body, we turn it into a very precise source of\n\nsensations that relieves us from excessive uncertainty about the\n\npresent state and the future course of action. Our (simple) exam-\n\nple, therefore, illustrates a possible way paradoxical actions could\n\nbe pursued by active inference agents who endure to minimize\n\ntheir uncertainty. While self-injuries and other similar behav-\n\niors are maladaptive in the sense of reducing the fitness of an\n\norganism, they can still emerge as a result of a correct inference\n\nthat tries to minimize the uncertainty of one’s model of the body\n\nand the self. This case could particularly fit when some of the\n\n(precision) parameters of one’s model of the body and the self are not appropriately tuned ( Fig. 2 ), producing excessive levels of\n\nuncertainty.\n\nHaving said this, the idea that NSSI behaviors could reflect the\n\nimperative to minimize uncertainty is not at odds but comple-\n\nmentary to the idea that these behaviors might also be motivated\n\nby reward achievement (remember that in active inference, both\n\nuncertainty minimization and utility maximization can be in play\n\nsimultaneously). While NSSI behaviors are associated with a vari-\n\nety of adverse outcomes, such as negative emotions and distress ( Klonsky et al. 2003 ), they can also have paradoxically positive\n\neffects by providing a way to relieve or distract from other sources\n\nof emotional distress and negative affect ( Nock and Prinstein 2004 , Chapman et al. 2006 , Bresin and Gordon 2013 , Selby et al. 2019 ).\n\nThe hedonic effect of NSSI behaviors might be further magnified\n\nby poor models of one’s body and the self, as suggested by evidence\n\nthat children who engage in NSSI show aberrant responsiveness to rewards ( Tsypes et al. 2018 ). Finally, NSSI behaviors have habit-\n\nual components, which might contribute to their selection, over\n\nand above consideration of utility maximization or uncertainty\n\nreduction ( Magerl et al. 2012 ). This body of evidence suggests\n\nthat if uncertainty minimization is a driver of NSSI behaviors,\n\nas suggested here, it could work in concert with other drivers\n\n(reward achievement and habit), in ways that are still poorly\n\nunderstood.\n\nFocusing on uncertainty minimization as a possible factor con-\n\ntributing to NSSI behaviors might also help understand the preva-\n\nlence of NSSI during adolescence. As discussed earlier, people\n\nin adolescence experience significant changes at many levels—\n\nfrom bodily states such as body size to interoceptive and hor-\n\nmonal processes to affective states and the self. As illustrated in Fig. 2 , rapid changes (as in the cases of simulated tachycardia\n\nand bradycardia) determine high levels of surprise and uncer-\n\ntainty that, in some cases, remain elevated, either because some\n\nof the precision parameters that afford model updates are set\n\nincorrectly or simply because readapting internal models of the\n\nbody and the self takes time. In periods of rapid changes, such\n\nas adolescence or after very surprising events, there might be a\n\n(temporary) misalignment between the predictions of the (out-\n\ndated) internal model and the incoming sensations. For exam-\n\nple, during adolescence, one might use an outdated model that\n\npredicts the usual affective states during a party and fail to\n\ncontextualize novel sensations (e.g. unexpected feelings or inte-\n\nroceptive signals when meeting somebody), hence experiencing\n\nhigh levels of uncertainty. Thus, failing to reduce this uncertainty\n\nand achieve a coherent model of oneself could be particularly\n\ndistressing.",
- "page_start": 7,
- "page_end": 7,
- "source_file": "pubmed1.pdf"
- },
- {
- "text": "68. Tschantz, A.; Baltieri, M.; Seth, A.K.; Buckley, C.L. Scaling active inference. *arXiv* **2019** , arXiv:1911.10601. [ [CrossRef](http://dx.doi.org/10.48550/arXiv.1911.10601) ]\n\n69. Friston, K.; Heins, C.; Verbelen, T.; Costa, L.D.; Salvatori, T.; Markovic, D.; Tschantz, A.; Koudahl, M.; Buckley, C.; Parr, T. From\n\npixels to planning: Scale-free active inference. *arXiv* **2024** , arXiv:2407.20292. [ [CrossRef](http://dx.doi.org/10.48550/arXiv.2407.20292) ]\n\n70. Kastel, N.; Hesp, C.; Ridderinkhof, K.R.; Friston, K.J. Small steps for mankind: Modeling the emergence of cumulative culture\n\nfrom joint active inference communication. *Front. Neurorobot.* **2023** , *16* , 944986. [ [CrossRef](http://dx.doi.org/10.3389/fnbot.2022.944986) ]\n\n71. Friedman, D.A.; Tschantz, A.; Ramstead, M.J.D.; Friston, K.; Constant, A. Active Inferants: An Active Inference Framework for\n\nAnt Colony Behavior. *Front. Behav. Neurosci.* **2021** , *15* , 647732. [ [CrossRef](http://dx.doi.org/10.3389/fnbeh.2021.647732) ] [ [PubMed](http://www.ncbi.nlm.nih.gov/pubmed/34248515) ]\n\n**Disclaimer/Publisher’s Note:** The statements, opinions and data contained in all publications are solely those of the individual\n\nauthor(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to\n\npeople or property resulting from any ideas, methods, instructions or products referred to in the content.",
- "page_start": 32,
- "page_end": 32,
- "source_file": "pubmed7_cc4.pdf"
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- "text": "the behaviour (Figure 8 ). We saw that the estimation successfully captured the difference\n\nbetween the two groups, and that the *α* parameter recovered fairly well. Note that the\n\nability to recover parameters depends on the specific model and task, as well as on the\n\nspecific values of the parameters (when *α* is very high, for example, the behaviour becomes\n\nessentially deterministic; further increases in *α* would then not have any effect on the\n\nbehaviour, and therefore, not be estimable). A subtle issue here is that the parameters\n\nthat best explain some data are not necessarily the parameters used to generate those\n\ndata. This is because the best parameters are those that maximise the marginal likelihood\n\nof the data (also known as the model evidence); because the model evidence includes\n\na complexity term, the parameter recovery will often recover parameters that provide a\n\nsimpler explanation for the data relative to the parameters used to generate these data. � � # Extract quantities from the fitted model\n\nagent_parameters = extract_quantities(model, renamed_posterior_chains)\n\n# Extract posterior estimates\n\nposterior_estimates = get_estimates(agent_parameters) � �\n\n**Figure 8.** Results of the parameter recovery study. ( **A** ) Estimated parameter values plotted against\n\nthe values used to generate the data. ( **B** ) Parameter estimates split by the two groups from which the\n\nparameter values of synthetic subjects were sampled.\n\nFinally, there are various metrics for model comparison that might be calculated, as\n\nimplemented by various software packages. Here for demonstration, we calculated the\n\nPareto-Smoothed Importance Sampling approximation to Leave One Out cross-validation\n\n(PSIS-LOO) [ 59 ], as implemented by ParetoSmooth.jl [ 64 ]: � � **using** ParetoSmooth: psis_loo\n\n# Calculate the PSIS LOO\n\nPSIS_loo = psis_loo(model,results.chains) � � **5. Discussion**\n\nWe introduce ActiveInference.jl , a novel Julia software package for creating and\n\nusing POMDP-based AIF models for simulation and fitting to empirical data, demonstrat-\n\ning its ease of use on a small parameter study with simulated agents. ActiveInference.jl\n\nmakes AIF modelling available in a fast language, equipped with an interface and situated\n\nin an ecosystem oriented specifically towards cognitive and behavioural modelling.\n\nImportantly, the ability to fit models to empirical data with sampling-based methods\n\nprovides value to researchers within cognitive modelling and computational psychiatry: it\n\nallows for comparing estimated parameter values between population groups or investigat-",
- "page_start": 27,
- "page_end": 27,
- "source_file": "pubmed7_cc4.pdf"
- },
- {
- "text": "40. Hoffman, M.D.; Gelman, A. The No-U-Turn Sampler: Adaptively Setting Path Lengths in Hamiltonian Monte Carlo.\n\n2014. 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- "references": {
- "source_file": "pubmed1.pdf",
- "query": "At what stage of childhood does the construction of narrative identity take place?",
- "target_page": 3,
- "target_passage": "Among the challenges that adolescents have to face are the structuring of a “narrative identity” or self-story, featuring the development of a sense of personal identity that integrates past experiences with current, and future goals and meanings in a coherent whole over time ",
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- "text": "4 Barca *et* *al.*\n\nreciprocity with caregivers and peers. Thus, in parallel to the\n\nnegotiation of identity with caregivers (through a relative detach-\n\nment from them, a renegotiation of intimacy, and the questioning\n\nof their confirmatory authority), the modifications of friendship\n\nstructures—from childhood to adolescence—lay the ground for\n\nthe progressive recognition of social contexts and peer relation-\n\nships as the elite territories for the modulation and exploration\n\nof personal identity. The redefinition that the adolescent has to\n\nface in these territories of exploration (of the self as an individ-\n\nual separated from the other and of the self with the other) might\n\npass through a phase of reduced coherence in the narration of\n\nthe self and hence an increased level of uncertainty. Coherence\n\nin the self’s narrative is considered a measure of well-being and\n\nhas been associated with psychopathology in adulthood ( Klim- stra and Denissen 2017 ) and adolescence ( Lind et al. 2020 , Shiner et al. 2021 ). For example, narrative incoherence has been found\n\nto be associated with personality disorders in adolescents ( Lind et al. 2019 ), where “identity diffusion” (e.g. feelings of emptiness\n\nand being fragmented and lack of a sense of continuity over time)\n\nmight be considered an expression of high levels of uncertainty of\n\nthe self.\n\nEmotion-wise, a developmental trend toward an increased\n\nspecificity of emotion-related maps of bodily sensations ( Barca et al. 2023 )—a proxy of interoceptive representations of\n\nemotions—has been reported from children aged 6 years to adult- hood ( Hietanen et al. 2016 ). Pubertal changes encompass dramatic\n\nbodily and neuroendocrine system changes, comprising—but not\n\nreduced to—changes in the reproductive, adrenal, and growth\n\naxes ( Cameron 2004 ). Thus, adolescents might face at least four\n\nsources of uncertainty: (i) the uncertainty due to physiological\n\nalterations related to bodily changes and to modification in hor-\n\nmonal levels leading to sexual maturity; (ii) the uncertainty in self- identity (i.e. the structure of self-awareness) and personal identity\n\n(i.e, the narrative diachronic self) ( Drummond 2021 ), which might\n\nbe coupled with changes in body image and the development of\n\ngender identity; (iii) the uncertainty in affect regulation, with the\n\nemergence of new forms of affectivity as feelings of love and sex-\n\nual attraction toward a partner; and (iv) uncertainty in the social\n\ncontext, with respect to their social status and role expectations\n\nin the adult society. Such high levels of uncertainty might lead\n\nto a poorly defined sense of self, with unclear boundaries and a\n\nsense of emptiness. In this context, pain becomes a possible way\n\nto recover a bodily sense of self, and self-injurious behavior might\n\nbe instantiated as an attempt to reduce the rise in the levels of\n\nuncertainty in these (and potentially other) domains, toward the transition to adulthood (see Miller et al. 2020 for a closely related\n\napproach on addiction).\n\n### Active inference, interoceptive processing, and uncertainty reduction\n\nActive inference is based on the idea that in order to engage in\n\nadaptive allostatic regulation and goal-directed behavior, living\n\norganisms continuously strive to minimize the surprise of their\n\nsensations or, more formally, an upper bound to surprise: varia- tional free energy ( Parr et al. 2022 ). Notably, the (expected) free\n\nenergy minimization processes that drive active inference jointly\n\nconsider two complementary objectives. The former (utilitarian)\n\nobjective is to realize one’s preferences, such as being satiated\n\nor safe, by minimizing the discrepancy between preferred sensa-\n\ntions (encoded as “priors over observations” in active inference)\n\nand current sensations in different modalities (e.g. interoceptive\n\nor exteroceptive). The latter (epistemic) objective is to reduce\n\nuncertainty about one’s estimated state. This means that active\n\ninference agents tend to avoid ambiguous states, encompass-\n\ning the avoidance of ambiguous places where self-localization is\n\nchallenging, ambiguous social situations where safety is uncer-\n\ntain, and ambiguous bodily states, such as unsure feelings of\n\nfatigue. However, one apparent exception to this aversion to ambi-\n\nguity arises when exploring novel states implies the opportunity to learn new things and enhance one’s model; see Friston et al.\n\n(2017) for a discussion. Furthermore, and importantly, active infer-\n\nence agents will actively operate in the environment to reduce\n\ntheir ambiguity; for example, by actively seeking informative sen-\n\nsations that disambiguate in which location they are (e.g. by\n\nlooking for traffic signs), whether their social context is safe\n\nor unsafe (e.g. by trying to understand other’s intentions from\n\ntheir facial expressions and actions), or whether they are cur-\n\nrently fatigued (e.g. by putting attention to one’s heart), happy,\n\nor sad.\n\nThe last examples—disambiguating one’s fatigue and emo-\n\ntional states—may seem strange if one assumes that we do have\n\ndirect access to the body- and allostasis-related states (e.g. states\n\nof satiation, thirst, and fatigue) and to our emotions (e.g. we\n\nautomatically know whether we are happy or sad). However, one\n\nassumption of active inference is that one’s bodily and emotional\n\nstates are not necessarily observable but, instead, “hidden states”\n\nthat need to be inferred on the basis of sensations (especially,\n\nbut not exclusively, of interoceptive sensations from the inside\n\nof the body) and of an implicit, unconscious model of how the body functions ( Barrett and Simmons 2015 , Pezzulo et al. 2015 ,\n\nSeth and Friston 2016 ). In other words, the same inferential pro-\n\ncess that allows active inference agents to estimate the hidden\n\nstate of the external environment (e.g. the presence or absence of\n\nan object in the environment) is also used to estimate other hid-\n\nden states, such as fatigue, happiness, or sadness. This implies\n\nthat one can also be wrong, or be fooled, about these states; for\n\nexample, we could experience the “interoceptive illusion” of feel-\n\ning more fatigued than our physiological parameters would afford ( Iodice et al. 2019 ).\n\nExtending this idea even further, one can assume that cer-\n\ntain emotional states, as well as self-awareness and the (embod-\n\nied) sense of self—and the feeling of continually being the same\n\nperson—could be constructed similarly: it would be the result of\n\nan inferential process that integrates bodily sensations and other experiences over time ( Gu et al. 2013 , Seth 2013 , Stephan et al.\n\n2016 , Barrett 2017 ). Figure 1 illustrates graphically this perspective\n\nby showing a (schematic) hierarchical generative model that links\n\n(exteroceptive, interoceptive, and proprioceptive) sensations at\n\nlower levels with multimodal models of hidden bodily states, such\n\nas fatigue and hunger at intermediate layers, and, finally, with\n\ntemporally extended, integrative models of the emotional and\n\nembodied self at the higher hierarchical level. The hierarchical\n\ngenerative model recapitulates a simple predictive coding archi-\n\ntecture, which includes various putative brain areas or networks\n\n(gray ovals) arranged hierarchically. In the schematic, networks for\n\nunimodal (exteroceptive, proprioceptive, and interoceptive) pro-\n\ncessing are situated at the lowest hierarchical level, multimodal\n\nnetworks are at an intermediate level, and networks for process-\n\ning a persistent model of the self are at the highest level. Note\n\nthat this simple schematic is not supposed to recapitulate brain\n\nanatomy but to illustrate the basic principles of hierarchical gen-\n\nerative models and predictive coding; (for a discussion of the\n\nmapping between predictive coding networks and brain anatomy, see Parr et al. 2022 ). Each network includes cells encoding predic-\n\ntions (black nodes) and prediction errors (red nodes). These units",
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Intolerance of uncertainty and emotional processing in adolescence: separating between- person stability and within-person change. *Res Child Adolesc Psy-*\n\n*chopathol* 2023; **51** :871- 84. Leone C, Galosi S, Mollica C *et* *al.* Dissecting pain processing in adoles-\n\ncents with non-suicidal self injury: could suicide risk lurk among\n\nthe electrodes?. *Eur J Pain* 2021; **25** :1815- 28. Lind M, Vanwoerden S, Penner F *et* *al.* Inpatient adolescents\n\nwith borderline personality disorder features: identity diffusion and narrative incoherence.. *Pers Disord Theory Res Treat* 2019; **10** :\n\n389- 93. Lind M, Vanwoerden S, Penner F *et* *al.* Narrative coherence in ado- lescence: relations with attachment, mentalization, and psy-\n\nchopathology. *J Pers Assess* 2020; **102** :380- 9. Linson A, Parr T, Friston KJ. Active inference, stressors, and psy- chological trauma: a neuroethological model of (mal)adaptive explore-exploit dynamics in ecological context. *Behav Brain Res*\n\n2020; **380** :112421.",
- "page_start": 10,
- "page_end": 10,
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- "text": "**2259**\n\nthe offspring <sup>12</sup> . Human studies have revealed GMV reductions in areas\n\nof the brain important for social cognition and the magnitude of these\n\nchanges corresponds with increased parental attachment <sup>13</sup> . Deeper\n\nexamination of cellular and systems-level mechanisms will improve\n\nour understanding of how pregnancy remodels specific circuits to\n\npromote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal\n\nbehavior and white matter microstructure (particularly connectiv-\n\nity between temporal and occipital lobes) have been noted <sup>31</sup> . Here we\n\nreveal pronounced GMV changes in regions within sensory, attention\n\nand default mode networks over the gestational window. In paral-\n\nlel, we observed increased anisotropy in white matter tracts that\n\nfacilitate communication between emotional and visual processing\n\nhubs <sup>37</sup> <sup>-</sup> <sup>39</sup> , including the inferior longitudinal fasciculus and inferior\n\nfronto-occipital fasciculus. Pinpointing the synchrony of gray and\n\nwhite matter changes that unfold in the maternal brain could be\n\nkey to understanding the behavioral adaptions that emerge during\n\nand after pregnancy, such as honing the brain’s visual and auditory\n\nresponses to infant cues and eliciting maternal behavior. Research\n\ninto other major transition periods supports this idea. For instance,\n\nadolescence is a dynamic period characterized by region-specific,\n\nnonlinear decreases in GMV and increases in WMV, maturational\n\nbrain changes that are tied to gains in executive function and social\n\ncognition <sup>40</sup> . For both adolescence <sup>41</sup> and matrescence, the consider-\n\nable rise in steroid hormone production appears to remodel the brain\n\n(see ref. 25 for comparative analysis), promoting a suite of behaviors\n\nadaptive to that life stage. How specific neural changes give rise to\n\nspecific behavioral adaptations has yet to be fully explored with\n\nrespect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes\n\nacross pregnancy in a single individual, precluding our ability to gen-\n\neralize to the broader population. To benchmark our findings, we com-\n\npared the magnitude of GMV changes observed throughout pregnancy\n\nagainst data from nonpregnant individuals sampled over a similar time\n\ncourse. Doing so provided compelling evidence that pregnancy-related\n\nneuroanatomical shifts far exceed normative day-to-day brain variabil-\n\nity and measurement error. Evidence suggests that white matter micro-\n\nstructure remains fairly stable over a six-month period <sup>42</sup> , but more\n\nstudies are needed to compare the degree of white matter changes\n\nobserved during pregnancy to normative change over time. Further,\n\nsampling larger cohorts of women will generate much-needed norma-\n\ntive models of brain change (akin to ref. 43 ) throughout pregnancy to\n\nestablish what constitutes a typical degree of neuroanatomical change\n\nexpected during gestation and postpartum recovery.\n\nThese findings provide a critical rationale for conducting further\n\nprecision imaging studies of pregnancy in demographically enriched\n\ncohorts to determine the universality and idiosyncrasy of these adap-\n\ntations and their role in maternal health. Are the changes observed in\n\nour participant reflective of the broader population? Do deviations\n\nfrom the norm lead to maladaptive outcomes? A precision imaging\n\napproach can help determine whether the pace of pregnancy-induced\n\nneuroanatomical changes drives divergent brain health outcomes in\n\nwomen, as may be the case during other rapid periods of brain devel-\n\nopment <sup>44</sup> . One in five women experiences perinatal depression <sup>45</sup> and\n\nwhile the first FDA-approved treatment is now available <sup>46</sup> , early detec-\n\ntion remains elusive. Precision imaging studies could offer clues about\n\nan individual’s risk for or resilience to depression before symptom\n\nonset, helping clinicians better determine when and how to intervene.\n\nNeuroscientists and clinicians also lack tools to facilitate detection\n\nand treatment of neurological disorders that co-occur, worsen or\n\nremit with pregnancy, such as epilepsy, headaches, multiple sclerosis\n\nand intracranial hypertension <sup>47</sup> . Precision mapping of the maternal\n\nbrain lays the groundwork for a greater understanding of the subtle\n\nand sweeping structural, functional, behavioral and clinical changes\n\nthat unfold across pregnancy. Such pursuits will advance our basic\n\nunderstanding of the human brain and its remarkable ability to undergo\n\nprotracted plasticity in adulthood.\n\n### **Online content**\n\nAny methods, additional references, Nature Portfolio reporting sum-\n\nmaries, source data, extended data, supplementary information,\n\nacknowledgements, peer review information; details of author con-\n\ntributions and competing interests; and statements of data and code\n\navailability are available at [https://doi.org/10.1038/s41593-024-01741-0](https://doi.org/10.1038/s41593-024-01741-0) .\n\n**References** 1. World Health Organization. Maternal, newborn, child and\n\nadolescent health and ageing. [platform.who.int/data/](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing)\n\n[maternal-newborn-child-adolescent-ageing](https://platform.who.int/data/maternal-newborn-child-adolescent-ageing) (2022).\n\n2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. *Knobil and Neill’s*\n\n*Physiology of Reproduction* pp. 1927- 1955 (Elsevier, 2015).\n\n3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for\n\nmotherhood. *Nat. Rev. Neurosci.* **9** , 11- 25 (2008).\n\n4. Gregg, C. Pregnancy, prolactin and white matter regeneration.\n\n*J. Neurol. Sci.* **285** , 22- 27 (2009).\n\n5. Haim, A. et al. A survey of neuroimmune changes in pregnant\n\nand postpartum female rats. *Brain Behav. Immun.* **59** ,\n\n67- 78 (2017).\n\n6. Barrière, D. A. et al. Brain orchestration of pregnancy and\n\nmaternal behavior in mice: a longitudinal morphometric study.\n\n*NeuroImage* **230** , 117776 (2021).\n\n7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The\n\ngenomic architecture of pregnancy-associated plasticity in\n\nthe maternal mouse hippocampus. *eNeuro* **9** , ENEURO.0117-22.\n\n2022 (2022).\n\n8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex differences:\n\nshort- and long-term effects of pregnancy on the brain. *Trends*\n\n*Neurosci.* **46** , 459- 471 (2023).\n\n9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural\n\nstem cells for transient neurogenesis in mothers. *Science* **382** ,\n\n958- 963 (2023).\n\n10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity\n\ninduced by environment and pregnancy. *Int. J. Neurosci.* **2** ,\n\n171- 178 (1971).\n\n11. Servin-Barthet, C. et al. The transition to motherhood:\n\nlinking hormones, brain and behaviour. *Nat. Rev. Neurosci.* **24** ,\n\n605- 619 (2023).\n\n12. Ammari, R. et al. Hormone-mediated neural remodeling\n\norchestrates parenting onset during pregnancy. *Science* **382** ,\n\n76- 81 (2023).\n\n13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in\n\nhuman brain structure. *Nat. Neurosci.* **20** , 287- 296 (2017).\n\n14. Hoekzema, E. et al. Mapping the effects of pregnancy on\n\nresting state brain activity, white matter microstructure, neural\n\nmetabolite concentrations and grey matter architecture. *Nat.*\n\n*Commun.* **13** , 6931 (2022).\n\n15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O.\n\n& Carmona, S. Characterizing the brain structural adaptations\n\nacross the motherhood transition. *Front. Glob. Womens Health* **2** ,\n\n742775 (2021).\n\n16. Spalek, K. et al. Pregnancy renders anatomical changes in\n\nhypothalamic substructures of the human brain that relate to\n\naspects of maternal behavior. *Psychoneuroendocrinology* **164** ,\n\n107021 (2024).\n\n17. Martínez-García, M. et al. Do pregnancy-induced brain changes\n\nreverse? The brain of a mother six years after parturition. *Brain Sci.*\n\n**11** , 168 (2021b).\n\n18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals\n\ntraces of childbirth in the maternal brain. *Proc. Natl Acad. Sci. USA*\n\n**116** , 22341- 22346 (2019).",
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- "text": "2 Barca *et* *al.*\n\n| Highlights |\n|:---|\n| - Predictive processing theories assume that the brain forms internal body and self-models at multiple levels of detail and strives to reduce their uncertainty. - High levels of uncertainty in internal models of the body and the self are common across several clinical condi- tions. - Excessive levels of uncertainty might also be experienced in the typical population during development transitions. - This excessive uncertainty might hinder the mainte- nance of a coherent model of the embodied self and confidently engage in adaptive courses of actions. - Maladaptive behaviors, such as non-suicidal self-injury, might emerge as paradoxical but effective strategies to “act on the body” to reduce uncertainty |\n\nsimilar because they explicitly target the body, with self-induced\n\nhunger or painful sensations, to modify bodily and interocep-\n\ntive experiences. This perspective helps contextualize harmful\n\nbehaviors within an “interoceptive inference” framework, which\n\nassumes that (interoceptive) bodily sensations and their regula-\n\ntion are key for affectivity, mental health, conscious processes, and the self ( Craig 2002 , Seth et al. 2012 , Barrett and Simmons\n\n2015 , Pezzulo et al. 2015 , Paulus et al. 2019 , Quigley et al. 2021 ),\n\nwhich could provide novel insights on why people do things to\n\nharm themselves intentionally.\n\nA central theme of inferential models of cognition, like active\n\ninference, is that actions are motivated by both “utilitarian” imper-\n\natives, such as reward achievement, and the “epistemic” impera-\n\ntive to reduce uncertainty about one’s state (intended in a broad\n\nsense, from bodily state to one’s identity and self-models). Var-\n\nious researchers proposed that paradoxical behaviors could be\n\nmotivated by reward achievement since they have (paradoxically)\n\npositive effects, such as relief from emotional distress and nega- tive affect ( Nock and Prinstein 2004 , Chapman et al. 2006 , Bresin and Gordon 2013 , Selby et al. 2019 ). Here, we advance a com-\n\nplementary perspective by suggesting that these behaviors might\n\nappear less paradoxical when considering that they could serve\n\nuncertainty minimization imperatives. For example, we recently\n\nsuggested that the starvation observed in restrictive anorexia\n\nnervosa could serve the imperative of minimizing “interoceptive\n\nuncertainty” or the uncertainty about one’s interoceptive state—\n\nstretched up to the uncertainty of the self—which might be partic-\n\nularly severe when people receive ambiguous interoceptive signals\n\nfrom the body, when they have poor models of their bodily or emo-\n\ntional state, or when they are particularly intolerant to high levels\n\nof uncertainty ( Barca and Pezzulo 2020 ).\n\nWhat are the possible causes of interoceptive uncertainty? Consider, e.g. a person with physiological deficits in interocep-\n\ntive pathways that do not allow her to clearly sense interoceptive\n\nstreams and identify her emotional states and embodied self.\n\nThese deficits might prevent the person from developing an appro-\n\npriate model of her emotions (e.g. a model that clearly specifies\n\nwhat emotion she feels and in which conditions) and a good\n\nunderstanding of the emotions and the affective states of others\n\nand hence be constantly uncertain about them (see also Smith and Lane 2015 , Smith et al. 2018 , 2019 ). Such detachment from\n\none’s body and bodily information might result from adverse\n\nexperiences during infancy and childhood, such as emotional and physical neglect ( Schmitz et al. 2023 ), or—in less dramatic\n\nsituations—from reduced affective reciprocity during parental\n\ninteractions ( Conradt and Ablow 2010 ). Development theories\n\nunderscore the role of parental care in shaping the experience of\n\nself and others and integrative processes of consciousness ( Bowlby 1997 , Liotti 2004 , 2006 , Fonagy et al. 2023 ).\n\nDuring infancy, a child starts making sense of her internal\n\nexperiences through the information she gets from the external\n\nworld, most notably from caregivers whose behavior has a fun-\n\ndamental regulatory function shaping emotional development,\n\nstress physiology, and refinement of limbic circuitry ( Gee 2016 ).\n\nIn addition to the quality of caregivers’ response to the infant’s\n\nneed for proximity, its “predictability” supports the development\n\nof emotions’ regulatory capacity ( Gee and Cohodes 2021 ; Wu and\n\nFeng 2020 ) and a cohesive sense of self ( Arciero and Bondolfi\n\n2009 ), increases prosociality ( Deneault et al. 2023 ), and influ- ences the development of social brain structure (see Ilyka et al.\n\n2021 for a review). Self-report assessment of exposure to unpre-\n\ndictability during early life appears to predict symptoms of anx- iety, depression, and anhedonia in adulthood ( Glynn et al. 2019 ).\n\nEvidence from cross-species studies indicates that the predictabil-\n\nity of caregivers’ behavior in rodents may specifically influence\n\nthe offspring’s development of corticolimbic circuitry involved in\n\nemotion-related functioning ( Glynn and Baram 2019 ). Rodents\n\nexposed to unpredictable maternal care exhibit atypical amygdala functioning ( Malter Cohen et al. 2013 ) and weaker connectivity with the medial prefrontal cortex ( Guadagno et al. 2018 ). Abraham et al. (2019) evaluated a number of features of the\n\nneurobiological interoceptive circuit (e.g. the functionality of the\n\namygdala, insula, and oxytocinergic system) in parents and chil-\n\ndren over the first 6 years of parenthood. Results revealed a critical\n\nassociation between parental interoceptive sensitivity—indexed, e.g. by increased bilateral activation of the anterior insula in\n\nresponse to a video of his/her interacting with his/her infant—\n\nthe consolidation of the child’s interoceptive circuit and mental\n\nhealth. Taken together, thus, consistent evidence indicates that\n\nparental ability to respond appropriately to the children’s needs\n\nand bodily signals supports the child’s ability to adequately repre-\n\nsent his/her internal bodily states, concurring in the development of self-processes ( Fotopoulou and Tsakiris 2017 , Ciaunica et al.\n\n2021a , 2021b ). The degree of predictability of caregivers’ response\n\nappears to be critical for the development of affect regulation and a cohesive sense of the self ( Ilyka et al. 2021 ). When care-\n\ngivers’ behavior is less reliable, children have more difficulties in\n\ndistinguishing their own internal states, making self-other dis- tinctions ( Ogawa et al. 1997 , Dutra et al. 2009 ), and—in the most\n\nsevere cases—developing an integrated sense of the self ( Liotti\n\n2004 , 2006 ).\n\nAs a consequence of these or other deficits in developing\n\nappropriate models of emotional and self-models, a person might\n\nexperience significant interoceptive uncertainty and perceive her\n\nown internal states in confused and uncomfortable ways later\n\nin life. Suppose that the interoceptive channels are unreliable\n\nand the internal models rooted in bodily experiences are poor.\n\nIn that case, a person might construe a sense of personal stabil-\n\nity through external, non-interoceptive signals, such as feedback\n\nfrom others and from the world, rather than via interoceptive\n\nsignals. Engaging in social interactions, in which we experience\n\naffective states relevant to our self-confirmation (e.g. a sense\n\nof acceptance and kindness), might be particularly challenging\n\nfor this person ( Guidano 1987 , Arciero and Bondolfi 2009 ). While\n\ninteracting with others, she might experience ambiguous bodily\n\nand emotional states. She might be unable to reduce this uncer-\n\ntainty using the other as an external point of reference since",
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- "text": "10 Barca *et* *al.*\n\n“endogenous opioid system”—involved in reward and the regu-\n\nlation of pain and affect—have been documented ( Bresin and Gordon 2013 ), as low basal plasma levels of β -endorphins (which are peripherally released following tissue damage) in psychiatric patients ( van der Venne et al. 2021 , Cakin Memik et al. 2023 ). Lower salivary levels of β -endorphins have also been registered immediately before NSSI, compared to post-NSSI ( Störkel et al.\n\n2021 ). Thus, an imbalance in the opioid system might be a rel-\n\nevant component in NSSI, where self-injures might be acted to initiate the release of β -endorphins to restore homeostasis ( Stanley et al. 2010 , Bresin and Gordon 2013 ). Another line\n\nof research examined “nociceptive dysregulation,” with possible hypoalgesia ( Kirtley et al. 2016 ), showing higher pain thresh-\n\nolds and lower pain intensity in adolescents with NSSI ( Nock et al. 2006 , 2009 , van der Venne et al. 2021 ). Recent works failed\n\nto replicate these findings but reported specific alterations in descending inhibitory pain control ( Leone et al. 2021 , Lalouni et al. 2022 ). Despite some inconsistencies, this is an area that\n\nis worth further investigation. It remains to investigate to what\n\nextent the perspective on NSSI offered here could be extended to\n\ncover the aforementioned body of evidence and whether active\n\ninference could help integrate the different perspectives we have\n\ndiscussed.\n\nWe focused on adolescence as a potentially critical period for\n\nNSSI, given that it is associated with high levels of uncertainty\n\nabout several central domains in human life. However, there\n\nare other (gender-related) developmental periods in which bod-\n\nily changes might be coupled with increased levels of uncertainty\n\n(e.g. in physiology, in the sense of self, in the social role) and vulner- ability. Pregnancy and transition to menopause, e.g. are periods of\n\nendocrine and hormonal upheavals that might impact a woman’s\n\naffective life and well-being. These physiological changes are cou-\n\npled with a fundamental developmental transition that requires a\n\nredefinition of personal identity and narrative integration ( McLean\n\nand Lilgendahl 2019 ), with increased uncertainty of one’s inter-\n\nnal states and role in the social context. Taking into account\n\nthe perimenopausal and menopausal transition, the physiologi-\n\ncal, psychological, and affective experiences associated with it are\n\nvery heterogeneous. Some women might experience it as a new\n\nbeginning, whereas for others, it may be more critical ( Deeks 2003 ). In some cases, e.g. the menopause transition might perturb the\n\ncontinuity of one’s sense of self, inducing discrepancies in inter-\n\nnal self-coherence (e.g. the end of childbearing years, the aging\n\nprocess), which might increase the level of distress ( Barca and De\n\nMarchis 2018 ).\n\nThe dramatic changes that a women’s physiology undergoes\n\nduring life have been suggested to concur with the atypical\n\ninteroception often reported (e.g. heightened interoceptive atten-\n\ntion but poor interoceptive accuracy), which might contribute to their greater vulnerability to mental illness ( Murphy et al.\n\n2019 ). Although this is still a speculative hypothesis that needs\n\nto be tested empirically, the effect of these transition periods on\n\nwomen’s well-being is currently overlooked and deserves more\n\nattention.\n\nFinally, although we only focused on “maladaptive” strate-\n\ngies to modify the sense of self through bodily sensations, there\n\nare also “adaptive” strategies that use the body to improve the sense of self and feelings of well-being. Among these, e.g. is\n\nengaging in physical activities to reduce emotional distress. Per-\n\nforming physical activity concurs in the reduction in symptoms\n\nof depression and anxiety, acting on both psychological (e.g.\n\ndiverting from unpleasant stimuli or increasing the sense of self-\n\nefficacy) and physiological mechanisms (e.g. through the release\n\nof monoamines and endorphins), which seem to alleviate distress-\n\ning emotions (see for a review Paluska and Schwenk 2000 ). The\n\nrelationship between well-being, physical activity, and interocep- tion is increasingly receiving attention ( Wallman-Jones et al. 2021 )\n\nand deserves further investigation for its potential role as a pro-\n\ntective factor against emotional distress and the development of\n\nclinical conditions.\n\nIt is worth reminding that the theoretical proposal advanced\n\nin this study—that NSSI might emerge when some of the (preci-\n\nsion) parameters of one’s model of the body and the self are not\n\nappropriately tuned—is still speculative. However, previous stud-\n\nies reported the importance of aberrant precision tuning in inte-\n\nroceptive streams across various psychopathological conditions,\n\nsuch as depression, anxiety, eating, and substance use disorders ( Smith et al. 2020 , 2021 ). These studies, along with other proposals\n\n( Khalsa et al. 2018 ), raise the possibility that interoceptive dys-\n\nfunctions and the incorrect tuning of (precision) parameters of\n\ngenerative models might have a pervasive effect on psychopathol-\n\nogy. This hypothesis remains to be investigated in the case of\n\nNSSI.\n\n### Conflict of interest\n\nThe authors have no conflicts of interest to declare.\n\n### Data availability\n\nNo new data were generated or analyzed in support of this\n\nresearch.\n\n### References\n\nAbraham E, Hendler T, Zagoory-Sharon O *et* *al.* Interoception sensi- tivity in the parental brain during the first months of parenting\n\nmodulates children’s somatic symptoms six years later: the role of oxytocin. *Int J Psychophysiol* 2019; **136** :39- 48. Adams RA, Stephan KE, Brown HR *et* *al.* The computational anatomy of psychosis. *Front Psychiatry* 2013; **4** :1- 26.\n\nArciero G, Bondolfi G. *Selfhood, Identity and Personality Styles* . 1st edn\n\nHoboken, New Jersey, United States: John Wiley & Sons Inc, 2009. Barca L, Candidi M, Lancia GL *et* *al.* Mapping the mental space of emotional concepts through kinematic measures of decision\n\nuncertainty. *Philos Trans R Soc Lond B Biol Sci* 2023; **378** :20210367. Barca L, De Marchis MD. The case of Sofia: an example of the dynamic properties of the therapeutic relationship. 2018.\n\nBarca L, Pezzulo G. Keep your interoceptive streams under control: an active inference perspective on anorexia nervosa. *Cogn Affect*\n\n*Behav Neurosci* 2020; **20** :427- 40.\n\nBarrett LF. *How Emotions Are Made: The Secret Life of the Brain* . Boston,\n\nMassachusetts, United States: Houghton Mifflin Harcourt, 2017.\n\nBarrett LF, Quigley KS, Hamilton P. An active inference theory of allostasis and interoception in depression. *Philos Trans R Soc Lond*\n\n*B Biol Sci* 2016; **371** :20160011. Barrett LF, Simmons WK. Interoceptive predictions in the brain. *Nat*\n\n*Rev Neurosci* 2015; **16** :419- 29.\n\nBowlby J. *Attachment and Loss: Attachment* . London, UK: Pimlico, 1997. Bresin K, Gordon KH. Endogenous opioids and nonsuicidal self- injury: a mechanism of affect regulation. *Neurosci Biobehav Rev*\n\n2013; **37** :374- 83. Cakin Memik N, Hunc F, Kalayci S *et* *al.* Assessment of plasma- endogenous opioid neuropeptide levels and psychometric prop- erties of non-suicidal self-injury in adolescents. *Arch Suicide Res*\n\n2023; **27** :749- 68.",
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- },
- {
- "text": "[134. Blackmore, Susan (2014). \"The Neural Correlates of Consciousness\" (https://www.edge.org/](https://www.edge.org/response-detail/25457)\n\n[response-detail/25457). ](https://www.edge.org/response-detail/25457) *Edge.org* . Retrieved 22 April 2018.\n\n[135. Krohn, Stephan; Ostwald, Dirk (2017). \"Computing integrated information\" (https://www.ncbi.](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6007153)\n\n[nlm.nih.gov/pmc/articles/PMC6007153). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6007153) *Neuroscience of Consciousness* . **2017** (1): nix017.\n\n[doi:10.1093/nc/nix017 (https://doi.org/10.1093%2Fnc%2Fnix017). PMC 6007153 (https://ww](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6007153)\n\n[w.ncbi.nlm.nih.gov/pmc/articles/PMC6007153). PMID 30042849 (https://pubmed.ncbi.nlm.ni](https://pubmed.ncbi.nlm.nih.gov/30042849)\n\n[h.gov/30042849).](https://pubmed.ncbi.nlm.nih.gov/30042849)\n\n[136. Cerullo, Michael A. (September 2015). Kording, Konrad P. (ed.). \"The Problem with Phi: A](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706)\n\n[Critique of Integrated Information Theory\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC45](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706)\n\n[74706). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706) *PLOS Computational Biology* . **11** [ (9): e1004286. Bibcode:2015PLSCB..11E4286C](https://ui.adsabs.harvard.edu/abs/2015PLSCB..11E4286C)\n\n[(https://ui.adsabs.harvard.edu/abs/2015PLSCB..11E4286C).](https://ui.adsabs.harvard.edu/abs/2015PLSCB..11E4286C)\n\n[doi:10.1371/journal.pcbi.1004286 (https://doi.org/10.1371%2Fjournal.pcbi.1004286).](https://doi.org/10.1371%2Fjournal.pcbi.1004286)\n\n[PMC 4574706 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4574706). PMID 26378789](https://pubmed.ncbi.nlm.nih.gov/26378789)\n\n[(https://pubmed.ncbi.nlm.nih.gov/26378789).](https://pubmed.ncbi.nlm.nih.gov/26378789)\n\n[137. Mørch, Hedda Hassel (2017). \"The Integrated Information Theory of Consciousness\" (http](https://philosophynow.org/issues/121/The_Integrated_Information_Theory_of_Consciousness)\n\n[s://philosophynow.org/issues/121/The_Integrated_Information_Theory_of_Consciousness).](https://philosophynow.org/issues/121/The_Integrated_Information_Theory_of_Consciousness)\n\n*Philosophy Now* . Retrieved 22 April 2018.\n\n[138. Oizumi, Masafumi; Albantakis, Larissa; Tononi, Giulio (May 2014). \"From the](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402)\n\n[Phenomenology to the Mechanisms of Consciousness: Integrated Information Theory 3.0\"](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402)\n\n[(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402) *PLOS Computational Biology* . **10**\n\n[(5): e1003588. Bibcode:2014PLSCB..10E3588O (https://ui.adsabs.harvard.edu/abs/2014PL](https://ui.adsabs.harvard.edu/abs/2014PLSCB..10E3588O)\n\n[SCB..10E3588O). doi:10.1371/journal.pcbi.1003588 (https://doi.org/10.1371%2Fjournal.pcb](https://doi.org/10.1371%2Fjournal.pcbi.1003588)\n\n[i.1003588). PMC 4014402 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402).](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4014402)\n\n[PMID 24811198 (https://pubmed.ncbi.nlm.nih.gov/24811198).](https://pubmed.ncbi.nlm.nih.gov/24811198)\n\n[139. Mindt, Garrett (2017). \"The Problem with the 'Information' in Integrated Information Theory\"](http://newdualism.org/papers/G.Mindt/Mindt-JCS2017.pdf)\n\n[(http://newdualism.org/papers/G.Mindt/Mindt-JCS2017.pdf) (PDF). ](http://newdualism.org/papers/G.Mindt/Mindt-JCS2017.pdf) *Journal of*\n\n*Consciousness Studies* . **24** (7- 8): 130- 154. Retrieved 22 February 2022.\n\n140. Baars, Bernard J. (2005). \"Global workspace theory of consciousness: Toward a cognitive\n\nneuroscience of human experience\". *The Boundaries of Consciousness: Neurobiology and*\n\n*Neuropathology* . Progress in Brain Research. Vol. 150. pp. 45- 53.\n\n[CiteSeerX 10.1.1.456.2829 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.456.](https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.456.2829)\n\n[2829). doi:10.1016/S0079-6123(05)50004-9 (https://doi.org/10.1016%2FS0079-6123%280](https://doi.org/10.1016%2FS0079-6123%2805%2950004-9)\n\n[5%2950004-9). ISBN 9780444518514. PMID 16186014 (https://pubmed.ncbi.nlm.nih.gov/1](https://pubmed.ncbi.nlm.nih.gov/16186014)\n\n[6186014).](https://pubmed.ncbi.nlm.nih.gov/16186014)\n\n[141. Dehaene, Stanislas; Naccache, Lionel (2001). \"Towards a cognitive neuroscience of](http://zoo.cs.yale.edu/classes/cs671/12f/12f-papers/dehaene-consciousness.pdf)\n\n[consciousness: basic evidence and a workspace framework\" (http://zoo.cs.yale.edu/classes/](http://zoo.cs.yale.edu/classes/cs671/12f/12f-papers/dehaene-consciousness.pdf)\n\n[cs671/12f/12f-papers/dehaene-consciousness.pdf) (PDF). ](http://zoo.cs.yale.edu/classes/cs671/12f/12f-papers/dehaene-consciousness.pdf) *Cognition* . **79** (1- 2): 1- 37.\n\n[doi:10.1016/S0010-0277(00)00123-2 (https://doi.org/10.1016%2FS0010-0277%2800%2900](https://doi.org/10.1016%2FS0010-0277%2800%2900123-2)\n\n[123-2). PMID 11164022 (https://pubmed.ncbi.nlm.nih.gov/11164022). S2CID 1762431 (http](https://api.semanticscholar.org/CorpusID:1762431)\n\n[s://api.semanticscholar.org/CorpusID:1762431). Retrieved 5 April 2019.](https://api.semanticscholar.org/CorpusID:1762431)\n\n142. Dalton, J. W. (1997). \"The unfinished theatre\". *Journal of Consciousness Studies* . **4** (4):\n\n316- 318.\n\n143. Elitzur, Avshalom C. (1997). \"Why don't we know what Mary knows? Baars' reversing the\n\nproblem of qualia\". *Journal of Consciousness Studies* . **4** (4): 319- 324.\n\n144. *[The Meta-Problem of Consciousness | Professor David Chalmers | Talks at Google](https://www.youtube.com/watch?v=OsYUWtLQBS0)* (https://\n\n[www.youtube.com/watch?v=OsYUWtLQBS0), 2 April 2019, retrieved 2022-01-11](https://www.youtube.com/watch?v=OsYUWtLQBS0)\n\n145. Stoppard, Tom (28 January 2015). \"First Person\". *Programme notes* [. London: Royal](https://en.wikipedia.org/wiki/Royal_National_Theatre)\n\n[National Theatre.](https://en.wikipedia.org/wiki/Royal_National_Theatre)\n\n### **External links**",
- "page_start": 26,
- "page_end": 26,
- "source_file": "wikipedia2.pdf"
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- "text": "[1. Chalmers, David (1995). \"Facing up to the problem of consciousness\" (http://consc.net/pape](http://consc.net/papers/facing.pdf)\n\n[rs/facing.pdf) (PDF). ](http://consc.net/papers/facing.pdf) *[Journal of Consciousness Studies](https://en.wikipedia.org/wiki/Journal_of_Consciousness_Studies)* . **2** (3): 200- 219.\n\n[2. Harnad, Stevan (1995). \"Why and how we are not zombies\" (http://cogprints.org/1601/6/har](http://cogprints.org/1601/6/harnad95.zombies.html)\n\n[nad95.zombies.html). ](http://cogprints.org/1601/6/harnad95.zombies.html) *[Journal of Consciousness Studies](https://en.wikipedia.org/wiki/Journal_of_Consciousness_Studies)* . **1** [: 164- 167. See also Harnad,](https://en.wikipedia.org/wiki/Stevan_Harnad)\n\n[Stevan (April 2000). \"How/why the mind- body problem is hard\" (http://cogprints.org/1617/1/](http://cogprints.org/1617/1/harnad00.mind.humphrey.html)\n\n[harnad00.mind.humphrey.html). ](http://cogprints.org/1617/1/harnad00.mind.humphrey.html) *[Journal of Consciousness Studies](https://en.wikipedia.org/wiki/Journal_of_Consciousness_Studies)* . **7** (4): 54- 61.\n\n3. See Cooney's foreword to the reprint of Chalmers' paper: Brian Cooney, ed. (1999).\n\n\"Chapter 27: Facing up to the problem of consciousness\". *The place of mind* . Cengage\n\nLearning. pp. 382 *ff* [. ISBN 978-0534528256.](https://en.wikipedia.org/wiki/Special:BookSources/978-0534528256)\n\n[4. Problem of Consciousness (Tuscan 1994) (https://www.youtube.com/watch?v=_lWp-6hH_6](https://www.youtube.com/watch?v=_lWp-6hH_6g%7CHard)\n\n[g%7CHard)](https://www.youtube.com/watch?v=_lWp-6hH_6g%7CHard)\n\n5. JCS vol. 4, pp. 3-46, 1997\n\n6. Chalmers, David (1997). \"Moving forward on the problem of consciousness\". *Journal of*\n\n*Consciousness Studies* . **4** (1): 3- 46.\n\n7. Shear, Jonathan (1997). *Explaining Consciousness: The Hard Problem* . MIT Press.\n\n[ISBN 978-0262692212.](https://en.wikipedia.org/wiki/Special:BookSources/978-0262692212)\n\n[8. \"Episode 83, The David Chalmers Interview (Part I - Consciousness)\" (https://thepanpsycas](https://thepanpsycast.com/panpsycast2/episode83-1)\n\n[t.com/panpsycast2/episode83-1). ](https://thepanpsycast.com/panpsycast2/episode83-1) *The Panpsycast Philosophy Podcast* . 19 July 2020.\n\nRetrieved 2020-09-05.\n\n[9. Pinker, Steven (29 January 2007). \"The Brain: The Mystery of Consciousness\" (http://conten](http://content.time.com/time/magazine/article/0,9171,1580394-1,00.html)\n\n[t.time.com/time/magazine/article/0,9171,1580394-1,00.html). ](http://content.time.com/time/magazine/article/0,9171,1580394-1,00.html) *Time* . Retrieved 19 December\n\n2018.\n\n[10. Levine, Joseph (2009-01-15). \"The Explanatory Gap\" (https://www.oxfordhandbooks.com/vi](https://www.oxfordhandbooks.com/view/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17)\n\n[ew/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17). ](https://www.oxfordhandbooks.com/view/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17) *The*\n\n*Oxford Handbook of Philosophy of Mind* : 281- 291.\n\n[doi:10.1093/oxfordhb/9780199262618.003.0017 (https://doi.org/10.1093%2Foxfordhb%2F9](https://doi.org/10.1093%2Foxfordhb%2F9780199262618.003.0017)\n\n[780199262618.003.0017). ISBN 978-0199262618.](https://en.wikipedia.org/wiki/Special:BookSources/978-0199262618)\n\n[11. McGinn, Colin (20 February 2012). \"All machine and no ghost?\" (http://www.newstatesman.](http://www.newstatesman.com/ideas/2012/02/consciousness-mind-brain)\n\n[com/ideas/2012/02/consciousness-mind-brain). ](http://www.newstatesman.com/ideas/2012/02/consciousness-mind-brain) *[New Statesman](https://en.wikipedia.org/wiki/New_Statesman)* . Retrieved 27 March 2012.\n\n[12. Block, Ned (2002). \"The Harder Problem of Consciousness\" (https://philpapers.org/rec/BLO](https://philpapers.org/rec/BLOTHP)\n\n[THP). ](https://philpapers.org/rec/BLOTHP) *The Journal of Philosophy* . **99** [ (8): 391- 425. doi:10.2307/3655621 (https://doi.org/10.](https://doi.org/10.2307%2F3655621)\n\n[2307%2F3655621). JSTOR 3655621 (https://www.jstor.org/stable/3655621).](https://www.jstor.org/stable/3655621)\n\n[S2CID 111383062 (https://api.semanticscholar.org/CorpusID:111383062).](https://api.semanticscholar.org/CorpusID:111383062)\n\n[13. Varela, F.J. (1 April 1996). \"Neurophenomenology: a methodological remedy for the hard](https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718)\n\n[problem\" (https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718).](https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718)\n\n*Journal of Consciousness Studies* . **3** (4): 330- 349.\n\n14. Tononi, Giulio; Boly, Melanie; Massimini, Marcello; Koch, Christof (July 2016). \"Integrated\n\ninformation theory: from consciousness to its physical substrate\". *Nature Reviews*\n\n*Neuroscience* . **17** [ (7): 450- 461. doi:10.1038/nrn.2016.44 (https://doi.org/10.1038%2Fnrn.20](https://doi.org/10.1038%2Fnrn.2016.44)\n\n[16.44). PMID 27225071 (https://pubmed.ncbi.nlm.nih.gov/27225071). S2CID 21347087 (htt](https://api.semanticscholar.org/CorpusID:21347087)\n\n[ps://api.semanticscholar.org/CorpusID:21347087).](https://api.semanticscholar.org/CorpusID:21347087)\n\n[15. Tononi, Giulio; Koch, Christof (March 2015). \"Consciousness: here, there and everywhere?\"](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4387509)\n\n[(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4387509). ](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4387509) *Philosophical Transactions of the*\n\n*Royal Society B: Biological Sciences* . **370** [ (1668): 20140167. doi:10.1098/rstb.2014.0167 (ht](https://doi.org/10.1098%2Frstb.2014.0167)\n\n[tps://doi.org/10.1098%2Frstb.2014.0167). PMC 4387509 (https://www.ncbi.nlm.nih.gov/pmc/](https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4387509)\n\n[articles/PMC4387509). PMID 25823865 (https://pubmed.ncbi.nlm.nih.gov/25823865).](https://pubmed.ncbi.nlm.nih.gov/25823865)\n\n[16. Dennett, Daniel C. (2013). \"The tuned deck\" (https://books.google.com/books?id=sicVcPjfPx](https://books.google.com/books?id=sicVcPjfPxUC&pg=RA3-PA59)\n\n[UC&pg=RA3-PA59). ](https://books.google.com/books?id=sicVcPjfPxUC&pg=RA3-PA59) *Intuition pumps and other tools for thinking* . W. W. Norton & Company.\n\npp. 310 *ff* [. ISBN 978-0393240689. and also \"Commentary on Chalmers\": Dennett, Daniel C.](https://en.wikipedia.org/wiki/Daniel_C._Dennett)\n\n[(1996). \"Facing backwards on the problem of consciousness\" (http://ase.tufts.edu/cogstud/d](http://ase.tufts.edu/cogstud/dennett/papers/chalmers.htm)\n\n[ennett/papers/chalmers.htm). ](http://ase.tufts.edu/cogstud/dennett/papers/chalmers.htm) *[Journal of Consciousness Studies](https://en.wikipedia.org/wiki/Journal_of_Consciousness_Studies)* . **3** (1): 4- 6.",
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- "text": "*Modeling and controlling the body in maladaptive ways* 3\n\nthe affectivity attributed to the others might also be perceived\n\nas vague and misinterpreted (e.g. “Is he/she interested in me or\n\nnot?” “Am I a person worthy of attention and love from oth-\n\ners?”). Bodily illusions, such as the “rubber hand illusion” ( Suzuki et al. 2013 , Crucianelli et al. 2018 ) and the “enfacement illu- sion” ( Sforza et al. 2010 , Tajadura-Jiménez et al. 2012 ), provide\n\ncompelling evidence for the malleability of self-other bound-\n\naries as a function of bodily information and of interoceptive\n\nsensibility.\n\nDealing with these ambiguous situations could be particu-\n\nlarly challenging and distressing for a person with no adaptive\n\nstrategies to reduce uncertainty. Therefore, in these (admittedly\n\nextreme) conditions, even maladaptive strategies such as star-\n\nvation that reduce uncertainty and render bodily and interocep-\n\ntive stimuli more salient might become more appealing (see also Linson et al. 2020 ). In other words, while starvation would still be\n\nconsidered paradoxical—in the sense that it runs against the “util-\n\nitarian” imperative of ensuring well-being and survival—it might\n\nplay a functional role for an organism that simultaneously tries\n\nto “maximize utility and minimize uncertainty,” as assumed by\n\nactive inference.\n\nIn this article, we propose that NSSI and other kinds of paradox- ical behaviors might also be conceptualized in similar ways, i.e. as\n\nother cases in which a person intentionally changes her bodily\n\nand interoceptive sensations, in order to reduce excessive bodily\n\nand interoceptive uncertainty (but also more broadly to modulate\n\naffective and physiological states that are otherwise dysregulated, e.g. to decrease the excessive intensity of bodily sensations in\n\nhyperarousal).\n\nIn the next sections, we first discuss NSSI behaviors by focusing\n\non the fact that they might occur in non-clinical individuals. We\n\nwill highlight that this could be not only especially the case dur-\n\ning adolescence—a period of life during which people experience\n\nvarious kinds of uncertainties (e.g. their bodies, the self, their\n\nsocial status, and interpersonal relationships), but also more spec-\n\nulatively during other periods of life associated with substantial\n\nchanges and uncertainty, such as the perimenopause- menopause\n\ntransition period in women. Then, in the subsequent section,\n\nwe introduce the main tenets of active inference by focusing on\n\nits proposed mechanisms for interoceptive processing and uncer-\n\ntainty reduction. Finally, we discuss how the active inference\n\nframework might help conceptualize NSSI as a possible strategy\n\nto reduce uncertainty; for example, the uncertainty that some\n\n(non-clinical populations of) adolescents might strive to cope with\n\nduring their transition to adulthood.\n\n### Paradoxical behaviors: the case of NSSI\n\n“Self-injury behaviors” is an umbrella term that includes a wide\n\nrange of behaviors (and intentions), including suicide attempts,\n\nsuperficial cuts, and medication withdrawals ( Skegg 2005 , Nock\n\n2010 ). We focus on NSSI behaviors as the direct, deliberate\n\ndestruction of body tissue without lethal intent (e.g. cutting one-\n\nself). A distinction is also made between NSSI performed stereo-\n\ntypically in the context of developmental disabilities (e.g. head\n\nbanging) and major injuries often observed in psychotic disorders.\n\nThe most frequent examples of NSSI include cutting the skin with\n\na sharp object (e.g. a knife, razor blade, or needle) and skin burn, usually with a cigarette ( Khanipour et al. 2016 ). Patients often\n\ninjure themselves, in a single act, by inflicting multiple injuries\n\nat the same body site, usually in areas that are easily hidden\n\nbut accessible (e.g. forearms and anterior thighs). The behavior\n\nis often repeated, resulting in extensive scarring patterns. The age\n\nof onset of NSSI tends to be early adolescence, between 12 and\n\n14 years of age, and the behavior appears to decline after young adulthood ( Nock et al. 2009 ).\n\nThe phenomenology of NSSI is still elusive. It has been hypoth-\n\nesized that self-injury behaviors might be engaged to regulate\n\nemotions by avoiding or distracting from unwanted emotional\n\nexperiences (e.g. shame) or negative beliefs about the self ( Chap- man et al. 2006 ). This “affect regulation hypothesis” is sup-\n\nported by the findings that emotional dysregulation—such as\n\nreduced emotional clarity, problems in goal-directed behaviors,\n\nand impulse control—is common in non-clinical samples of ado-\n\nlescents who engage in NSSI. The probability of engaging in\n\nself-injuries appears to be positively associated with emotional\n\ndysregulation, particularly when individuals lack more adaptive\n\nstrategies (e.g. reappraisal) to cope with their affectivity ( Wolff et al. 2019 ). Likewise, self-injurers typically describe their behav- iors as attempts to avoid negative cognitive (i.e. bad thoughts or\n\nmemories) and affective (i.e. anxiety, sadness, and anger) states,\n\nwhose elevated arousal is suggested to increase the likelihood of engaging in self-injuries ( Nock and Mendes 2008b , Nock et al.\n\n2009 ). The interplay between physiological hyperarousal, poor dis-\n\ntress tolerance, and reduced problem-solving skills is thought to\n\nconcur in self-injury behaviors ( Nock and Prinstein 2004 , Nock et al. 2006 ), with adolescents with a history of NSSI displaying\n\ngreater changes in skin conductance and reduced tolerance to\n\nincreasingly stressing conditions ( Nock and Mendes 2008b ).\n\nA factor that might contribute to the genesis of maladaptive\n\nbehaviors—including NSSI—is the extent to which one is able to\n\nsustain the rise in the levels of uncertainty, which, broadly speak-\n\ning, might occur in different domains of subjective experience\n\n(from bodily states to the possible outcomes of social interac-\n\ntions, to the self, and to one’s personal identity). Every day, we\n\nface some kind of uncertainty, but the degree to which it might be\n\ndistressing largely varies across individuals. High levels of intoler-\n\nance of uncertainty, or the attitude to react negatively to uncertain situations and events ( Ladouceur et al. 2000 ), are considered a\n\ntransdiagnostic vulnerability factor across several clinical condi-\n\ntions such as anxiety, depression ( McEvoy and Mahoney 2012 ), and eating disorders ( Kesby et al. 2017 ). Recently, such “fear for\n\nuncertainty” has also been reported in neurotypical young adults and adolescents in relation to excessive worry ( Laugesen et al.\n\n2003 , Thielsch et al. 2015 ) and anxiety ( Osmana ̆ gao ̆ glu et al. 2018 ). There is also evidence of a positive reciprocal association between\n\nintolerance of uncertainty and difficulties in emotion processing\n\nin adolescents and that both tend to decrease with the transition to adulthood ( Lauriola et al. 2023 ). Crucially, NSSI is particularly\n\nprominent in adolescence; its rate in non-clinical samples of ado-\n\nlescence has increased alarmingly in this century, representing a serious ongoing societal health concern ( Xiao et al. 2022 ).\n\n### NSSI in adolescence\n\nAdolescence is the period of developmental transition from child-\n\nhood to adulthood, which might be stretched up to the early\n\n20s due to current sociocultural changes (e.g. delays in complet-\n\ning education, occupational attainment, and parenthood) ( Patton et al. 2018 ). Among the challenges that adolescents have to face\n\nare the structuring of a “narrative identity” or self-story, featuring\n\nthe development of a sense of personal identity that integrates\n\npast experiences with current, and future goals and meanings in\n\na coherent whole over time ( McAdams and McLean 2013 , McLean\n\nand Lilgendahl 2019 ). The definition of the new boundaries of\n\nadolescents’ personal identity involves significant changes in the",
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- "query": "What was the indicator related to increasing Nissan's research and development activities in terms of publication of scientific articles in 2004?",
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- "target_passage": "And the number of research papers we present at societies such as The Japan Society of Mechanical Engineers rose dramatically in fiscal 2004. ",
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- "text": "**Pursuing Value Through**\n\n**Technological Excellence** MITSUHIKO YAMASHITA\n\nExecutive Vice President\n\n### TECHNOLOGY\n\nO U R W O R K\n\nRear active steering Intelligent cruise control Shock-absorbing body, to reduce pedestrian injuries\n\n“I have two prime objectives. The first is to realize our\n\ncorporate vision, ‘ Enriching people’s lives,’ from an\n\nengineering standpoint. The second is to create a\n\nfuture vision for people working in R&D. Research and\n\ndevelopment is all about providing practical value to\n\nthe customer via technological excellence, which in\n\nturn creates value for our shareholders. Nissan has\n\nmade a major commitment to technological excellence\n\nso that we can accomplish these objectives.\n\n**Research and Development**\n\nNissan’s investment in R&D has been rising. In fiscal 2004\n\nwe devoted approximately ¥400 billion to it, equivalent to\n\n4.6 percent of our turnover. We estimate that our financial\n\ncommitment to R&D will continue to range between 4.5\n\nand 5 percent. R&D investments take a lot of time to pay\n\noff, of course, so it’s difficult to evaluate our evolution\n\nover the short term. Given our expanded output, however,\n\nI believe that we are headed in the right direction.\n\nFor example, the number of patents we have generated\n\nis growing quickly, exceeding 4,000 in fiscal 2003—more\n\nthan twice the fiscal 1999 figure. And the number of\n\nresearch papers we present at societies such as The Japan\n\nSociety of Mechanical Engineers rose dramatically in fiscal\n\n2004. These are direct results of our commitment to\n\nresearch. We are also generating more new technologies\n\nrelated to safety and the environment, such as the Around\n\nView Monitor and the lane-keeping system.\n\nWe have succeeded in shortening our production\n\npipeline, too, using a new vehicle development process\n\ncalled V3P that our engineers devised over the past three\n\nyears. V3P, which stands for Value-up innovation of\n\nProduct, Process, and Program, has helped us cut our\n\ndevelopment time almost in half, from 20 months to just\n\n10.5 months. I believe this makes Nissan the world\n\nbenchmark in development. That improvement is having a\n\nmajor effect on the flexibility and execution of R&D at\n\nNissan, and will ultimately boost the company’s profitability.\n\nThe number of new products we have brought to\n\nmarket over the past three years is equally significant—\n\nmore than thirty new vehicles. That’s an impressive\n\nengineering achievement, and the reason you are seeing\n\nso many new Nissan models on the road.\n\nOur R&D infrastructure, however, is still in need of\n\nexpansion. We’ve therefore begun building new facilities at\n\nthe Nissan Technical Center, NTC, and at the Nissan\n\nAdvanced Technical Center, NATC, both of which are in\n\nJapan. These additions represent a major investment, and\n\nshow Nissan’s dedication to maintaining and enhancing its\n\ntechnological skills.\n\nOur technology base is in Japan, where we have some\n\nten thousand people involved in R&D, but we also have two\n\nmajor centers in North America and Europe, and smaller\n\noperations in Taiwan, China, Thailand, South Africa and\n\nBrazil. In the past, these entities were mostly standalone\n\noperations, but today there are many more joint projects",
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- "text": "**Share Performance in Fiscal 2004**\n\nNissan’s share price began at ¥1,143 at the beginning\n\nof fiscal 2004 and ended the fiscal year at ¥1,099,\n\ngenerating a negative return of 3.85 percent. Total\n\nshareholder return (TSR) was -1.67 percent, while the\n\ndividend yield came to 2.18 percent (¥24 per share dividend,\n\ndivided by the ¥1,099 closing price). Adverse movements\n\nin foreign exchange rates and commodity price hikes\n\nadversely affected Nissan’s profitability, which was reflected\n\nin the share price. In addition, specific events relating\n\ndirectly to the company also had a negative impact. Later in\n\nthis report, corporate officers will explain what actions\n\nNissan has undertaken to ensure better performance.\n\n**Payout Policy**\n\nNissan announced its NISSAN Value-Up three-year dividend\n\npolicy, covering the period from fiscal 2005 to fiscal 2007, at\n\nthe annual general meeting of shareholders on June 23,\n\n2004. Nissan proposes a long-term dividend policy to\n\nprovide more visibility and improve transparency into the\n\nways in which Nissan rewards its shareholders. Nissan\n\nbelieves that a long-term dividend policy reduces uncertainty\n\nfor investors who already own or are considering acquiring\n\nNissan stock.\n\n**IR Activities**\n\nUnder NISSAN Value-Up, the IR team’s performance will\n\nbe evaluated based on the price-earnings ratio (PER) and\n\nvolatility relative to our major competitors. PER is used to\n\nmeasure how successfully the IR team manages market\n\nexpectations about Nissan in order to maintain the Nissan\n\nshare price close to an intrinsic value. The other measure,\n\nvolatility, is used to measure the risk investors perceive\n\nwhen considering Nissan stock. If Nissan can successfully\n\nreduce volatility, the minimum return required by investors\n\nshould decline. The IR team believes that a strengthening\n\nof disclosure activities is required to improve both\n\nmeasures. The team plans to disclose not only financial\n\nresults but also more forward-looking information about\n\nNissan fundamentals such as technology and product.\n\nSuch forward-looking information helps investors to\n\nforecast future performance more precisely and reduces\n\nuncertainty about the future. As a consequence, Nissan will\n\nincrease the number of investor conferences, events, and\n\nteleconferences during fiscal 2005.\n\nP E R F O R M A N C E\n\n### FISCAL YEAR 2004 SHARE PERFORMANCE\n\nDESPITE NISSAN’S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS\n\nNEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED\n\nAT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR\n\nUNDERSTANDING OF NISSAN’S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH\n\nVIEW OF THE COMPANY’S OPERATIONS AND PERFORMANCE INDICATORS.\n\n120\n\n110\n\n100\n\n90\n\n80 <sup>Apr.</sup> **2004 2005**\n\nMay June July Aug. Sept Oct. Nov Dec. Jan. Feb Mar.\n\nTOPIX Transportation Equipment Index Nissan\n\nTOPIX\n\n**Fiscal Year 2004 Share Performance**\n\n(Index: April 1, 2004=100)\n\n400\n\n300\n\n200\n\n100\n\n0 **’01 ’02 ’03 ’04 ’05**\n\nTOPIX Transportation Equipment Index\n\nNissan\n\nTOPIX\n\n**Five-Year Share Performance**\n\n(Index: April 3, 2000=100)",
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- "text": "Moody’s\n\nS&P\n\nR&I\n\nA+\n\nAA-\n\nA\n\nA-\n\nBBB+\n\nBBB\n\nBBB-\n\nBB+\n\nAa3\n\nA1\n\nA2\n\nA3\n\nBaa1\n\nBaa2\n\nBaa3\n\nBa1\n\n**9/01 4/02 9/02 4/03 9/03 4/04 9/04 4/05 5/05**\n\n**Corporate Rating**\n\nCanton plant investment included from fiscal year 2001\n\n239 <sup>244</sup> 232\n\n206\n\n262\n\n326 300\n\n378\n\n354\n\n427\n\n**398**\n\n**478**\n\n4.0% 3.8%\n\n5.3% 5.5% 5.8%\n\n**5.6%**\n\n4.2% 4.4%\n\n4.8%\n\n**4.6%**\n\n3.4%\n\n4.1%\n\n500\n\n400\n\n300\n\n200\n\n6\n\n5\n\n4\n\n3 **’99 ’00 ’01 ’02 ’03 ’04**\n\n**Investment in Our Future**\n\n(Billion Yen) (% of net revenue)\n\n40\n\n30\n\n20\n\n10\n\n0 **’00 ’01 ’02 ’03 ’04 ’05* ’06* ’07* ’99**\n\n*Forecast\n\n0\n\n8 14 19 24 29 34\n\n40\n\n7\n\n**Dividend Policy**\n\n(Dividend per share, in yen)\n\nP E R F O R M A N C E **Automotive Debt:**\n\nDespite higher levels incurred for capital expenditures and\n\nR&D, cash generated from operating activities in the\n\nautomotive division eliminated net automotive debt. Nissan\n\nheld a ¥205.8 billion yen net cash position at the close of\n\nfiscal 2004 in this division.\n\n**Rating**\n\nRegarding Nissan’s long-term credit rating, R&I upgraded\n\nNissan from A- to A on May 11, 2005. S&P upgraded their\n\nrating from BBB to BBB+ on July 20, 2004, and Moody’s\n\nupgraded from Baa3 to Baa1 on January 29, 2004.\n\n**Investment Policy**\n\nCapital expenditures increased by ¥50.2 billion to ¥477.5\n\nbillion, representing 5.6 percent of net revenue. This\n\nincrease included the Canton plant expansion. R&D\n\nexpenditures increased by ¥43.8 billion to ¥398.1 billion.\n\nThis increase went to fund new technologies and product\n\ndevelopment. Our R&D resources are focused on projects\n\nthat add value to our customers and that will deliver an\n\nexpected return, in both the short and long term.\n\n**Dividend**\n\nAt the annual general meeting of shareholders on June 21,\n\n2005, the company proposed increasing its dividend to\n\n¥24 per share in 2004, up from ¥19 in 2003. In the first\n\nyear of the NISSAN Value-up dividend policy, the\n\nCompany plans to increase the per-share dividend to ¥29\n\nin 2005. By the end of NISSAN Value-up in March 2008,\n\nNissan plans to pay an annual dividend of no less than\n\n¥40 per share.\n\n**Return on Invested Capital (ROIC)**\n\nNissan’s investments are made within the strict guidelines\n\nof its automotive operating ROIC. Based on these\n\nguidelines, Nissan reached 20.1 percent of ROIC on a\n\nconsistent basis as of fiscal 2003.",
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- "text": "**3**\n\nLETTER FROM CEO Volume: Nissan will achieve global sales of 4.2 million\n\nunits in fiscal 2008—an increase of 812,000 units over\n\nfiscal 2004.\n\nROIC: Nissan will achieve a 20 percent or higher\n\nreturn on invested capital on average over the course\n\nof the plan, excluding cash on hand.\n\nTo meet this commitment, over the NISSAN Value-Up\n\nperiod we will launch 28 new products, including 10 models\n\nthat are highly innovative in their concept and benefits.\n\nOur investment in advanced technology continues.\n\nFrom fiscal 2002 to 2005 we have increased spending\n\non research and development by 50 percent. Over the next\n\nthree years we will invest a further 5 percent of net sales\n\nannually, creating new and exciting technologies to benefit\n\nour customers.\n\nDuring NISSAN Value-Up we will pursue several key\n\nbusiness opportunities:\n\n- Our Infiniti luxury brand will extend its reach into new\n\nmarkets such as China and Russia and continue to\n\nestablish its credibility as a Tier-1 luxury player.\n\n- We will develop our Light Commercial Vehicle\n\nbusiness into a fully competitive global operation\n\nthrough new market and product entries.\n\n- We will take a more efficient global sourcing\n\napproach to maximize our opportunities and minimize\n\nour overall costs as we grow. Our engineering,\n\nproduction and purchasing functions will continue\n\ntheir acceleration towards being fully integrated\n\nglobal operations.\n\n- We will continue to invest in new and emerging\n\nmarkets, including China, India and Russia.\n\nNISSAN Value-Up also delivers increased value for our\n\nshareholders through a clear and well-defined dividend\n\nstrategy. By the end of the plan period, we will pay an\n\nannual dividend of no less than ¥40 per share, a 66\n\npercent increase over fiscal 2004.\n\nShare price performance\n\nWhat should investors expect from Nissan’s share price?\n\nOver the long-term, share prices reflect fundamentals.\n\nBut in the short-term share prices are driven by\n\nperformance against expectations.\n\nIn Nissan’s case, recent share price trends signal\n\nmarket expectations that greater uncertainty will result in\n\nlower growth. So our challenge is to both manage those\n\nexpectations and to exceed them. This supports our belief\n\nin a high level of disclosure and transparency.\n\nOur business plans and commitments, and our ability\n\nto communicate our strategy clearly, are the most effective\n\nmeans to convey transparency. But we recognize that\n\nfinancial announcements alone are no longer sufficient\n\ncommunication for the markets. We need to provide more\n\nforward-looking information and to avoid surprises that\n\ncreate uncertainty for shareholders and investors.\n\nWe intend to serve the professional investment\n\ncommunity better in fiscal 2005. We will also extend\n\nour welcome to individual investors—whose numbers\n\ngrew by 51,323 in fiscal 2004, increasing our list to\n\n193,000 shareholders.\n\nThat growing interest in Nissan was apparent in the\n\nturnout of more than 1,800 people at our June 21\n\nshareholders’ meeting in Yokohama. Questions from the\n\nshareholders were many and varied, but it was encouraging\n\nto hear in each one a passionate commitment to Nissan.\n\nThis year, and in the future, I hope we merit such\n\nsupport from all our shareholders as we create lasting\n\nvalue in a transparent way.\n\nCarlos Ghosn\n\nPresident and Chief Executive Officer",
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- "text": "some of the eye-popping numbers that we have in the past.\n\nThe reality is, of course, that we’re even stronger, but we\n\nmust keep up the momentum.\n\nThe U.S. market will continue to be strong, but the\n\ncompetition will be even tougher. There may be some\n\nseparation between those companies that approach the\n\nmarket the right way, and those that are struggling to find\n\ntheir place. I consider Nissan very definitely one of the\n\nformer. We have a direction and a strategy, and we have\n\nconfidence that we can successfully implement the\n\nstrategy. If we stay focused, we will succeed.\n\nIt’s important that we do. The North American market,\n\nand the U.S. in particular, is generally a large contributor to\n\nany foreign manufacturer’s operations. It’s a big and very\n\ndynamic market, and that spells good news for Nissan. Our\n\ngrowth, and our strength, is in the very areas where the U.S.\n\nmarket is growing. We’re higher than average in the\n\nSunbelt states, whose growth in the coming years will\n\nsimply magnify ours. We score very well among young\n\npeople, a group that is becoming increasingly important.\n\nWe also rate highly among the rapidly growing Hispanic\n\npopulation and the African-American population. Everything\n\nis lining up for us—Nissan has the opportunity to pull away\n\nfrom other players.”\n\noutside the company: the U.S. economy, interest rates, oil\n\nprices and competitive actions. Incentives and aggressive\n\ndiscounting are both disturbing the marketplace. We’ve\n\nreached a level where this is actually confusing customers\n\nabout the amount of discount that is available in the\n\nmarket. These are all things that we can’t directly control.\n\nLooking longer term over the period of NISSAN Value-\n\nUp, I think it’s fair to say that we will return to double-digit\n\ngrowth, because we’re going to have some terrific new\n\nproducts that will allow us to enter new segments. The\n\nproduct will drive growth, but it would be a mistake to\n\ndiscount the increasing strength of brand recognition.\n\nWe’ve spent roughly a billion dollars in upgrading Nissan\n\ndealer facilities up to 2004. This will continue to some\n\ndegree in 2005 and 2006, while we’ve begun the same\n\nprocess for Infiniti. People see exciting change happening\n\nat Nissan and Infiniti.\n\nOver the long term, one minor risk for us is that we can\n\nno longer catch people by surprise. That was exciting, but\n\nthat period is gone, which represents a challenge for us. As\n\nwe come off a year with more than 20 percent growth, the\n\nmedia often ask me why we’re not going to be in double\n\ndigits again this year, as if that were the normal thing for\n\nus. The more successful you get, the harder it is to deliver O U R W O R L D\n\nALTIMA QUEST INFINITI M45",
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- "text": "**8**\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume\n\nof 61 million units globally, Nissan’s sales are forecast to come to 3,618,000 units, a 6.8 percent\n\nincrease over the prior year.\n\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to\n\ntwenty regional product events.\n\n**Our sales objectives**\n\n- Japan: 933,000 units, a 10 percent increase over last year\n\n- U.S.: 1,047,000 units, an increase of 3.3 percent\n\n- Europe: 550,000 units, a 1.1 percent increase over last year\n\n- General Overseas Markets: 1,088,000 units, a 10.7 percent increase\n\n**Our financial outlook**\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of\n\nuncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices,\n\nhigher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The\n\nopportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign\n\nexchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n\n- Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n\n- Operating profit is expected to be ¥870 billion, up 1 percent.\n\n- Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n\n- Net income is predicted to be ¥517 billion, up 0.9 percent.\n\n- Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n\n- R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent.\n\n- ROIC is expected to remain at or above 20 percent.\n\nP E R F O R M A N C E\n\n**Looking to the New Fiscal Year**",
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- "text": "**6**\n\nP E R F O R M A N C E\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up\n\nto all the challenges. We had a record year in revenues, operating profit, net income, sales\n\nvolume and production.\n\n**Sales performance**\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This\n\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is\n\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine\n\nall-new models globally.\n\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing\n\nplants turned out 3,378,000 units, or 293,000 units more than the previous record.\n\n**Financial performance**\n\n- Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n\n- Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a\n\npercentage of net revenue, our operating profit margin came to 10.0 percent.\n\n- Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n**Nissan 180 commitments**\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot\n\nbe closed completely until the end of September 2005, but we know that we have already\n\ndelivered two of the plan’s three critical commitments.\n\n- We committed to an 8 percent operating profit margin, and our margin has been at or above\n\n10 percent for every year of NISSAN 180.\n\n- We committed to zero debt, and today we have more than ¥200 billion in net cash under the\n\nnew and more demanding accounting standards.\n\n- Our only remaining commitment is to achieve one million additional sales. Even here we are in\n\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units,\n\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of\n\nSeptember 2005.\n\n## PERFORMANCE\n\n**The recovery story is complete**",
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- "text": "**2**\n\n## LETTER FROM THE PRESIDENT AND CEO\n\nA public company has two key responsibilities to its\n\nshareholders: transparency and value creation.\n\nAt Nissan, transparency is essential to our business.\n\nEspecially in uncertain times, it builds trust between a\n\ncompany and its shareholders. And we believe\n\ntransparency is the best way to encourage long-term\n\ninvestment in our company.\n\nBut transparency is not yet universal. Nissan is still one\n\nof the few large corporations that publicly disclose future\n\nbusiness plans, performance indicators, commitments and\n\nfuture dividends. We trust that these measures give\n\nshareholders a clear view of our company’s future direction.\n\nFrom the start of the Nissan Revival Plan (NRP) in\n\n1999, we have created value by focusing on key value\n\ndrivers—particularly sales growth, operating profit margin,\n\nand return on invested capital.\n\nBy the end of fiscal 2001 we exceeded our NRP\n\ncommitments by returning Nissan to profit one year ahead\n\nof schedule, halving the company’s debt and over-delivering\n\non our commitment to achieve a 4.5 percent operating\n\nprofit margin.\n\nFollowing NRP, we launched a three-year business\n\nplan called NISSAN 180. By the end of the plan in fiscal\n\n2004, we committed to achieve the following:\n\n- An increase in global sales of 1 million units,\n\ncompared to the start of the plan. We are confident of\n\nmeeting this final commitment by the end of the\n\nmeasurement period in September 2005.\n\n- An 8 percent operating profit margin. For every year\n\nof the NISSAN 180 plan our operating margin has\n\nbeen at or above 10 percent topping the performance\n\nof all global automakers.\n\n- Zero net automotive debt. We now have more than\n\n¥200 billion in net cash under the new and more\n\ndemanding accounting standards.\n\nReview of 2004\n\nNissan lived up to its challenges in fiscal 2004, despite a\n\nvery challenging year in the global industry, full of risks\n\nboth anticipated and unexpected.\n\nConsolidated net revenues reached ¥8 trillion 576.3\n\nbillion, up 15.4 percent from last year. Consolidated\n\noperating profit improved by 4.4 percent to a record ¥861.2\n\nbillion. As a percentage of net revenue, our operating profit\n\nmargin came to 10 percent, which remains at the top level\n\namong global automakers. And our net income reached\n\n¥512.3 billion, or ¥125.16 per share, compared to ¥122.02\n\nper share for the previous fiscal year.\n\nNISSAN Value-Up\n\nThe Nissan revival story is now complete. Our next\n\nthree-year business plan, ‘NISSAN Value-Up,’ is focused,\n\nas its name suggests, on delivering sustainable long-term\n\nvalue to all our stakeholders. As such, it is evolutionary\n\nnot revolutionary.\n\nAs with our previous business plans, NISSAN Value-Up\n\nestablishes three core commitments. They are ambitious,\n\nand will require us to stretch our capabilities. But they\n\nare realistic.\n\nProfit: Nissan will maintain the top level of operating\n\nprofit margin among global automakers for each of the\n\nthree years of the plan. Operating profit remains at the\n\ncenter of our management system, as it is the most\n\naccurate measure of business performance.\n\nLETTER FROM CEO",
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- "text": "HIGHLIGHTS\n\nLETTER FROM CEO/COO\n\nE X E C U T I V E S\n\nP E R F O R M A N C E\n\nW H O W E A R E\n\nO U R W O R K\n\nO U R W O R L D\n\nF I N A N C I A L S E C T I O N\n\nC O R P O R A T E D A T A\n\nContents\n\nFinancial Highlights 1\n\nLetter from the President and CEO 2\n\nLetter from the COO 4\n\nExecutives 5\n\nPerformance 6\n\nWho We Are 16\n\nOur Way 18\n\nAutomobiles 22\n\nSales Finance 28\n\nIndustrial Machinery\n\nand Marine Business 30\n\nRenault-Nissan Alliance 31\n\nOur Work 32\n\nPlanning 34\n\nBrand 37\n\nDesign 38\n\nMarketing 40\n\nCommunications 43\n\nTechnology 44\n\nPurchasing 48\n\nQuality 49\n\nManufacturing 50\n\nControl 53\n\nFinance 54\n\nHuman resource 56\n\nOur World 58\n\nJapan 60\n\nEurope 61\n\nNorth America 62\n\nChina 64\n\nGeneral Overseas Markets 66\n\nFinancial Section 68\n\nCorporate Data 106\n\nSubsidiaries and Affiliates 106\n\nCorporate Officers 109\n\nThis Annual Report presents financial results for the fiscal period\n\nending March 31, 2005. The report also provides shareholders\n\nwith insight to Nissan’s management team. Through one-on-\n\none interviews, various members of executive management,\n\nincluding Carlos Ghosn, President and Chief Executive Officer,\n\ndiscuss the philosophy and direction of Nissan.\n\nhttp://www.nissan-global.com/EN/COMPANY/\n\nhttp://www.nissan-global.com/EN/IR/\n\nhttp://www.nissan-global.com/EN/PLAN/\n\nhttp://www.nissan-global.com/EN/GLOBAL/\n\nhttp://www.nissan.co.jp/\n\nhttp://www.nissan-global.com/EN/COMPANY/CITIZENSHIP/\n\nCorporate Information\n\nIR Information\n\nEnvironment, Design, Safety and Technology Information\n\nProduct Information (by Country)\n\nProduct Information (Japan)\n\nCorporate Citizenship Information\n\nCorporate � Citizenship Activities �\n\n�\n\nhttp://www.nissan-\n\nglobal.com/EN/\n\nCOMPANY/\n\nFact File � � �\n\nhttp://www.nissan-\n\nglobal.com/EN/\n\nIR/LIBRARY/FF/\n\nAnnual Report � � �\n\nhttp://www.nissan-\n\nglobal.com/EN/\n\nIR/LIBRARY/AR/\n\nSustainability Report � �\n\nhttp://www.nissan-global.com/\n\nEN/COMPANY/CSR/\n\nLIBRARY/SR/\n\nOur Websites\n\nEnvironmental Report\n\nhttp://www.nissan-\n\nglobal.com/EN/\n\nENVIRONMENT/\n\nLIBRARY/ER/\n\n**Vision**\n\n**Nissan: Enriching people’s lives**\n\n**Mission**\n\n**Nissan provides unique and innovative automotive**\n\n**products and services that deliver superior measurable**\n\n**values to all stakeholders* in alliance with Renault.**\n\n*Our stakeholders include customers, shareholders, employees, dealers,\n\nsuppliers, as well as the communities where we work and operate.\n\nThis Annual Report contains forward-looking\n\nstatements on Nissan’s future plans and targets, and\n\nrelated operating investment, product planning and\n\nproduction targets. Please note that there can be no\n\nassurance that these targets and plans will actually\n\nbe achieved. Achieving them will depend on many\n\nfactors, including not only Nissan’s activities and\n\ndevelopment, but on the dynamics of the automobile\n\nindustry worldwide and the global economy.",
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- "text": "### FISCAL YEAR 2004 FINANCIAL REVIEW\n\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME,\n\nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS\n\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT.\n\nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES.\n\nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO\n\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\n\nP E R F O R M A N C E **Net Sales**\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4\n\npercent from last year. A higher volume and mix had a\n\npositive impact of ¥707.0 billion. Movements in foreign\n\nexchange rates produced a negative impact of ¥173.0\n\nbillion. Changes in the scope of consolidation, including\n\nDongfeng Motor and Yulon Nissan Motor, raised revenues\n\nby ¥432.0 billion.\n\n**Operating Income**\n\nConsolidated operating profit improved by 4.4 percent from\n\nlast year to a record ¥861.2 billion. This resulted in an\n\noperating profit margin of 10.0 percent. Operating profit\n\nwas affected by the following factors:\n\n- The effect of foreign exchange rates produced a ¥78\n\nbillion negative impact for the full year. The\n\ndepreciation of the U.S. dollar against the yen resulted\n\nin a negative impact of ¥74 billion, with an additional\n\n¥13 billion from other currencies. The appreciation of\n\nthe euro resulted in a positive impact of ¥9 billion.\n\n- The change in the scope of consolidation produced\n\na positive impact of ¥31 billion. This was primarily\n\nfrom the consolidation of Dongfeng Motor and Yulon\n\nNissan Motor.\n\n- The impact of the higher volume and mix contributed\n\n¥284 billion. This was mainly driven by an increase in\n\nU.S. sales volume.\n\n- Selling expenses increased by ¥114 billion, also\n\nmainly due to the increase of sales in the U.S.\n\n- The improvement in purchasing costs amounted to\n\n¥131 billion.\n\n- Product enrichment and the cost of regulations had\n\na negative impact of ¥92 billion.\n\n- An additional ¥44 billion was allocated to R&D to\n\nreinforce product and technology development.\n\n- Cost reductions from manufacturing efficiencies were\n\noffset by costs associated with expanding the Canton\n\nplant’s capacity, which resulted in a ¥15 billion\n\nincrease in manufacturing and logistics expenses.\n\n- Warranty costs increased by ¥41 billion, partly due to\n\ngreater volume.\n\n- General, administrative and other expenses increased\n\nby ¥25.7 billion.\n\nBy region, operating profits in Japan came to ¥341.1\n\nbillion, a decrease of 3.2 percent compared to last year.\n\nThis was mainly due to unfavorable exchange rate\n\nfluctuations and an increase in R&D expenses, which\n\nreached a record level.\n\nDue to higher volumes, profitability in the U.S. and\n\nCanada increased 7.9 percent from last year and totaled\n\n¥379.7 billion.\n\nOperating profit in Europe was ¥56 billion, an increase\n\nof 13.8 percent compared to last year, owing to a better\n\nmix and higher contributions from Russia.\n\nIn General Overseas Markets, including Mexico,\n\noperating profits came to ¥84.8 billion, an increase of 28.5\n\npercent compared to last year. This was primarily due to the\n\nconsolidation of Dongfeng Motor and Yulon Nissan Motor.\n\nInter-regional eliminations were negative ¥0.4 billion.",
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- "text": "## OUR WORLD\n\nO U R W O R L D\n\nNISSAN HAS A GLOBAL PRESENCE. BORN IN JAPAN, WE ARE PERFECTLY\n\nAT HOME IN THE U.S., THE UK, SPAIN, THAILAND, CHINA, EGYPT, BRAZIL\n\nAND WELL OVER 150 OTHER NATIONS WHERE NISSAN CARS AND\n\nTHEIR COMPONENT PARTS ARE PRODUCED, SOLD AND DRIVEN.\n\nWITH NISSAN, DRIVING PLEASURE IS A SENSATION THAT KNOWS NO BORDERS.\n\nTHIS IS THE NISSAN SHIFT_",
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- "text": "At the center of everything we do stands the Nissan automobile. Our vehicles are the most\n\ntangible expression of our brand and the values of our company. We make cars that both inspire\n\npassion and exceed the expectations of our customers. Through bold and thoughtful designs,\n\ninnovative technologies, and a richer and more rewarding driving experience, we are defining\n\nour unique place in the auto industry.\n\nOur product development philosophy differs from that which many of our competitors follow.\n\nRather than focus on what the competition is providing, we concentrate on what they do not.\n\nWe listen to drivers to discover their unmet needs and desires, and follow the most promising\n\nthreads of emerging trends. Our designs are bold, geared to electrify and inspire. We see little\n\npoint in building vehicles that please everyone but excite no one.\n\nThe appeal of a Nissan goes much deeper than the fine lines of its body and the gleam of\n\nits paint. We make some of the world’s most advanced high-performance engines and\n\ntransmissions. From our renowned VQ engine series to the latest in high technology,\n\ncontinuously variable transmissions (CVT), we blend driving pleasure with safety, fuel efficiency,\n\nand real-world environmental solutions.\n\nNissan has a long history of leadership and innovation in the automotive industry. We began\n\nour quest to create the best cars in the world in 1933, when the company was founded in\n\nYokohama. The first Datsun passenger car rolled off the assembly line two years later. In the\n\nyears since, we have fashioned a reputation for bold and innovative products. We were the first\n\ncompany to design, manufacture and export a small pickup truck from Japan to the United\n\nStates, and to build and export a sports sedan, the Datsun 510. And we were the first to\n\nproduce a true sports car that was also affordable, the Z. Today, we build equally exceptional\n\nvehicles in factories throughout the world that consistently rank in the top tier for efficiency,\n\nproductivity and quality.\n\nIn the future, we will take the Nissan brand into new segments and markets. We will\n\naccelerate the pace of automotive evolution. And our products will continue to define our brand\n\nwith clarity and consistency that brings lasting value to all our stakeholders.\n\n### AUTOMOBILES\n\n#### **Nissan**\n\nW H O W E A R E\n\n**Exceeding expectations**\n\n**—the Nissan automobile**",
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- "text": "### CONSOLIDATED FIVE-YEAR SUMMARY\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries\n\n*Fiscal years 2004, 2003, 2002, 2001 and 2000*\n\nFINANCIAL SECTION\n\n*Millions of* *U.S. dollars* *<sup>(Note 1)</sup>* *Millions of yen* *(except per* *(except per share amounts and number of employees)* *share amounts)*\n\n2004 2003 2002 2001 2000 2004 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2002* *Mar. 31, 2001* *Mar. 31, 2005*\n\nNet sales ¥8,576,277 ¥7,429,219 ¥6,828,588 ¥6,196,241 ¥6,089,620 $80,152\n\nOperating income 861,160 824,855 737,230 489,215 290,314 8,048\n\nNet income 512,281 503,667 495,165 372,262 331,075 4,788\n\nNet income per share <sup>(Note 2)</sup> 125.16 122.02 117.75 92.61 83.53 1.17\n\nCash dividends paid <sup>(Note 3)</sup> 94,236 74,594 50,800 27,841 0 881\n\nShareholder’s equity ¥2,465,750 ¥2,023,994 ¥1,808,304 ¥1,620,822 ¥ 957,939 $23,044\n\nTotal assets 9,848,523 7,859,856 7,349,183 7,215,005 6,451,243 92,042\n\nLong-term debt 1,963,173 1,694,793 1,603,246 1,604,955 1,402,547 18,347\n\nDepreciation and amortization 525,926 461,037 371,125 374,827 360,191 4,915\n\nNumber of employees 183,607 123,748 127,625 125,099 133,833\n\nNotes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience\n\nonly, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n\n2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year.\n\nFigures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.\n\n3. Cash dividends during the full year by subsidiary companies to non-Nissan minority shareholders are not included.\n\nSales and Production (units) 2004 2003 2002 2001 2000 *For the years ended* *Mar. 31, 2005* *Mar. 31, 2004* *Mar. 31, 2003* *Mar. 31, 2002* *Mar. 31, 2001*\n\nGlobal vehicle production 3,293,339 2,883,409 2,586,602 2,428,279 2,475,730\n\nJapan 1,481,563 1,475,063 1,444,314 1,272,851 1,313,527\n\nUnited States 803,556 619,665 392,458 363,366 352,927\n\nMexico 325,086 308,322 340,658 328,946 312,691\n\nSpain 142,889 116,589 84,919 137,502 136,807\n\nUnited Kingdom 319,652 331,924 297,719 296,788 327,792\n\nOthers 51,572 31,846 26,534 28,826 31,986\n\nGlobal unit sales (wholesale) 3,470,422 2,946,782 2,635,686 2,460,484 2,564,160\n\nJapan 819,152 799,206 792,767 702,657 725,842\n\nNorth America <sup>(Notes 1 and 2)</sup> 1,394,099 1,204,882 1,040,684 968,030 985,168\n\nEurope <sup>(Note2)</sup> 554,901 548,693 458,222 453,697 513,048\n\nOthers <sup>(Note 1)</sup> 702,270 394,001 344,013 336,100 340,102\n\nNotes: 1. Unit sales in Mexico are included in “North America.”\n\n2. Sales and Production for Europe and Mexico for each year are on a January to December basis. (In the annual reports for the fiscal years before\n\n2003, production for Europe and Mexico was on April to March basis.)",
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- "text": "### EUROPE\n\n**Making Profit as a Smaller Player**\n\nO U R W O R L D\n\n“Europe is one of the most\n\nfragmented automotive\n\nmarket in the world and\n\na highly competitive one\n\nbesides. Despite our\n\nrelatively small size,\n\nhowever, we have begun to\n\ndemonstrate that it is\n\npossible to make money in\n\nEurope. In fact, although\n\nNissan does not yet deliver\n\nthe levels of profitability here\n\nthat the U.S. or other markets generate, we surpassed\n\nour NISSAN 180 business targets in fiscal 2004. Our\n\nprofitability is now on par with the best European\n\nmanufacturers. Nissan has a foundation for increasing\n\nprofitability further in the coming years in Europe.\n\nNissan is already an established name around the\n\nregion, and the brand is strongly associated with 4x4\n\ntechnology, off-road vehicles and pickup trucks.\n\nHowever, there is also a solid heritage built around\n\nthe Micra, a model designed for urban driving. Both\n\nthe first and second generations of this car were very\n\nsuccessful, and the third generation is performing\n\nwell. To leverage our 4x4 heritage and SUV strength\n\ninto the passenger car segment, Nissan is developing\n\na series of crossover vehicles that blend car-like\n\nperformance with 4x4 versatility. The Qashqai concept\n\nvehicle introduced at the 2004 Geneva Motor Show is\n\nthe first of these—smaller, more affordable, and\n\nbetter adapted to European roads. The Qashqai will\n\ngo into production in our plant in Sunderland in the\n\nUK in early 2007. The Murano, launched this year, is\n\na precursor to the Qashqai in the larger executive\n\nsegment. Europeans have already taken to the\n\nMurano, driving sales far past our initial forecasts in\n\nall markets. This car is helping make Nissan a brand\n\nthat people aspire to own.\n\nNissan is still a small player in the region, selling 550,000\n\ncars across a very large and diverse territory that stretches\n\nfrom the Atlantic Ocean to Russia, and from Finland to\n\nIsrael. In the past we covered the area through multiple\n\ndistribution channels, which we are currently in the process\n\nof simplifying. A few aspects of the European market have\n\nmade profitability more difficult to achieve. For example,\n\nautomakers must provide models with much diversity:\n\ndiesel and gasoline powertrains; manual and automatic\n\ntransmissions. The cars must also be engineered to suit the\n\nhigh driving speeds typical in the region and ensure\n\nsuperior handling, which results in higher costs.\n\nAs in many other mature markets, an incentive war is\n\nraging in Europe. Nissan’s position here, as elsewhere, is to\n\nuse incentives selectively and to always protect profitability.\n\nProviding products which customers recognize and\n\nappreciate for their style and attributes rather than being the\n\nbest deal is the foundation of Nissan’s profitable growth. We\n\nnow have a wide range of products, five of which were newly\n\nlaunched in 2005, including the Pathfinder and the Navara\n\npickup. We will release the Micra C+C at the Frankfurt Motor\n\nShow in September, giving customers the option of a unique\n\nstandard glass roof in a fully retracting hard convertible top.\n\nNissan’s manufacturing still defines the leading edge in\n\nEurope. According to *The Harbour Report* , our plant in\n\nSunderland is the most productive plant in Europe.\n\nSunderland will start production on a new B-segment car\n\nbased on the Tone concept car in early 2006, followed by\n\nthe Qashqai crossover vehicle in early 2007. Our Barcelona\n\nplant, which manufactures SUVs, 4x4s and light\n\ncommercial vehicles, will reach full capacity in mid-2005.\n\nFinally, our truck plant in Avila, Spain, which specializes in\n\nlight-duty trucks, will start producing a replacement for the\n\npopular Cabstar in late 2006. This efficient production\n\nbase is a critical part of our profitable growth scenario.\n\nNISSAN Value-Up has given us a plan for building both\n\nprofit and volume. We will not, however, sacrifice profit to\n\ngain volume. How far we can go depends on how fast we\n\ndeliver results. I believe that we have much more room to\n\ngrow, and to demonstrate that in even a crowded European\n\nmarket a smaller player can produce significant returns.”\n\nDOMINIQUE THORMANN\n\nSenior Vice President\n\nNissan Europe",
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- "text": "## OUR WORK\n\nO U R W O R K\n\nNISSAN IS A WORLD-CLASS AUTOMOBILE MANUFACTURER.\n\nTO ENVISION, PLAN, BUILD AND DISTRIBUTE MILLIONS OF AUTOMOBILES\n\nTO THE WORLD REQUIRES A CLEAR DEFINITION OF ROLES AND PROCESSES.\n\nAT NISSAN, OUR BUSINESS DIVISIONS COMMUNICATE IDEAS ACROSS COUNTRIES,\n\nCULTURES AND FUNCTIONS TO DEVISE THE TRANSPARENT,\n\nEFFICIENT SOLUTIONS THAT CREATE SUCCESS. THIS IS THE NISSAN SHIFT_",
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- "text": "**Building on World-Class**\n\n**Productivity and Efficiency** TADAO TAKAHASHI\n\nExecutive Vice President\n\n### MANUFACTURING\n\nO U R W O R K\n\n“By following the Nissan Production Way and the\n\nprinciple of *doukiseisan* —meaning synchronization\n\nwith the customer—manufacturing at Nissan remains\n\nflexible and integrated, and keeps lead times short.\n\nThe Nissan Production Way incorporates integration at\n\nthe supplier, global and logistic levels. That is why we\n\nremain the most productive manufacturer in the world.\n\nWe’ve also become much more efficient, as our\n\nutilization rates show. In Japan, we were operating at\n\n54 percent of capacity in 1999. In fiscal 2004 that\n\nfigure increased to 86 percent, which is just about the\n\nmaximum possible. During NISSAN Value-Up, we will\n\nincrease our global utilization rate from approximately\n\n74 percent to over 80 percent. We will not achieve that\n\ntarget by closing facilities, either. In fact, we’ve opened\n\nnew plants in the U.S. and China, and increased\n\ncapacity at our other facilities.\n\nManufacturing achieved a series of milestones during\n\nNISSAN 180. One of the biggest was opening the Canton\n\nplant in the U.S., which got up to speed quickly, launching\n\nfive new vehicles in a period of just eight months. We built\n\ntwo plants in China, and restarted operations in Egypt. We\n\ndramatically expanded the Decherd, Tennessee engine\n\nplant in the U.S., and all engines for North America are now\n\nbuilt at Decherd or at our plant in Mexico.\n\nWe also commenced cross-production with Renault:\n\nNissan began building Renault’s Platina in Mexico and its\n\nTraffic in Spain, while Renault began building our Pickup\n\nand Xterra at its factory in Brazil. We also started\n\nproduction of common engines with Renault, with our\n\nsubsidiary Aichi Kikai and the Yokohama plant producing\n\nthe four-cylinder engines used in our new Tiida, Note and\n\nLafesta models. In Japan, we launched six new models in\n\njust six months—the Murano, Fuga, Lafesta, Tiida, Tiida\n\nLatio and Note. We also launched three vehicles—the Tiida,\n\nTeana and Tiida Latio—in China.\n\nWhile we were successful in Japan and China, we did\n\nhave quality issues at the Canton facility. This was\n\nunfortunate, since it affected our ratings in the J. D. Power\n\nand Associates Initial Quality Study. We’ve since taken\n\neffective measures to resolve these problems. More\n\nimportantly, we learned from them. We created new\n\nsystems and new approaches to quality, which we then\n\napplied in Japan and to the new factories in China.\n\nIncidentally, the factories in China opened with no\n\nsignificant quality issues. This highlights one of our ‘never-\n\nending’ quests at Nissan, which is to identify problems and\n\nrapidly get solutions for them in place.\n\nWe do not rely solely on external quality evaluations.\n\nIn cooperation with Renault, we created AVES, the Alliance\n\nVehicle Evaluation System. AVES is a sophisticated\n\nprocess involving two people taking four to five hours to\n\nevaluate a vehicle. Because it is time-intensive, we also\n\ndevised a short version of AVES that only takes an hour\n\nand can be done at the factory.\n\nThe second major area of focus is logistics, which is\n\nbecoming more complicated. We send engine parts to the\n\nU.S., and soon we will be shipping more parts from leading\n\ncompetitive countries, or LCCs. During 2004, we\n\nencountered cargo-handling problems on the U.S. West\n\nCoast, which highlighted the need for a more sophisticated\n\ntracking system. If we had had such a system in place, we\n\ncould have anticipated those problems and made the\n\nnecessary adjustments.\n\nWhile Nissan’s productivity leads the world, we have\n\nnot stopped working to improve the process. One system\n\nwe have implemented is the Design Standard Time Ratio,\n\nwhich allows us to calculate the ideal standard time for\n\nevery operation. By applying this globally, we have brought\n\nall our branches around the world to nearly the same level.\n\nThis in turn illustrated that we can produce vehicles more\n\ncheaply and with good productivity in the LCCs. Another\n\nopportunity discovered for the LCCs was in low-cost jig\n\nand die making. As a result, we have doubled the capacity\n\nof our die-making plant in Thailand and are looking into\n\ndoing the same in China.",
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- "text": "Consolidated subsidiaries *As of Mar. 31, 2005*\n\n*Capital* *Nissan*\n\n*Company* *Location* *Principal business* *(millions)* *share*(%)*\n\nJapan\n\nNissan Shatai Co., Ltd. Hiratsuka-shi, Kanagawa Manufacture and sales of automobiles and parts ¥7,904 43.80\n\nAichi Machine Industry Co., Ltd. Nagoya, Aichi Manufacture and sales of automotive parts ¥8,518 41.70\n\nJATCO Ltd. Fuji, Shizuoka Manufacture and sales of automotive parts ¥29,935 81.76\n\nNissan Kohki Co., Ltd. Samukawa, Kanagawa Manufacture and sales of automotive parts ¥2,020 97.73\n\nCalsonic Kansei Corporation Tokyo Manufacture and sales of automotive parts ¥40,606 41.87\n\nNissan Motor Car Carrier Co., Ltd. Tokyo International automobile transport ¥640 60.00\n\nNissan Trading Co., Ltd. Yokohama, Kanagawa Import and export of automobiles, parts, etc. ¥320 100.00\n\nNissan Financial Services Co., Ltd. Chiba, Chiba Automobile financing and leasing ¥16,387 100.00\n\nAutech Japan, Inc. Chigasaki, Kanagawa Development, manufacture and sales of ¥480 100.00\n\nlimited-edition automobiles\n\nNissan Real Estate Development Tokyo Real estate sales, purchase and leasing ¥1,000 70.50\n\nCorporation\n\nNissan Finance Co., Ltd. Tokyo Finance and accounting support ¥2,491 100.00\n\nAichi Nissan Motor Co., Ltd. Nagoya, Aichi Sales of automobiles and parts ¥100 100.00\n\nTokyo Nissan Motor Sales Co., Ltd. Tokyo Sales of automobiles and parts ¥100 100.00\n\nNissan Prince Tokyo Motor Sales Tokyo Sales of automobiles and parts ¥100 100.00\n\nCo., Ltd.\n\nNissan Chuo Parts Sales Co., Ltd. Yokohama, Kanagawa Sales of automobile repair parts ¥545 80.61\n\nUS\n\nNissan North America, Inc. Gardena, California Management of North American subsidiaries, $1,791 100.00\n\nmanufacture and sales of automobiles and parts\n\nNissan Motor Acceptance Corporation Torrance California Finance of wholesale and retail automobile sales $499 100.00\n\nin US\n\nNissan Motor Corporation Honolulu, Hawaii Sales of automobiles and parts $6 100.00\n\nin Hawaii, Ltd.\n\nNissan Capital of America, Inc. Torrance, California Financing for group companies $1 100.00\n\nNissan Technical Center Farmington Hills Research and development, testing $16 100.00\n\nNorth America, Inc. Michigan\n\nNissan Motor Insurance Corporation Honolulu, Hawaii Casualty insurance $10 100.00\n\nNissan Forklift Co., North America Marengo, Illinois Manufacture and sales of forklifts and parts $34 100.00\n\nCanada\n\nNissan Canada, Inc. Mississauga, Ontario Sales of automobiles and parts CAN$68 100.00\n\nMexico\n\nNissan Mexicana, S.A. de C.V. Mexico D.F. Manufacture and sales of automobiles and parts P17,056 100.00\n\n### INFORMATION ON SUBSIDIARIES AND AFFILIATES\n\n**106**\n\nCORPORATE DATA",
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- "text": "“In the last four years the Nissan Production\n\nWay has become the international standard for\n\nmanufacturing in the world. This system makes\n\nsense everywhere, including Japan, the UK,\n\nSpain, and the U.S. It’s a system that everyone\n\nembraces and feels is theirs, not one that was\n\nimposed on them. The Sunderland plant is the\n\nmost productive automotive plant in the Western\n\nworld, and while we have great people working\n\nfor us, the Nissan Production Way is what made\n\nthis success possible.\n\nEurope is an incredibly competitive market,\n\nwith 15 companies trying to gain market share.\n\nWe decided not to compete directly in\n\nfundamental segments. Instead, we chose to\n\nbuild unique, profitable vehicles, like the new\n\ncrossover vehicle, based on the Qashqai\n\nconcept car, which will be released in early\n\n2007. This is one of the three launches for the\n\nupcoming year from the Sunderland plant, along\n\nwith the Tone and the Micra C+C coupe and\n\ncabriolet. NISSAN 180 was a great success for\n\nus. Today, our Spanish factory is in full\n\nproduction and our Sunderland plant is\n\npreparing to turn out the three new models.”\n\nCOLIN DODGE\n\nSenior Vice President\n\nNissan Europe\n\nEurope MANUFACTURING IN EUROPE\n\nO U R W O R K\n\nThe above are all part of the Nissan Integrated\n\nManufacturing System, known as NIMS, which provides\n\nmore flexibility in manufacturing. Using NIMS, for example,\n\nwe can produce eight models on a single line. During\n\nNISSAN 180, we introduced 16 NIMS lines worldwide into\n\nour 18 total major lines. For NISSAN Value-Up, we will\n\nincrease this to 22 NIMS lines.\n\nWe will need that flexibility during NISSAN Value-Up,\n\nbecause twice a month we will be launching new cars\n\nsomewhere—a total of 70 production starts. We cannot do\n\nthis with our old system. The launch stage can be a difficult\n\nperiod, and too often problems arise that can cause panic\n\non the line. To cope with these problems, we’ve devised\n\nwhat we call the Global Launching Expert system. The\n\nlaunch expert can stand back and analyze the situation and\n\ncome up with solutions. We are now identifying, educating\n\nand dispatching launch experts from around the world. In\n\n2006, we will further refine our launch procedures by\n\nopening the Global Production Engineering Center.\n\nCurrently, if we produce the same car in several markets,\n\nthe launches are separate activities. In the future, we will\n\n‘bundle’ all launches by developing the launch process and\n\ncreating the dies in Japan. This bundle will then be\n\nreproduced and forwarded to the various factories\n\nproducing the car.\n\nWe have established four key factors for success\n\nduring NISSAN Value-Up: quality, timely delivery, cost, and\n\nthe environment. Regarding the environment, we have\n\nidentified three environmental issues, which are CO 2 ,\n\nrecycling, and emissions such as chemical emissions and\n\nvolatile organic compounds. This is our newest challenge,\n\nsince we do not yet have concrete targets on a global scale\n\nas we do for Japan.\n\nOur goal is to maintain Nissan’s status as the world\n\nleader in manufacturing by aggressively implementing new\n\ntechnologies and expertise. Our processes are designed\n\nto require low investment costs and generate fast product\n\nlaunches, which would result in a faster return on\n\ninvestment in addition to a top-quality product.”",
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- "text": "“I am proud to say that Nissan’s U.S. plants have\n\nlong been among the most efficient in the\n\ncountry. We’ve topped *the Harbour Report*\n\nautomotive assembly rankings for the past 12\n\nyears. We are now operating at close to full\n\ncapacity. The Smyrna and Canton plants, which\n\ncan produce 550,000 and 400,000 vehicles\n\na year, respectively, are running at approximately\n\n85 percent of total capacity.\n\n“In North America, our manufacturing\n\nflexibility gives us a competitive advantage.\n\nBoth Smyrna and Canton are set up to produce\n\nfive models each, and we can react to market\n\nchanges quickly. We also recognize that we may\n\nneed to boost capacity in the future due to\n\nexpected growth and increases in exports to\n\nvarious countries.\n\n“To us, the Canton plant embodied the\n\nprinciples of NISSAN 180. We had to be\n\nprepared to launch and immediately produce five\n\nall-new vehicles. At the same time, we were\n\ntaking the Decherd plant from an annual capacity\n\nof 250,000 engines up to 950,000, including\n\ntwo brand-new engines. That was a challenging\n\nand exciting time.\n\n“Today, we are pleased that our results in the\n\nrecent J. D. Power and Associates Initial Quality\n\nStudy show significant improvement over the\n\nprior year, and we’re determined to move beyond\n\nthat level. We will continue to rely heavily on the\n\nNissan Production Way as our guide, focusing\n\non being quality-driven and waste-free.”\n\nDAN GAUDETTE\n\nSenior Vice President\n\nNissan North America\n\nNorth America MANUFACTURING IN NORTH AMERICA\n\nO U R W O R K\n\nThe most important measurement in manufacturing is\n\nthe global cost per unit. During NISSAN 180, we achieved\n\na cost reduction of 14 percent per unit, including indirect\n\ncosts, or 8.3 percent in direct costs. We also evaluate our\n\nperformance in time to delivery using three different\n\nmeasures. One measure is from customer to customer, and\n\nthe time from order to delivery—an especially important\n\ncalculation for our build-to-order system. We’ve reduced\n\nthis interval to 24 or 25 days, and have set a target of\n\nabout 18 days.\n\nThe second measure is from the “model freeze” stage\n\nuntil the start of production, which is an important factor for\n\nboth manufacturing and R&D. With the recent launch of the\n\nNote in Japan, we brought this down to 10.5 months for\n\nthe first time. The third measure is the time from the start\n\nof production to full production. The standard is about two\n\nmonths. Our target is two weeks, which we achieved with\n\nboth the Tiida and the Note. While a faster rate could\n\npresent quality issues, we produced these two cars with\n\nspeed and high quality.\n\nThe second of our ‘never-ending’ quests at Nissan is\n\ngreater synchronization, or *douki* . With the Nissan\n\nProduction Way, we are aiming to shorten production\n\npipelines. The process begins with the customer’s order,\n\nwhich includes items such as colors and specifications.\n\nBased on this, we make the production plan, establish\n\nthe sequence and determine the shipping time. We\n\nbroadcast this information to all players at the same time,\n\nwithin Nissan and our suppliers, and not just in the order\n\nof need. If there is any problem, everyone immediately\n\nrecognizes it. This makes quick action possible. The same\n\ncan be said of what we call the “fishbone system.” Instead\n\nof a strictly linear production line, this system features\n\na constant, parallel introduction of supplies to the operation\n\nsimilar in construction to skeleton of a fish. We also\n\nutilize the ‘strike zone,’ where supplies must be delivered\n\nwithin the reach of the factory workers, which improves\n\nquality and productivity. This is related to logistics, so we\n\ninvolve our production partners from the early stages\n\nof planning.",
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- "source_file": "OTC_NSANY_2004.pdf"
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- "text": "**67**\n\n“Within the General\n\nOverseas Markets, or GOM,\n\nI’m responsible for Nissan\n\nbusiness in nearly 110\n\ncountries, about 90 of which\n\nhave Nissan national sales\n\ncompanies. It’s a very\n\ndiverse composition of small\n\nand large nations, and many\n\nlanguages and cultures.\n\nIn fiscal 2004 we met all\n\nour targets for sales and\n\nprofit. Out of Nissan’s total unit sales of\n\napproximately 3.4 million vehicles, for example, GOM\n\naccounted for 678,000 units. We contribute to\n\nNissan’s performance in both volume expansion and\n\nprofitability. And the operating profit margin for GOM\n\nis better than the corporate average.\n\nThe strongest regions in my territory were several African\n\nnations, such as South Africa, and Latin America. Our\n\nsuccess was due in part to general market strength, but the\n\ncontinuing appeal of the Nissan Pickup in South Africa and\n\nLatin America was also a key. Aside from the Middle East,\n\nwhere larger vehicles like the Armada are preferred, sales\n\nfor the Pickup and the X-TRAIL have been consistently\n\nstrong in all markets. We produce the Pickup in South\n\nAfrica and currently sell over 40,000 vehicles there every\n\nyear; our market share is around 9 percent. In addition to\n\nAfrica, the vehicles produced here will be sold in Europe,\n\nAustralia and New Zealand starting at the beginning of\n\n2006. In 2005, in the Middle East, we are already seeing\n\nsignificant increases in volume due to the launch of Infiniti\n\nand the introduction of new Nissan models in the latter\n\nhalf of 2004.\n\nThere are several risks associated with a diverse\n\nterritory like ours, including political issues, economic\n\nissues, and a range of other external factors. At Nissan,\n\nour policy is to stay flexible and adapt to the situation. For\n\nexample, we had initially planned to supply Pathfinder\n\nvehicles to the Middle East from Spain. However, the rise in\n\nthe euro raised costs, so we quickly shifted production to\n\nthe U.S. Because our job is so diversified, we felt we\n\nneeded more strategic thinking within GOM. For this\n\nreason we established the GOM Plan Department, which is\n\na cross-functional unit comprised of various departments,\n\nsuch as Manufacturing, Purchasing, and Engineering. This\n\ndepartment is responsible for functions formerly performed\n\nby Marketing and Sales.\n\nSince we did not roll out many new models in our\n\nregion, we had to upgrade our network structure to\n\nincrease sales. The next new core model for us is the Tiida,\n\nwhich enjoyed a successful launch in China. It’s a critical\n\nlaunch for us; through 2005 and 2006 we will complete\n\nthe introduction of the model in all markets. The new model\n\nintroductions will give us added strength in the markets\n\nduring the NISSAN Value-Up period.\n\nAnother important development this year was the start\n\nof production of the Nissan Pickup in Egypt. Many in the\n\nindustry doubted we would succeed, but we achieved our\n\ntargets for quality. Vehicles produced here will also be\n\nexported to other countries in the region.\n\nEurope is a tough market, as is Japan. If Nissan\n\nbecomes too dependent on its major markets like North\n\nAmerica, there is an inherent risk, and GOM helps minimize\n\nthat risk. The markets we represent will contribute\n\nsubstantially to Nissan’s total profit. Our focus now is on\n\ndeepening the foundations of our business. A few years\n\nago, for instance, we designed six activities that all the\n\nnational sales companies are required to carry out. In 2005,\n\nwe’ll establish even more advanced activities. We constantly\n\nreview their performance and, if necessary, take aggressive\n\nactions, including replacing companies whose performance\n\nis consistently unsatisfactory. That is why our activities will\n\nexpand with profit, not at its expense. The General Overseas\n\nMarkets are where Nissan will really be growing.”\n\n**Growing with Profit, not at Its Expense**\n\n**Middle East, Africa, Latin America and the Caribbean**\n\nSHOICHI MIYATANI\n\nVice President\n\nO U R W O R L D",
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- "source_file": "OTC_NSANY_2004.pdf"
- }
- ]
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- "references": {
- "source_file": "ASX_SEA_2014.pdf",
- "query": "Why did Sundance Energy's oil sales improve in 2014?",
- "target_page": 18,
- "target_passage": "The increase in oil revenues was the result of increased oil production volumes ($81.3 million) offset by a decrease in product pricing ($15.7 million). ",
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- "text": "##### * **Dear Fellow Shareholders,** *\n\n##### *I am pleased to present Sundance Energy Australia Limited’s*\n\n##### *Annual Report for the 12 months ended 31 December 2014. It*\n\n##### *has been another year of significant progress for Sundance*\n\n##### *across our portfolio of liquids rich oil and gas assets in the US.*\n\nThe Company’s strategic focus on growing production, cash flows and reserves from\n\nlarge, repeatable resource plays in North America continues to deliver positive results\n\nwith growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston\n\nBasin in North Dakota for $51 million which realised an internal rate of return of 45 percent;\n\nand also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado\n\nfor $114 million which realised an internal rate of return of 104 percent. These divestitures\n\nof smaller, less scalable positions enabled us to focus on developing and growing our\n\nassets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year\n\nand continuing into 2015, the operational performance and focused, value-adding\n\ntransactions during the past year have positioned the Company very favourably for\n\nfuture growth in net asset value and shareholder returns.\n\n####### **A year of growing production, cash flow and reserves**\n\nIn line with our strategy we continued to increase the level of company operated assets,\n\nand successfully maintained a very strong focus on optimising our operations and reducing\n\ncosts. This resulted in an impressive improvement in well performance combined with a\n\ntop tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production\n\nof 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028\n\nBOEPD in December 2013 and an average annual production of 6,635 BOEPD compared\n\nto 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily\n\nin the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High\n\nvalue oil comprised approximately 69 percent of our total 2014 annual production\n\nand production from Sundance-operated projects accounted for 89 percent of total\n\nproduction for the year.\n\nCorresponding with the growth in annual production, the Company’s full year revenues\n\nincreased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company’s development program also generated significant growth in Constant Case\n\nreserves during the year. More details are contained elsewhere in this Annual Report,\n\nbut in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1\n\nMBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6\n\nMBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to\n\nmainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will\n\nenable us to maintain our low leverage profile, which was approximately 1.03x debt to\n\nAdjusted EBITDAX at year end, and focus on growing our drilling inventory in an environ-\n\nment with less competition for leases and small acquisitions. Liquidity was $84 million at\n\nyear end, with a borrowing base redetermination in 2015 expected to materially increase\n\ndebt availability if the use of such funds is justified in line with our strategy.\n\n####### **The Eagle Ford - driving value and production growth**\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the\n\nbasin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014\n\nwhich includes the acquisition of approximately 18,000 net acreage in 2014. By the end of\n\nthe first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence\n\nin this prolific oil and gas region has been driving significant value for the Company and\n\nour shareholders, and continues to form our priority focus for development and acreage\n\ngrowth in the coming years.\n\n## **CHAIRMAN’S LETTER**\n\n**2**\n\n*Despite the reduction in*\n\n*crude oil and liquids*\n\n*prices towards the end of*\n\n*the year and continuing*\n\n*into 2015, the opertional*\n\n*performance and focused,*\n\n*value-adding transactions*\n\n*during the past year have*\n\n*positioned the Company*\n\n*very favourably for future*\n\n*growth in net asset value*\n\n*and shareholder returns.*",
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- "text": "##### * **Dear Fellow Shareholders,** *\n\n## * **2014 Review** * *—2014 was a year of stark economic contrasts*\n\n##### *in our industry. During the first half as in the past several years,*\n\n##### *historically volatile West Texas Intermediate oil prices seemed*\n\n##### *range bound between $80 and $110 with geopolitical events*\n\n##### *driving prices towards the ceiling and demand risks pushing*\n\n##### *prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap\n\nand plentiful debt, on horizontal drilling and completions to drive production growth\n\nwhile making material strategic acquisitions in order to increase their long-term\n\nexposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point\n\nwhere, in our view, risk adjusted returns on new acquisitions were threatening cyclical\n\nlows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n~$50 million in current period gains while freeing up\n\n~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth\n\nand cash flow with only about $75 million reinvested in\n\nacquiring oil and gas leases and producing properties. This\n\nresulted in our production increasing from 5,028 BOEPD\n\nto 9,434 BOEPD by December 2014 and full year EBITDAX\n\nincreasing $73.8 million to $126.4 million in 2014. Had\n\nprices stayed steady, we likely would have generated\n\nearnings before income taxes of over $85 million and a\n\nreturn on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford\n\nformation in our Logan County, Oklahoma assets. We viewed this relatively modest, but\n\nhigher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately,\n\nwe met with mixed success in our appraisal activities proving that in today’s onshore\n\nUS oil and gas industry that the best absolute returns are generated by drilling in proved\n\nregions. There are plenty of solid opportunities to efficiently grow the business without\n\nexposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the\n\npricing environment come crashing down around us. The market became fundamentally\n\nunbalanced, driving prices down almost 50% and rendering material portions of global\n\noil and gas development uneconomic.\n\nOur peers went from talking about their growth prospects to fretting about cash costs\n\nand liquidity, a stark contrast from the go-go growth times which existed in the first half\n\nof the year. This shift in industry strategy has now come in line with our general business\n\nphilosophy — in the resource space, low-cost, low debt businesses will survive and thrive\n\nacross cycles; and, relative to our US onshore peer group, Sundance boasts a top 15%\n\ncost structure and balance sheet.\n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies:\n\n1) investment in a leading technical team that is encouraged to take reasonable risks to\n\nimprove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as\n\ndemonstrated by our consistent track record of divesting assets that don’t fit our strategic\n\nobjectives or promise lower forward return profiles.\n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and\n\nthus generates good returns, even in a low price environment. Because of these character-\n\nistics, the majority of our forward capital is expected to be invested generating strong\n\ngrowth and shareholder returns in the Eagle Ford.\n\nWith mixed appraisal results in the Woodford, Sundance’s Mississippian/Woodford\n\nposition generally requires higher prices to meet our hurdle rates. Because of the mixed\n\nWoodford results, higher overall unit costs, and depressed pricing at year end, we\n\nrecognized an impairment charge of ~$60 million on these assets at year 2014. Had\n\nprices maintained their strength, we likely would have been in a position to recover our\n\ninvestment from these assets.\n\n**CEO’S REPORT**\n\n**4**\n\n**Sundance’s Performance versus the ASX 200**\n\n**ANNUAL PERCENTAGE CHANGE**\n\nIN 2P PV10\n\n(NET ASSET VALUE) IN SUNDANCE\n\n**YEAR** PER DEBT ADJUSTED SHARE PRICE PER SHARE IN ASX200\n\n2014 21.6% -48.0% 1.1%\n\n2013 63.3% 29.9% 15.1%\n\n2012 -15.6% 87.8% 14.6%\n\n2011 59.7% -44.6% -14.5%",
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- "source_file": "ASX_SEA_2014.pdf"
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- "text": "####### **Corporate Overview and Strategy**\n\nSundance Energy Australia Limited (ASX: SEA) is an\n\nonshore oil and natural gas company focused on the\n\nexploration, development and production of large,\n\nrepeatable resource plays in North America. The Company’s\n\noil and natural gas properties are located in premier U.S.\n\noil and natural gas basins, and its current operational\n\nactivities are focused in south Texas targeting the Eagle\n\nFord formation (‘‘Eagle Ford’’) and north central Oklahoma\n\ntargeting the Mississippian and Woodford formations\n\n(‘‘Mississippian/Woodford’’).\n\nThe Company utilises its U.S.-based management and\n\ntechnical team to appraise, develop, produce and grow its\n\nportfolio of assets. The Company’s strategy focuses on\n\ngenerating cash flow from its existing production base,\n\ndeveloping assets where it is the operator and has high\n\nworking interests, exploring for additional resources\n\nwithin its existing basins and pursuing strategic merger\n\nand acquisition opportunities, which positions it to\n\ncontrol the pace of its development and the allocation\n\nof capital resources.\n\n####### **Contents**\n\nPerformance Summary .......................................................1\n\nChairman’s Letter................................................................2\n\nManaging Director’s Letter..................................................4\n\nFinancial Overview.............................................................6\n\nOperations Overview..........................................................8\n\nEagle Ford.........................................................................10\n\nGreater Anadarko .............................................................12\n\nDirectors’ Report...............................................................15\n\nRemuneration Report .......................................................28\n\nAuditor’s Independence Declaration.................................45\n\nCorporate Governance......................................................46\n\nFinancial Information.......................................................54\n\nDirectors’ Declaration .....................................................106\n\nAuditor’s Report..............................................................107\n\nAdditional Information...................................................109\n\nCorporate Information....................................................111\n\nForward-Looking Statements .........................................111\n\nCompetent Persons Statement........................................111\n\n####### **Abbreviations & Definitions**\n\n**1P Reserves** —proved reserves which have at least a 90%\n\nprobability that the quantities actually recovered will equal or\n\nexceed the estimate\n\n**2P Reserves** —proved plus probable reserves which have at\n\nleast a 50% probability that the quantities actually recovered\n\nwill equal or exceed the estimate\n\n**3P Reserves** —proved plus probable plus possible reserves\n\nwhich have at least a 10% probability that the quantities\n\nactually recovered will equal or exceed the estimate\n\n**Enterprise Value or EV** —market capitalisation less cash\n\nplus debt\n\n**PV10** —discounted cash flows of the Company’s reserves\n\nusing a 10% discount factor\n\n**Bbl** —one barrel of oil\n\n**BOE** —a barrel of oil equivalent, using the ratio of six Mcf of\n\nnatural gas to one Bbl of crude oil\n\n**BOEPD** —barrels of oil equivalent per day\n\n**Constant Case** —the reserve report case using first of month\n\naverage pricing for the trailing 12 months held constant\n\nthroughout the life of the reserves as prescribed by the US\n\nSecurities and Exchange Commission (SEC)\n\n**MBOE** —a thousand barrels of oil equivalent\n\n**MMBOE** —a million barrels of oil equivalent\n\n**MBbl** —a thousand barrels of crude oil\n\n**Mcf** —one thousand cubic feet of natural gas\n\n**MMcf** —one million cubic feet of natural gas\n\n**M** — when used with $ equals millions\n\n**Net Acres** —gross acres multiplied by the Company’s\n\nworking interest\n\n**Net Wells** —gross wells multiplied by the Company’s\n\nworking interest\n\n**PDP** —proved developed producing reserves\n\n**PUD** —proved undeveloped reserves\n\n**PV/I** —net change in the proved PV10 of the constant case\n\nreserve report divided by development capital expenditures\n\nduring the period under consideration less proceeds\n\nfrom divestitures\n\n**ROCE** —return on capital employed defined as earnings\n\nbefore interest and taxes divided by assets minus\n\n## current liabilities\n\n*One barrel of oil is the energy equivalent of six Mcf of*\n\n*natural gas.*\n\n*All oil and gas quantity and revenue amounts presented in*\n\n*this report are net of royalties.*\n\n* **All currency amounts presented in this report are shown in** *\n\n* **US dollars except per share amounts which are presented in** *\n\n* **Australian dollars or unless otherwise noted by “A$”, which** *\n\n* **represents Australian dollars.** *",
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- "text": "####### * **Review of Operations** *\n\n**Revenues and Production.** The following table provides the components of our revenues for the year ended 31 December\n\n2014 and 2013, as well as each year’s respective sales volumes:\n\n**Year ended 31 December Change in**\n\n**$**\n\n**Change as**\n\n**%**\n\n**2014 2013**\n\n**Revenue (US$‘000)**\n\nOil sales ................................................................................ 144,994 79,365 65,629 82.7\n\nNatural gas sales .................................................................. 6,161 2,774 3,387 122.1\n\nNatural gas liquids (NGL) sales ............................................. 8,638 3,206 5,432 169.5\n\nProduct revenue .................................................................. 159,793 85,345 74,448 87.2\n\n**Year ended 31 December Change in**\n\n**Volume**\n\n**Change as**\n\n**%**\n\n**2014 2013**\n\n**Net sales volumes:**\n\nOil (Bbls) ............................................................................... 1,675,078 827,432 847,646 102.4\n\nNatural gas (Mcf) ................................................................. 1,803,000 934,200 868,800 93.0\n\nNGL (Bbls) ............................................................................ 267,952 95,821 172,131 179.6\n\nOil equivalent (Boe) ............................................................. 2,243,529 1,078,953 1,164,576 107.9\n\nAverage daily production (Boe/d) 6,147 2,956 3,191 107.9\n\n**Barrel of oil equivalent (Boe) and average net daily production (Boe/d** ). Sales volume increased by 1,164,576 Boe (107.9%)\n\nto 2,243,529 Boe (6,147 Boe/d) for the year ended 31 December 2014 compared to 1,078,953 Boe (2,956 Boe/d) for the prior\n\nyear due to successfully bringing online 88 gross (50.1 net) producing wells primarily in the Eagle Ford and\n\nMississippian/Woodford Formations.\n\nThe Eagle Ford contributed 4,187 Boe/d (68.1%) of total sales volume during the year ended 31 December 2014 compared to\n\n1,371 Boe/d (46.4%) during the prior year. Mississippian/Woodford contributed 1,433 Boe/d (23.2%) of total sales volume\n\nduring the year ended 31 December 2014 compared to 503 Boe/d (17.0%) during the prior year. Our sales volume is\n\noil-weighted, with oil representing 75% and 77% of total sales volume for the year ended 31 December 2014 and 2013,\n\nrespectively.\n\n**Oil sales.** Oil sales increased by $65.6 million (82.7%) to $145.0 million for the year ended 31 December 2014 from $79.4 million\n\nfor the prior year. The increase in oil revenues was the result of increased oil production volumes ($81.3 million) offset by a\n\ndecrease in product pricing ($15.7 million). Oil production volumes increased 102.4% to 1,675,078 Bbls for the year ended 31\n\nDecember 2014 compared to 827,432 Bbls for the prior year. The average price we realised on (NGL) the sale of our oil\n\ndecreased by 9.8% to $86.56 per Bbl for the year ended 31 December 2014 from $95.92 per Bbl for the prior year.\n\n**Natural gas sales.** Natural gas sales increased by $3.4 million (122.1%) to $6.2 million for the year ended 31 December 2014\n\nfrom $2.8 million for the prior year. The increase in natural gas revenues was primarily the result of increased production\n\nvolumes ($2.6 million) and improved product pricing ($0.8 million). Natural gas production volumes increased 868,800 Mcf\n\n(93.0%) to 1,803,000 Mcf for the year ended 31 December 2014 compared to 934,200 Mcf for the prior year. The average price\n\nwe realised on the sale of our natural gas increased by 15.1% to $3.42 per Mcf for the year ended 31 December 2014 from\n\n$2.97 per Mcf for the prior year.",
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- "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n####### **NOTE 20 - OTHER NON-CURRENT ASSETS**\n\n####### **Year ended 31 December**\n\n## **2014**\n\n####### **US$’000**\n\n## **2013**\n\n####### **US$’000**\n\nEscrow accounts 998 2,000\n\nOther - 19\n\nTotal other non-current assets 998 2,019\n\n####### **NOTE 21 - TRADE AND OTHER PAYABLES AND ACCRUED EXPENSES**\n\n### **2014 2013**\n\n####### **Year ended 31 December US$’000 US$’000**\n\nOil and natural gas property and operating related 117,117 123,938\n\nAdministrative expenses, including salaries and wages 2,077 5,146\n\nTotal trade, other payables and accrued expenses 119,194 129,084\n\nAt 31 December 2013, the Group had payable balances of $16.7 million which was outside normal payment terms,\n\noffset by a receivable balance of $11.7 million to the same creditor company (see Note 12 for additional\n\ninformation). The Company’s remaining Bakken assets were sold to this company in July 2014, for approximately\n\n$14.0 million, including the settlement of the net liability.\n\n####### **NOTE 22 - CREDIT FACILITIES**\n\n### **2014 2013**\n\n####### **Year ended 31 December US$000 US$000**\n\nSenior Credit Facility 95,000 15,000\n\nJunior Credit Facility\n\n35,000 15,000\n\nTotal credit facilities 130,000 30,000\n\nDeferred financing fees (1,195) (859)\n\nTotal credit facilities, net of deferred financing fees\n\n128,805 29,141\n\n####### **Junior Credit Facility**\n\nIn August 2013, Sundance Energy, Inc. (“Sundance Energy”), a wholly owned subsidiary of the Company, entered\n\ninto a second lien credit agreement with Wells Fargo Energy Capital, Inc., as the administrative agent (the “Junior\n\nCredit Facility”), which provides for term loans to be made in a series of draws up to $100 million. The Junior Credit\n\nFacility matures in June 2018 and is secured by a second priority lien on substantially all of the Company’s assets.\n\nUpon entering into the Junior Credit Facility, the Company immediately borrowed $15 million pursuant to the terms\n\nof the Junior Credit Facility and paid down the outstanding principal of the Senior Credit Facility. In May 2014, the\n\nCompany’s borrowing capacity increased to $35 million. As at 31 December 2014, the borrowing capacity under the\n\nJunior Credit Facility remains at $35 million.",
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- "text": "**3**\n\nAt year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford\n\nacreage where we continue to pursue operational and drilling efficiencies, opportunities\n\nto further improve well economics by improving recoveries and reducing costs. In 2014\n\nthis included a switch to pad drilling with zipper fracs and new completion techniques\n\nthat have provided significant upside in production.\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance\n\nat 7,850 - 8,500 BOEPD, an increase from the previous year of some 13 - 17 percent,\n\nbut a target that we believe is achievable while maintaining acceptable levels of liquidity\n\ngiven our demonstrated abilities and growing footprint in the Eagle Ford.\n\n####### **Safety and Environment**\n\nSundance has a strong culture throughout the organisation of ensuring that high standards\n\nof safety are maintained and that our operations are conducted in an environmentally\n\nresponsible way. During 2014 our comprehensive safety program was enhanced and\n\nfurther improvements will be a strong focus throughout 2015.\n\n####### **A strong financial position**\n\nSundance is well placed for future growth in the Eagle Ford. The Company has a strong\n\nbalance sheet to withstand the current low oil price environment, and our sound financial\n\nmanagement strategy has seen the Company well supported by both new and existing\n\ninvestors in Australia and internationally.\n\nWe expect that Sundance will grow organically and also through further leasing or\n\nbolt-on acquisitions in our core Eagle Ford focus area within our current, conservative\n\nbalance sheet parameters.\n\n####### **Positive outlook for 2015**\n\nDespite the current oil pricing scenario, Sundance’s medium-to-long term growth\n\ntrajectory looks very positive.\n\nWe can demonstrate this through:\n\n- A track record of capital efficient growth\n\n- A track record of value creation\n\n- Being a low cost/high margin operator\n\n- Having top tier Eagle Ford assets with an extensive drilling inventory\n\n- Having a clean balance sheet\n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index,\n\nand with the increasing interest and support from institutional and retail investors. I believe\n\nthat Sundance will deliver significant long-term value from our assets for our shareholders.\n\n####### **Thank you for your support**\n\nWe have had a busy year at Sundance and I would like to recognise the efforts and valued\n\ncontribution of the Board of Directors, management team and all staff and contractors of\n\nthe Company in helping us achieve our strategic goals. I am confident that we have the\n\nright team and excellent assets in place to execute our clear and focused strategy that we\n\nexpect to deliver significant value for our shareholders.\n\nOn behalf of the Board and Company, I would like to thank our shareholders for your\n\nstrong support of the Company throughout the year. We are committed to delivering\n\nlong-term value for our shareholders and I look forward to reporting over the rest of the\n\ncoming year on the continued value creation and growth of Sundance.\n\nYours sincerely,\n\n**M IKE H ANNELL**\n\n*Chairman*\n\n*The Company has a*\n\n*strong balance sheet to*\n\n*withstand the current low*\n\n*oil price environment,*\n\n*and our sound financial*\n\n*management strategy*\n\n*has seen the Company*\n\n*well supported by*\n\n*both new and existing*\n\n*investors in Australia*\n\n*and internationally.*",
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- "text": "##### *Through our emphasis on operating and G&A cost control*\n\n##### *initiatives, the Company’s record oil and natural gas sales*\n\n##### *translated to best-in-class Adjusted EBITDAX Margin (79*\n\n##### *percent) among peers our size and a full 10 absolute percentage*\n\n##### *points higher than the average of our entire peer group.*\n\nAs a result of its significant production increase, the Company’s 2014 oil, NGL and natural\n\ngas sales revenue increased by $74.4 million to $159.8 million; an 87 percent increase\n\ncompared to $85.3 million in 2013.\n\nThis topline growth resulted in Adjusted EBIDTAX increase of $73.8 million to $126.4\n\nmillion (79 percent of revenue); a 140 percent increase compared to $52.6 million\n\n(62 percent of revenue) in 2013. In other words, for every $1.00 of revenue growth\n\ncompared to 2013, the Company added $0.99 of 2014 Adjusted EBITDAX growth.\n\nThis Adjusted EBITDAX (generally a good proxy for our\n\noperating cash flow) increase was primarily the result of\n\nincreased revenue and the following cost controlled\n\noperating expenses:\n\n- *Lease operating expenses* increased only slightly (12 percent),\n\ndespite significant production increases (108 percent).\n\nAs a result of several changes in its field operations and\n\neconomies of scale, the Company has realized improvement\n\nin its lease operating costs per barrel.\n\n- *Production taxes* also only increased slightly (11 percent),\n\ndespite significant revenue increase (87 percent). Through a\n\nseries of strategic dispositions, the Company has shifted its\n\nstate production mix from primarily high severance tax rate\n\njurisdictions (states of Colorado and North Dakota) to lower severance tax rate jurisdictions\n\n(states of Texas and Oklahoma).\n\n- *General and administrative expenses* remained relatively flat compared to prior year.\n\nThis is primarily due to the fact that the Company began ramping up staffing in 2013 as\n\nit expected development growth in late 2013 and 2014.\n\n## **FINANCIAL OVERVIEW**\n\n2,000\n\n4,000\n\n6,000\n\n8,000\n\n10,000\n\n$10,000\n\n$20,000\n\n$30,000\n\n$40,000\n\n$50,000\n\n**REVENUE** (US$000s) **AND PRODUCTION** (Boe/d)\n\nI REVENUE — Boe/d\n\n**Q1-13 Q2-13 Q3-13 Q4-13 Q1-14 Q2-14 Q3-14 Q4-14**\n\n$5,000\n\n$10,000\n\n$15,000\n\n$20,000\n\n$25,000\n\n$30,000\n\n$35,000\n\n$40,000\n\n20%\n\n40%\n\n60%\n\n80%\n\n100%\n\n**Q1-13 Q2-13 Q3-13 Q4-13 Q1-14 Q2-14 Q3-14 Q4-14**\n\n**ADJUSTED EBITDAX AND MARGIN**\n\nI ADJUSTED EBITDAX (US$000s)\n\n— ADJUSTED EBITDAX MARGIN (%)\n\n**6**",
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- "text": "ANNUAL REPORT 2014",
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- "text": "The following table presents a reconciliation of the profit (loss) attributable to owners of Sundance to Adjusted EBITDAX:\n\n**Year ended 31 December**\n\n**(In US$‘000s) 2014 2013**\n\n**IFRS Profit Loss Reconciliation to Adjusted EBITDAX:**\n\nProfit attributable to owners of Sundance .................................................. 15,321 15,942\n\nIncome tax (benefit)/expense ...................................................................... (841) 5,567\n\nFinance costs, net of amounts capitalised and interest received ................ 494 (232)\n\n(Gain) Loss on derivative financial instruments ........................................... (10,792) 554\n\nSettlement of derivative financial instruments............................................ 1,150 282\n\nDepreciation and amortisation expense ...................................................... 85,584 36,225\n\nImpairment of non-current assets ............................................................... 71,212 -\n\nExploration expense..................................................................................... 10,934 -\n\nStock compensation, value of services ........................................................ 1,915 1,590\n\nGain on sale of non-current assets .............................................................. (48,604) (7,335)\n\n**Adjusted EBITDAX ....................................................................................... 126,373 52,594**\n\n**EBITDAX Margin .......................................................................................... 79% 62%**\n\n####### * **Exploration and Development** *\n\nFor the month of December 2014, the Company achieved record production of 9,434 Boe/d, which included 869 Boe/d of\n\nflared gas from wells waiting to hook-up to pipelines. The December 2014 exit rate increased 88% over prior year’s exit rate\n\nof 5,028 Boe/d. During the year ended 31 December 2014, the Company produced 2.4 MMBoe, which included 0.2 MMBoe\n\nof flared gas. This result was more than double the production in prior year, primarily as a result of increased drilling activity\n\nand production in the Eagle Ford Basin.\n\nThe Company’s exploration and development activities are focused in the Eagle Ford and the Mississippian/Woodford\n\nFormations. Costs incurred for development and production expenditures for the Eagle Ford and Mississippian/Woodford\n\nFormations during the year ended 31 December 2014 totalled $324.0 million, which included $295.9 million of drilling and\n\ndevelopment expenditure related to our 2014 plan, $3.8 million on infrastructure, and $24.3 million of drilling and\n\ndevelopment expenditure related to our 2015 plan. This investment resulted in the addition of 75 gross (42.7 net) wells into\n\nproduction, including 50 gross (39.5 net) Sundance-operated horizontal wells. An additional 24 gross (13.7 net) wells were\n\ndrilling, being prepared for fracture stimulation or testing as at 31 December 2014, an increase of 7 gross (3.0 net) compared\n\nto the beginning of the year.\n\n*Acquisitions*\n\nIn April 2014, the Company acquired approximately 4,800 net acres in the Eagle Ford for an initial purchase price of\n\napproximately $10.5 million and two separate earn out payments due upon commencement of drilling in each of three blocks\n\nof acreage (total for all three blocks of $7.7 million) and payout of the first two wells drilled on each block of the acreage\n\n($7.7 million). The term of the agreement is two years and provides a one year extension for $500 per acre extended. This\n\nacquired acreage is adjacent to our existing acreage in McMullen County, Texas.\n\nIn July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South\n\nTexas, for approximately $36 million and a commitment to drill four Eagle Ford wells. The Company also has the option, at its\n\nsole discretion, to acquire the Seller’s remaining working interest for an additional $45 million for the earlier of one year from\n\nclosing the acquisition or six months from first production of hydrocarbons.",
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- "text": "## **PERFORMANCE SUMMARY**\n\n*Year Ended 31 December*\n\n**2014 As % 2013 As %**\n\n**FINANCIAL** *(In $000’s)*\n\nOil, gas and NGL sales $ 159,793 $ 85,345\n\nAdjusted EBITDAX (% of sales) 126,373 79% 52,594 62%\n\nNet cash provided by operating activities 128,087 62,646\n\nCapital investment:\n\nDevelopment and production assets $ 338,366 $ 217,514\n\nExploration and evaluation expenditures 72,755 165,142\n\nTOTAL $ 411,121 $ 382,656\n\nCash $ 69,217 $ 96,871\n\nBorrowing capacity 15,000 33,000\n\nTotal Liquidity $ 84,217 $ 129,871\n\nTotal assets $ 796,520 $ 625,169\n\nDebt to Adjusted EBITDAX $ 130,000 1.03 $ 30,000 0.57\n\nShareholders’ equity $ 435,006 $ 347,241\n\n**OPERATIONAL**\n\nProved reserves (Contant Case):\n\nOil (Mbbls) 17,026 66% 12,956 62%\n\nNGL (Mbbls) 4,166 16% 2,683 13%\n\nNatural gas (Mmcf) 28,733 18% 30,655 25%\n\nTOTAL (Mboe) 25,981 20,748\n\nDaily production:\n\nOil (Bbls) 4,589 69% 2,267 75%\n\nNGL (Bbls) 734 11% 263 9%\n\nGas (Mcf) 7,869 20% 2,915 16%\n\nTOTAL (Boe) 6,635 3,015\n\nRealised price (net of royalty and transportation):\n\nOil (per Bbl) $ 86.56 $ 95.92\n\nNGL (per Bbl) 32.24 33.46\n\nGas (per Mcf) 3.42 2.97\n\nTOTAL (per Boe) $ 71.22 $ 79.10\n\n$100,000\n\n$200,000\n\n$300,000\n\n$400,000\n\n$500,000\n\n$50,000\n\n$100,000\n\n$150,000\n\n$200,000\n\n5,000\n\n10,000\n\n15,000\n\n20,000\n\n25,000\n\n30,000\n\n**SALES AND**\n\n**ADJUSTED EBITDAX**\n\n**EXPLORATION AND**\n\n**DEVELOPMENT (000’s)**\n\n**PROVED RESERVES**\n\n**(Constant Case) (Mboe)**\n\nI Oil, natural gas and NGL sales\n\nI ADJUSTED EBITDAX\n\nI Exploration and evaluation\n\nexpenditures (incl acquisitions)\n\nI Development and\n\nproduction assets\n\nI Oil and NGLs (Mbbls)\n\n## I Natural gas (Mboe)\n\n**2013 2014 2013 2014 2013 2014**\n\n$85,345\n\n$159,793\n\n$126,373\n\n$165,142\n\n$72,755\n\n25%\n\n18%\n\n82%\n\n75%\n\n$338,366\n\n$217,514\n\n$52,594\n\n1,000\n\n2,000\n\n3,000\n\n4,000\n\n5,000\n\n6,000\n\n7,000\n\n**DAILY PRODUCTION**\n\n**(Mboe)**\n\nI Oil and NGL (Bbls)\n\nI Natural gas (Mboe)\n\n80%\n\n20%\n\n16%\n\n84%\n\n**2013 2014**",
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- "references": {
- "source_file": "ASX_SEA_2014.pdf",
- "query": "I heard that Sundance Energy has acquired land in South Texas in July 2014, where is it?",
- "target_page": 21,
- "target_passage": "In July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas",
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- "text": "The following table presents a reconciliation of the profit (loss) attributable to owners of Sundance to Adjusted EBITDAX:\n\n**Year ended 31 December**\n\n**(In US$‘000s) 2014 2013**\n\n**IFRS Profit Loss Reconciliation to Adjusted EBITDAX:**\n\nProfit attributable to owners of Sundance .................................................. 15,321 15,942\n\nIncome tax (benefit)/expense ...................................................................... (841) 5,567\n\nFinance costs, net of amounts capitalised and interest received ................ 494 (232)\n\n(Gain) Loss on derivative financial instruments ........................................... (10,792) 554\n\nSettlement of derivative financial instruments............................................ 1,150 282\n\nDepreciation and amortisation expense ...................................................... 85,584 36,225\n\nImpairment of non-current assets ............................................................... 71,212 -\n\nExploration expense..................................................................................... 10,934 -\n\nStock compensation, value of services ........................................................ 1,915 1,590\n\nGain on sale of non-current assets .............................................................. (48,604) (7,335)\n\n**Adjusted EBITDAX ....................................................................................... 126,373 52,594**\n\n**EBITDAX Margin .......................................................................................... 79% 62%**\n\n####### * **Exploration and Development** *\n\nFor the month of December 2014, the Company achieved record production of 9,434 Boe/d, which included 869 Boe/d of\n\nflared gas from wells waiting to hook-up to pipelines. The December 2014 exit rate increased 88% over prior year’s exit rate\n\nof 5,028 Boe/d. During the year ended 31 December 2014, the Company produced 2.4 MMBoe, which included 0.2 MMBoe\n\nof flared gas. This result was more than double the production in prior year, primarily as a result of increased drilling activity\n\nand production in the Eagle Ford Basin.\n\nThe Company’s exploration and development activities are focused in the Eagle Ford and the Mississippian/Woodford\n\nFormations. Costs incurred for development and production expenditures for the Eagle Ford and Mississippian/Woodford\n\nFormations during the year ended 31 December 2014 totalled $324.0 million, which included $295.9 million of drilling and\n\ndevelopment expenditure related to our 2014 plan, $3.8 million on infrastructure, and $24.3 million of drilling and\n\ndevelopment expenditure related to our 2015 plan. This investment resulted in the addition of 75 gross (42.7 net) wells into\n\nproduction, including 50 gross (39.5 net) Sundance-operated horizontal wells. An additional 24 gross (13.7 net) wells were\n\ndrilling, being prepared for fracture stimulation or testing as at 31 December 2014, an increase of 7 gross (3.0 net) compared\n\nto the beginning of the year.\n\n*Acquisitions*\n\nIn April 2014, the Company acquired approximately 4,800 net acres in the Eagle Ford for an initial purchase price of\n\napproximately $10.5 million and two separate earn out payments due upon commencement of drilling in each of three blocks\n\nof acreage (total for all three blocks of $7.7 million) and payout of the first two wells drilled on each block of the acreage\n\n($7.7 million). The term of the agreement is two years and provides a one year extension for $500 per acre extended. This\n\nacquired acreage is adjacent to our existing acreage in McMullen County, Texas.\n\nIn July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South\n\nTexas, for approximately $36 million and a commitment to drill four Eagle Ford wells. The Company also has the option, at its\n\nsole discretion, to acquire the Seller’s remaining working interest for an additional $45 million for the earlier of one year from\n\nclosing the acquisition or six months from first production of hydrocarbons.",
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- "text": "####### **Corporate Overview and Strategy**\n\nSundance Energy Australia Limited (ASX: SEA) is an\n\nonshore oil and natural gas company focused on the\n\nexploration, development and production of large,\n\nrepeatable resource plays in North America. The Company’s\n\noil and natural gas properties are located in premier U.S.\n\noil and natural gas basins, and its current operational\n\nactivities are focused in south Texas targeting the Eagle\n\nFord formation (‘‘Eagle Ford’’) and north central Oklahoma\n\ntargeting the Mississippian and Woodford formations\n\n(‘‘Mississippian/Woodford’’).\n\nThe Company utilises its U.S.-based management and\n\ntechnical team to appraise, develop, produce and grow its\n\nportfolio of assets. The Company’s strategy focuses on\n\ngenerating cash flow from its existing production base,\n\ndeveloping assets where it is the operator and has high\n\nworking interests, exploring for additional resources\n\nwithin its existing basins and pursuing strategic merger\n\nand acquisition opportunities, which positions it to\n\ncontrol the pace of its development and the allocation\n\nof capital resources.\n\n####### **Contents**\n\nPerformance Summary .......................................................1\n\nChairman’s Letter................................................................2\n\nManaging Director’s Letter..................................................4\n\nFinancial Overview.............................................................6\n\nOperations Overview..........................................................8\n\nEagle Ford.........................................................................10\n\nGreater Anadarko .............................................................12\n\nDirectors’ Report...............................................................15\n\nRemuneration Report .......................................................28\n\nAuditor’s Independence Declaration.................................45\n\nCorporate Governance......................................................46\n\nFinancial Information.......................................................54\n\nDirectors’ Declaration .....................................................106\n\nAuditor’s Report..............................................................107\n\nAdditional Information...................................................109\n\nCorporate Information....................................................111\n\nForward-Looking Statements .........................................111\n\nCompetent Persons Statement........................................111\n\n####### **Abbreviations & Definitions**\n\n**1P Reserves** —proved reserves which have at least a 90%\n\nprobability that the quantities actually recovered will equal or\n\nexceed the estimate\n\n**2P Reserves** —proved plus probable reserves which have at\n\nleast a 50% probability that the quantities actually recovered\n\nwill equal or exceed the estimate\n\n**3P Reserves** —proved plus probable plus possible reserves\n\nwhich have at least a 10% probability that the quantities\n\nactually recovered will equal or exceed the estimate\n\n**Enterprise Value or EV** —market capitalisation less cash\n\nplus debt\n\n**PV10** —discounted cash flows of the Company’s reserves\n\nusing a 10% discount factor\n\n**Bbl** —one barrel of oil\n\n**BOE** —a barrel of oil equivalent, using the ratio of six Mcf of\n\nnatural gas to one Bbl of crude oil\n\n**BOEPD** —barrels of oil equivalent per day\n\n**Constant Case** —the reserve report case using first of month\n\naverage pricing for the trailing 12 months held constant\n\nthroughout the life of the reserves as prescribed by the US\n\nSecurities and Exchange Commission (SEC)\n\n**MBOE** —a thousand barrels of oil equivalent\n\n**MMBOE** —a million barrels of oil equivalent\n\n**MBbl** —a thousand barrels of crude oil\n\n**Mcf** —one thousand cubic feet of natural gas\n\n**MMcf** —one million cubic feet of natural gas\n\n**M** — when used with $ equals millions\n\n**Net Acres** —gross acres multiplied by the Company’s\n\nworking interest\n\n**Net Wells** —gross wells multiplied by the Company’s\n\nworking interest\n\n**PDP** —proved developed producing reserves\n\n**PUD** —proved undeveloped reserves\n\n**PV/I** —net change in the proved PV10 of the constant case\n\nreserve report divided by development capital expenditures\n\nduring the period under consideration less proceeds\n\nfrom divestitures\n\n**ROCE** —return on capital employed defined as earnings\n\nbefore interest and taxes divided by assets minus\n\n## current liabilities\n\n*One barrel of oil is the energy equivalent of six Mcf of*\n\n*natural gas.*\n\n*All oil and gas quantity and revenue amounts presented in*\n\n*this report are net of royalties.*\n\n* **All currency amounts presented in this report are shown in** *\n\n* **US dollars except per share amounts which are presented in** *\n\n* **Australian dollars or unless otherwise noted by “A$”, which** *\n\n* **represents Australian dollars.** *",
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- "text": "##### * **Dear Fellow Shareholders,** *\n\n##### *I am pleased to present Sundance Energy Australia Limited’s*\n\n##### *Annual Report for the 12 months ended 31 December 2014. It*\n\n##### *has been another year of significant progress for Sundance*\n\n##### *across our portfolio of liquids rich oil and gas assets in the US.*\n\nThe Company’s strategic focus on growing production, cash flows and reserves from\n\nlarge, repeatable resource plays in North America continues to deliver positive results\n\nwith growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston\n\nBasin in North Dakota for $51 million which realised an internal rate of return of 45 percent;\n\nand also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado\n\nfor $114 million which realised an internal rate of return of 104 percent. These divestitures\n\nof smaller, less scalable positions enabled us to focus on developing and growing our\n\nassets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year\n\nand continuing into 2015, the operational performance and focused, value-adding\n\ntransactions during the past year have positioned the Company very favourably for\n\nfuture growth in net asset value and shareholder returns.\n\n####### **A year of growing production, cash flow and reserves**\n\nIn line with our strategy we continued to increase the level of company operated assets,\n\nand successfully maintained a very strong focus on optimising our operations and reducing\n\ncosts. This resulted in an impressive improvement in well performance combined with a\n\ntop tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production\n\nof 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028\n\nBOEPD in December 2013 and an average annual production of 6,635 BOEPD compared\n\nto 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily\n\nin the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High\n\nvalue oil comprised approximately 69 percent of our total 2014 annual production\n\nand production from Sundance-operated projects accounted for 89 percent of total\n\nproduction for the year.\n\nCorresponding with the growth in annual production, the Company’s full year revenues\n\nincreased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company’s development program also generated significant growth in Constant Case\n\nreserves during the year. More details are contained elsewhere in this Annual Report,\n\nbut in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1\n\nMBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6\n\nMBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to\n\nmainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will\n\nenable us to maintain our low leverage profile, which was approximately 1.03x debt to\n\nAdjusted EBITDAX at year end, and focus on growing our drilling inventory in an environ-\n\nment with less competition for leases and small acquisitions. Liquidity was $84 million at\n\nyear end, with a borrowing base redetermination in 2015 expected to materially increase\n\ndebt availability if the use of such funds is justified in line with our strategy.\n\n####### **The Eagle Ford - driving value and production growth**\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the\n\nbasin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014\n\nwhich includes the acquisition of approximately 18,000 net acreage in 2014. By the end of\n\nthe first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence\n\nin this prolific oil and gas region has been driving significant value for the Company and\n\nour shareholders, and continues to form our priority focus for development and acreage\n\ngrowth in the coming years.\n\n## **CHAIRMAN’S LETTER**\n\n**2**\n\n*Despite the reduction in*\n\n*crude oil and liquids*\n\n*prices towards the end of*\n\n*the year and continuing*\n\n*into 2015, the opertional*\n\n*performance and focused,*\n\n*value-adding transactions*\n\n*during the past year have*\n\n*positioned the Company*\n\n*very favourably for future*\n\n*growth in net asset value*\n\n*and shareholder returns.*",
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- "text": "##### * **Dear Fellow Shareholders,** *\n\n## * **2014 Review** * *—2014 was a year of stark economic contrasts*\n\n##### *in our industry. During the first half as in the past several years,*\n\n##### *historically volatile West Texas Intermediate oil prices seemed*\n\n##### *range bound between $80 and $110 with geopolitical events*\n\n##### *driving prices towards the ceiling and demand risks pushing*\n\n##### *prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap\n\nand plentiful debt, on horizontal drilling and completions to drive production growth\n\nwhile making material strategic acquisitions in order to increase their long-term\n\nexposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point\n\nwhere, in our view, risk adjusted returns on new acquisitions were threatening cyclical\n\nlows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n~$50 million in current period gains while freeing up\n\n~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth\n\nand cash flow with only about $75 million reinvested in\n\nacquiring oil and gas leases and producing properties. This\n\nresulted in our production increasing from 5,028 BOEPD\n\nto 9,434 BOEPD by December 2014 and full year EBITDAX\n\nincreasing $73.8 million to $126.4 million in 2014. Had\n\nprices stayed steady, we likely would have generated\n\nearnings before income taxes of over $85 million and a\n\nreturn on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford\n\nformation in our Logan County, Oklahoma assets. We viewed this relatively modest, but\n\nhigher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately,\n\nwe met with mixed success in our appraisal activities proving that in today’s onshore\n\nUS oil and gas industry that the best absolute returns are generated by drilling in proved\n\nregions. There are plenty of solid opportunities to efficiently grow the business without\n\nexposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the\n\npricing environment come crashing down around us. The market became fundamentally\n\nunbalanced, driving prices down almost 50% and rendering material portions of global\n\noil and gas development uneconomic.\n\nOur peers went from talking about their growth prospects to fretting about cash costs\n\nand liquidity, a stark contrast from the go-go growth times which existed in the first half\n\nof the year. This shift in industry strategy has now come in line with our general business\n\nphilosophy — in the resource space, low-cost, low debt businesses will survive and thrive\n\nacross cycles; and, relative to our US onshore peer group, Sundance boasts a top 15%\n\ncost structure and balance sheet.\n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies:\n\n1) investment in a leading technical team that is encouraged to take reasonable risks to\n\nimprove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as\n\ndemonstrated by our consistent track record of divesting assets that don’t fit our strategic\n\nobjectives or promise lower forward return profiles.\n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and\n\nthus generates good returns, even in a low price environment. Because of these character-\n\nistics, the majority of our forward capital is expected to be invested generating strong\n\ngrowth and shareholder returns in the Eagle Ford.\n\nWith mixed appraisal results in the Woodford, Sundance’s Mississippian/Woodford\n\nposition generally requires higher prices to meet our hurdle rates. Because of the mixed\n\nWoodford results, higher overall unit costs, and depressed pricing at year end, we\n\nrecognized an impairment charge of ~$60 million on these assets at year 2014. Had\n\nprices maintained their strength, we likely would have been in a position to recover our\n\ninvestment from these assets.\n\n**CEO’S REPORT**\n\n**4**\n\n**Sundance’s Performance versus the ASX 200**\n\n**ANNUAL PERCENTAGE CHANGE**\n\nIN 2P PV10\n\n(NET ASSET VALUE) IN SUNDANCE\n\n**YEAR** PER DEBT ADJUSTED SHARE PRICE PER SHARE IN ASX200\n\n2014 21.6% -48.0% 1.1%\n\n2013 63.3% 29.9% 15.1%\n\n2012 -15.6% 87.8% 14.6%\n\n2011 59.7% -44.6% -14.5%",
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- "text": "## **EAGLE FORD**\n\n##### *The Eagle Ford continues to have one of the highest internal*\n\n##### *rates of return of any of the US unconventional resource plays.*\n\nBecause of its relatively low operating costs,\n\nthe Eagle Ford to remains profitable during\n\ncurrent oil commodity pricing conditions.\n\nSundance has quickly transformed the Eagle\n\nFord position acquired in its merger with\n\nTexon Petroleum Ltd to its most valuable\n\nasset in its portfolio through development\n\nand growing its drilling inventory.\n\nIn 2014, the Company\n\nbrought 35 gross (26.1\n\nnet) Eagle Ford wells into\n\nproduction by D&P investments of $244 million. Through $26\n\nmillion of direct mineral leases and $36 million of acquisitions\n\nin 2014, the Company increased its Eagle Ford acreage position\n\nto 20,742 net acres, which represents 153.7 net undrilled\n\n3P Reserves locations.\n\nSince its entrance into the Eagle Ford in March 2013, the Company has:\n\n- increased its production over 10x to a 2014 exit rate of 8,177 BOEPD (a 290\n\npercent CAGR);\n\n- increased 1P Constant Case Reserves by 10x to 18,132 MBOE (PV10 of $449.3 million\n\n(an 18x increase));\n\n- increased its acreage to approximately 33,000 net acres, primarily in the volatile oil\n\nand condensate window of the Eagle Ford (includes 14,180 net acres acquired in January\n\n2015 and excludes 5,418 net acres targeting the Georgetown Formation in neighboring\n\nMaverick County);\n\n- increased its producing well count to 77\n\ngross (53.8 net), with an additional 19 gross\n\n(10.6 net) wells in progress at year-end;\n\n- increased its undrilled 3P Reserves drilling\n\nlocations to 153.7 net; which represents a\n\n4.3 year drilling inventory (assuming two rig\n\nprogram drilling 36 net wells per year and\n\n40-80 acre spacing)\n\n**EAGLE FORD**\n\n*As at and for the Year Ended 31 December 2014*\n\nProduction (boe) 1,696,549\n\nProduction (BOEPD) 4,648\n\nLiquids % of sales 91%\n\nExit Rate (BOEPD) 8,177\n\nD&P Capital Invested $ 244,134\n\nE&E Capital Invested and Acquisitions $ 59,903\n\nGross producing wells 77\n\nNet Producing wells 53.8\n\nGross Wells in Progress 19\n\nNet Wells in Progress 10.6\n\nNet Acres 26,160\n\n**EAGLE FORD CONSTANT CASE RESERVES**\n\n*As at and for the Year Ended 31 December 2014*\n\n1P Reserves (mboe) 18,131.9\n\n3P Reserves (mboe) 100,404.1\n\n1P Reserves (PV10 ($000s)) $ 449,287.5\n\n3P Reserves (PV10 ($000s)) $ 1,202,313.1\n\nNet 1P Reserves Drilling Locations 42.6\n\nNet 3P Reserves Drilling Locations 153.7\n\n**10**\n\n50\n\n100\n\n150\n\n200\n\n1.0\n\n2.0\n\n3.0\n\n4.0\n\n5.0\n\n**NET EAGLE FORD DRILLING LOCATIONS**\n\n*(excluding contingent resources)*\n\n**JAN-13 JAN-14 JAN-15**\n\nI PROVED\n\nI PROBABLE AND POSSIBLE\n\n— — DRILLING INVENTORY (YEARS)",
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- "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n####### **NOTE 20 - OTHER NON-CURRENT ASSETS**\n\n####### **Year ended 31 December**\n\n## **2014**\n\n####### **US$’000**\n\n## **2013**\n\n####### **US$’000**\n\nEscrow accounts 998 2,000\n\nOther - 19\n\nTotal other non-current assets 998 2,019\n\n####### **NOTE 21 - TRADE AND OTHER PAYABLES AND ACCRUED EXPENSES**\n\n### **2014 2013**\n\n####### **Year ended 31 December US$’000 US$’000**\n\nOil and natural gas property and operating related 117,117 123,938\n\nAdministrative expenses, including salaries and wages 2,077 5,146\n\nTotal trade, other payables and accrued expenses 119,194 129,084\n\nAt 31 December 2013, the Group had payable balances of $16.7 million which was outside normal payment terms,\n\noffset by a receivable balance of $11.7 million to the same creditor company (see Note 12 for additional\n\ninformation). The Company’s remaining Bakken assets were sold to this company in July 2014, for approximately\n\n$14.0 million, including the settlement of the net liability.\n\n####### **NOTE 22 - CREDIT FACILITIES**\n\n### **2014 2013**\n\n####### **Year ended 31 December US$000 US$000**\n\nSenior Credit Facility 95,000 15,000\n\nJunior Credit Facility\n\n35,000 15,000\n\nTotal credit facilities 130,000 30,000\n\nDeferred financing fees (1,195) (859)\n\nTotal credit facilities, net of deferred financing fees\n\n128,805 29,141\n\n####### **Junior Credit Facility**\n\nIn August 2013, Sundance Energy, Inc. (“Sundance Energy”), a wholly owned subsidiary of the Company, entered\n\ninto a second lien credit agreement with Wells Fargo Energy Capital, Inc., as the administrative agent (the “Junior\n\nCredit Facility”), which provides for term loans to be made in a series of draws up to $100 million. The Junior Credit\n\nFacility matures in June 2018 and is secured by a second priority lien on substantially all of the Company’s assets.\n\nUpon entering into the Junior Credit Facility, the Company immediately borrowed $15 million pursuant to the terms\n\nof the Junior Credit Facility and paid down the outstanding principal of the Senior Credit Facility. In May 2014, the\n\nCompany’s borrowing capacity increased to $35 million. As at 31 December 2014, the borrowing capacity under the\n\nJunior Credit Facility remains at $35 million.",
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- "text": "Annual Report 2004 8\n\n## THE WORLD OF SANTOS\n\n**United States**\n\nSouth Texas, Texas/\n\nLouisiana Gulf Coast\n\nDeer Creek Montana\n\nUnited States Egypt West Natuna Basin East Java\n\nHoutman Basin Duntroon Basin Otway Basin Sorell Basin\n\n**KEY TO MAPS**\n\nExploration\n\nProduction\n\nOil field\n\nGas field\n\nOil pipeline\n\nGas pipeline",
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- "text": "####### **Sundance Energy Australia Limited**\n\nABN 76 112 202 883\n\n####### **Directors**\n\nMichael D. Hannell - *Chairman*\n\nEric McCrady - *Managing Director and CEO*\n\nDamien A. Hannes - *Non-Executive Director*\n\nNeville W. Martin - *Non-Executive Director*\n\nWeldon Holcombe - *Non-Executive Director*\n\n####### **Company Secretary**\n\nDamien Connor\n\n####### **Registered Office**\n\n32 Beulah Road\n\nNorwood SA 5067\n\nPhone: (61 8) 8363 0388\n\nFax: (61 8) 8132 0766\n\nWebsite: www.sundanceenergy.com.au\n\n####### **Corporate Headquarters**\n\n####### **Sundance Energy, Inc.**\n\n633 17th Street, Suite 1950\n\nDenver, CO 80202 USA\n\nPhone: (303) 543-5700\n\nFax: (303) 543-5701\n\nWebsite: www.sundanceenergy.net\n\n####### **Auditors**\n\nErnst & Young\n\nErnst & Young Centre\n\n680 George Street\n\nSydney NSW 2000\n\n####### **Australian Legal Advisors**\n\nBaker & McKenzie\n\nLevel 27, AMP Centre\n\n50 Bridge Street\n\nSydney, NSW 2000\n\nAustralia\n\n####### **Bankers**\n\nNational Australia Bank Limited - Australia\n\nWells Fargo - United States\n\n####### **Share Registry**\n\nComputershare Investor Services Pty Ltd\n\nLevel 5, 115 Grenfell Street\n\nAdelaide SA 5000\n\n####### **Securities Exchange Listing**\n\nAustralian Securities Exchange (ASX)\n\nASX Code: SEA\n\n####### **Forward-Looking Statements**\n\nThis Annual Report includes forward-looking statements.\n\nThese statements relate to Sundance’s expectations, beliefs,\n\nintentions or strategies regarding the future. These statements\n\ncan be identified by the use of words like “anticipate”,\n\n“believe”, “intend”, “estimate”, “expect”, “may”, “plan”,\n\n“project”, “will”, “should”, “seek” and similar words or\n\nexpressions containing same. The forward-looking state-\n\nments reflect the Company’s views and assumptions with\n\nrespect to future events as of the date of this presentation\n\nand are subject to a variety of unpredictable risks, uncertain-\n\nties, and other unknowns. Actual and future results and\n\ntrends could differ materially from those set forth in such\n\nstatements due to various factors, many of which are\n\nbeyond our ability to control or predict. Given these\n\nuncertainties, no one should place undue reliance on any\n\nforward-looking statements attributable to Sundance,\n\nor any of its affiliates or persons acting on its behalf.\n\nAlthough every effort has been made to ensure this report\n\nsets forth a fair and accurate view, we do not undertake\n\nany obligation to update or revise any forward-looking\n\nstatements, whether as a result of new information, future\n\nevents or otherwise.\n\n####### **Competent Persons Statement**\n\nThis report contains information on Sundance Energy’s\n\nreserves and resources which has been reviewed by David\n\nRamsden-Wood, Professional Engineer, who is licensed in\n\nAlberta, Canada and is qualified in accordance with ASX\n\nListing Rule 5.11 and has consented to the inclusion of this\n\ninformation in the form and context in which it appears.\n\nDESIGN BY :\n\nMark Mulvany Graphic Design *(Denver, CO)*\n\nPHOTOGRAPHY BY :\n\nMichael McConnell Photography *(Denver, CO)* www.sundanceenergy.net www.sundanceenergy.com.au",
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- "text": "###### Opinion\n\nIn our opinion:\n\na. the financial report of Sundance Energy Australia is in accordance with the *Corporations Act 2001* , including:\n\ni giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and of its performance for the year ended on that date; and\n\nii complying with Australian Accounting Standards and the *Corporations Regulations 2001* ; and\n\nb. the financial report also complies with *International Financial Reporting Standards* issued by the IASB as disclosed in Note 1 .\n\n##### *Report on the remuneration report*\n\nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31\n\nDecember 2014. The directors of the company are responsible for the preparation and presentation of the\n\nRemuneration Report in accordance with section 300A of the *Corporations Act 2001* . Our responsibility is to express\n\nan opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing\n\nStandards.\n\n###### Opinion\n\nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December\n\n2014, complies with section 300A of the *Corporations Act 2001* .\n\nErnst & Young\n\nMichael Elliott Partner Sydney 31 March 2015\n\nA member firm of Ernst & Young Global Limited Liability limited by a scheme approved under Professional Standards Legislation\n\n- 108 -",
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- "text": "####### **Information on Directors**\n\n**Michael Damer Hannell**\n\n*Chairman, BSc Eng (Hons), FIEAust*\n\n*Experience*\n\nMike has been a Director of Sundance since March 2006 and chairman of our board of directors since December 2008.\n\nMr. Hannell has over 45 years of experience in the oil and gas industry, initially in the downstream sector and subsequently in\n\nthe upstream sector. His extensive experience has been in a wide range of design and construction, engineering, operations,\n\nexploration and development, marketing and commercial, financial and corporate areas in the United States, United Kingdom,\n\ncontinental Europe and Australia at the senior executive level with Mobil Oil (now Exxon) and Santos Ltd. Mr. Hannell recently\n\nfinished his term as the chairman of Rees Operations Pty Ltd (doing business as Milford Industries Pty Ltd), an Australian\n\nautomotive components and transportation container manufacturer and supplier. He has also held a number of other board\n\nappointments including the chairman of Sydac Pty Ltd, a designer and producer of simulation training products for industry.\n\nMr. Hannell has also served on a number of not-for-profit boards, with appointments as president of the Adelaide-based\n\nChamber of Mines and Energy, president of Business SA (formerly the South Australian Chamber of Commerce and Industry),\n\nchairman of the Investigator Science and Technology Centre, chairman of the Adelaide Graduate School of Business, and a\n\nmember of the South Australian Legal Practitioners Conduct Board. Mr. Hannell holds a Bachelor of Science degree in\n\nEngineering (with Honors) from the University of London and is a Fellow of the Institution of Engineers Australia.\n\n*Interest in Shares* :\n\n1,059,000 ordinary shares in Sundance Energy Australia Limited\n\n*Special Responsibilities* :\n\n-Chairman of the Board of Directors\n\n-Chairman of the Remuneration and Nominations Committee\n\n-Member of the Audit and Risk Management Committee\n\n-Member of the Reserves Committee\n\n*Other Directorships* :\n\nNil\n\n**Eric P. McCrady**\n\n*Director, BS in Business* Administration\n\n*Experience*\n\nEric has been our Chief Executive Officer since April 2011 and Managing Director of our board of directors since November\n\n2011. He also served as our Chief Financial Officer from June 2010 until becoming Chief Executive Officer in 2011. Mr. McCrady\n\nhas served in numerous positions in the energy, private investment and retail industries. From 2004 to 2010, Mr. McCrady was\n\nemployed by The Broe Group, a private investment firm, in various financial and executive management positions across a\n\nvariety of industry investment platforms, including energy, transportation and real estate. From 1997 to 2003, Mr. McCrady\n\nwas employed by American Coin Merchandising, Inc. in various corporate finance roles. Mr. McCrady holds a degree in Business\n\nAdministration from the University of Colorado, Boulder.\n\n*Interest in Shares, Restricted Share Units and Options:*\n\n1,908,581 Ordinary Shares in Sundance Energy Australia Limited and 791,561 Restricted Share Units\n\n*Special Responsibilities* :\n\nManaging Director and Chief Executive Officer of the Company\n\n*Other Directorships* :\n\nNil",
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- "references": {
- "source_file": "ASX_SEA_2014.pdf",
- "query": "I am the CFO of Sundance Energy, will my base increase in 2015 as it did in 2014?",
- "target_page": 31,
- "target_passage": "No increases to Managing Director’s or KMP’s base salary",
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- "text": "##### * **Dear Fellow Shareholders,** *\n\n##### *I am pleased to present Sundance Energy Australia Limited’s*\n\n##### *Annual Report for the 12 months ended 31 December 2014. It*\n\n##### *has been another year of significant progress for Sundance*\n\n##### *across our portfolio of liquids rich oil and gas assets in the US.*\n\nThe Company’s strategic focus on growing production, cash flows and reserves from\n\nlarge, repeatable resource plays in North America continues to deliver positive results\n\nwith growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston\n\nBasin in North Dakota for $51 million which realised an internal rate of return of 45 percent;\n\nand also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado\n\nfor $114 million which realised an internal rate of return of 104 percent. These divestitures\n\nof smaller, less scalable positions enabled us to focus on developing and growing our\n\nassets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year\n\nand continuing into 2015, the operational performance and focused, value-adding\n\ntransactions during the past year have positioned the Company very favourably for\n\nfuture growth in net asset value and shareholder returns.\n\n####### **A year of growing production, cash flow and reserves**\n\nIn line with our strategy we continued to increase the level of company operated assets,\n\nand successfully maintained a very strong focus on optimising our operations and reducing\n\ncosts. This resulted in an impressive improvement in well performance combined with a\n\ntop tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production\n\nof 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028\n\nBOEPD in December 2013 and an average annual production of 6,635 BOEPD compared\n\nto 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily\n\nin the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High\n\nvalue oil comprised approximately 69 percent of our total 2014 annual production\n\nand production from Sundance-operated projects accounted for 89 percent of total\n\nproduction for the year.\n\nCorresponding with the growth in annual production, the Company’s full year revenues\n\nincreased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company’s development program also generated significant growth in Constant Case\n\nreserves during the year. More details are contained elsewhere in this Annual Report,\n\nbut in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1\n\nMBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6\n\nMBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to\n\nmainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will\n\nenable us to maintain our low leverage profile, which was approximately 1.03x debt to\n\nAdjusted EBITDAX at year end, and focus on growing our drilling inventory in an environ-\n\nment with less competition for leases and small acquisitions. Liquidity was $84 million at\n\nyear end, with a borrowing base redetermination in 2015 expected to materially increase\n\ndebt availability if the use of such funds is justified in line with our strategy.\n\n####### **The Eagle Ford - driving value and production growth**\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the\n\nbasin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014\n\nwhich includes the acquisition of approximately 18,000 net acreage in 2014. By the end of\n\nthe first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence\n\nin this prolific oil and gas region has been driving significant value for the Company and\n\nour shareholders, and continues to form our priority focus for development and acreage\n\ngrowth in the coming years.\n\n## **CHAIRMAN’S LETTER**\n\n**2**\n\n*Despite the reduction in*\n\n*crude oil and liquids*\n\n*prices towards the end of*\n\n*the year and continuing*\n\n*into 2015, the opertional*\n\n*performance and focused,*\n\n*value-adding transactions*\n\n*during the past year have*\n\n*positioned the Company*\n\n*very favourably for future*\n\n*growth in net asset value*\n\n*and shareholder returns.*",
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- "text": "##### * **Dear Fellow Shareholders,** *\n\n## * **2014 Review** * *—2014 was a year of stark economic contrasts*\n\n##### *in our industry. During the first half as in the past several years,*\n\n##### *historically volatile West Texas Intermediate oil prices seemed*\n\n##### *range bound between $80 and $110 with geopolitical events*\n\n##### *driving prices towards the ceiling and demand risks pushing*\n\n##### *prices towards the floor of the range.*\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap\n\nand plentiful debt, on horizontal drilling and completions to drive production growth\n\nwhile making material strategic acquisitions in order to increase their long-term\n\nexposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point\n\nwhere, in our view, risk adjusted returns on new acquisitions were threatening cyclical\n\nlows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n~$50 million in current period gains while freeing up\n\n~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth\n\nand cash flow with only about $75 million reinvested in\n\nacquiring oil and gas leases and producing properties. This\n\nresulted in our production increasing from 5,028 BOEPD\n\nto 9,434 BOEPD by December 2014 and full year EBITDAX\n\nincreasing $73.8 million to $126.4 million in 2014. Had\n\nprices stayed steady, we likely would have generated\n\nearnings before income taxes of over $85 million and a\n\nreturn on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford\n\nformation in our Logan County, Oklahoma assets. We viewed this relatively modest, but\n\nhigher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately,\n\nwe met with mixed success in our appraisal activities proving that in today’s onshore\n\nUS oil and gas industry that the best absolute returns are generated by drilling in proved\n\nregions. There are plenty of solid opportunities to efficiently grow the business without\n\nexposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the\n\npricing environment come crashing down around us. The market became fundamentally\n\nunbalanced, driving prices down almost 50% and rendering material portions of global\n\noil and gas development uneconomic.\n\nOur peers went from talking about their growth prospects to fretting about cash costs\n\nand liquidity, a stark contrast from the go-go growth times which existed in the first half\n\nof the year. This shift in industry strategy has now come in line with our general business\n\nphilosophy — in the resource space, low-cost, low debt businesses will survive and thrive\n\nacross cycles; and, relative to our US onshore peer group, Sundance boasts a top 15%\n\ncost structure and balance sheet.\n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies:\n\n1) investment in a leading technical team that is encouraged to take reasonable risks to\n\nimprove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as\n\ndemonstrated by our consistent track record of divesting assets that don’t fit our strategic\n\nobjectives or promise lower forward return profiles.\n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and\n\nthus generates good returns, even in a low price environment. Because of these character-\n\nistics, the majority of our forward capital is expected to be invested generating strong\n\ngrowth and shareholder returns in the Eagle Ford.\n\nWith mixed appraisal results in the Woodford, Sundance’s Mississippian/Woodford\n\nposition generally requires higher prices to meet our hurdle rates. Because of the mixed\n\nWoodford results, higher overall unit costs, and depressed pricing at year end, we\n\nrecognized an impairment charge of ~$60 million on these assets at year 2014. Had\n\nprices maintained their strength, we likely would have been in a position to recover our\n\ninvestment from these assets.\n\n**CEO’S REPORT**\n\n**4**\n\n**Sundance’s Performance versus the ASX 200**\n\n**ANNUAL PERCENTAGE CHANGE**\n\nIN 2P PV10\n\n(NET ASSET VALUE) IN SUNDANCE\n\n**YEAR** PER DEBT ADJUSTED SHARE PRICE PER SHARE IN ASX200\n\n2014 21.6% -48.0% 1.1%\n\n2013 63.3% 29.9% 15.1%\n\n2012 -15.6% 87.8% 14.6%\n\n2011 59.7% -44.6% -14.5%",
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- "text": "**3**\n\nAt year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford\n\nacreage where we continue to pursue operational and drilling efficiencies, opportunities\n\nto further improve well economics by improving recoveries and reducing costs. In 2014\n\nthis included a switch to pad drilling with zipper fracs and new completion techniques\n\nthat have provided significant upside in production.\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance\n\nat 7,850 - 8,500 BOEPD, an increase from the previous year of some 13 - 17 percent,\n\nbut a target that we believe is achievable while maintaining acceptable levels of liquidity\n\ngiven our demonstrated abilities and growing footprint in the Eagle Ford.\n\n####### **Safety and Environment**\n\nSundance has a strong culture throughout the organisation of ensuring that high standards\n\nof safety are maintained and that our operations are conducted in an environmentally\n\nresponsible way. During 2014 our comprehensive safety program was enhanced and\n\nfurther improvements will be a strong focus throughout 2015.\n\n####### **A strong financial position**\n\nSundance is well placed for future growth in the Eagle Ford. The Company has a strong\n\nbalance sheet to withstand the current low oil price environment, and our sound financial\n\nmanagement strategy has seen the Company well supported by both new and existing\n\ninvestors in Australia and internationally.\n\nWe expect that Sundance will grow organically and also through further leasing or\n\nbolt-on acquisitions in our core Eagle Ford focus area within our current, conservative\n\nbalance sheet parameters.\n\n####### **Positive outlook for 2015**\n\nDespite the current oil pricing scenario, Sundance’s medium-to-long term growth\n\ntrajectory looks very positive.\n\nWe can demonstrate this through:\n\n- A track record of capital efficient growth\n\n- A track record of value creation\n\n- Being a low cost/high margin operator\n\n- Having top tier Eagle Ford assets with an extensive drilling inventory\n\n- Having a clean balance sheet\n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index,\n\nand with the increasing interest and support from institutional and retail investors. I believe\n\nthat Sundance will deliver significant long-term value from our assets for our shareholders.\n\n####### **Thank you for your support**\n\nWe have had a busy year at Sundance and I would like to recognise the efforts and valued\n\ncontribution of the Board of Directors, management team and all staff and contractors of\n\nthe Company in helping us achieve our strategic goals. I am confident that we have the\n\nright team and excellent assets in place to execute our clear and focused strategy that we\n\nexpect to deliver significant value for our shareholders.\n\nOn behalf of the Board and Company, I would like to thank our shareholders for your\n\nstrong support of the Company throughout the year. We are committed to delivering\n\nlong-term value for our shareholders and I look forward to reporting over the rest of the\n\ncoming year on the continued value creation and growth of Sundance.\n\nYours sincerely,\n\n**M IKE H ANNELL**\n\n*Chairman*\n\n*The Company has a*\n\n*strong balance sheet to*\n\n*withstand the current low*\n\n*oil price environment,*\n\n*and our sound financial*\n\n*management strategy*\n\n*has seen the Company*\n\n*well supported by*\n\n*both new and existing*\n\n*investors in Australia*\n\n*and internationally.*",
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- "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n####### **NOTE 22 - CREDIT FACILITIES continued**\n\nThe principal amount of the loans borrowed under our Junior Credit Facility is due in full on the maturity date.\n\nInterest on the Junior Credit Facility accrues at a rate equal to the greater of (i) 8.50% or (ii) a base rate (being, at\n\nour option, either (a) LIBOR for the applicable interest period (adjusted for Eurodollar Reserve Requirements) or (b)\n\nthe greatest of (x) the prime rate announced by Wells Fargo Bank, N.A., (y) the federal funds rate plus 0.50% and (z)\n\none-month adjusted LIBOR plus 1.00%), plus a margin of either 6.5% or 7.5%, based on the base rate selected.\n\nThe Company is also required under our Junior Credit Facility to maintain the following financial ratios:\n\n- a current ratio, consisting of consolidated current assets including undrawn borrowing capacity to\n\nconsolidated current liabilities, of not less than 1.0 to 1.0 as of the last day of any fiscal quarter;\n\n- a maximum leverage ratio, consisting of consolidated debt to adjusted consolidated EBITDAX (as defined\n\nin the Junior Credit Facility), of not greater than 4.5 to 1.0 as of the last day of any fiscal quarter\n\n(beginning 30 September 2013); and\n\n- an asset coverage ratio, consisting of PV10 to consolidated debt, of not less than 1.5 to 1.0, as of certain\n\ntest dates.\n\nFor the years ended 31 December 2014 and 2013, the Company capitalised $0.7 million and $0.3 million,\n\nrespectively, of financing costs related to the Junior Credit Facility, which offset the principal balance. As at 31\n\nDecember 2014 there was $35.0 million outstanding under the Company’s Junior Credit Facility. As at 31 December\n\n2014, the Company was in compliance with all restrictive financial and other covenants under the Junior Credit\n\nFacility.\n\n####### **Senior Credit Facility**\n\nOn 31 December 2012, Sundance Energy entered into a credit agreement with Wells Fargo Bank, N.A. (the “Senior\n\nCredit Facility”), pursuant to which up to $300 million is available on a revolving basis. The borrowing base under\n\nthe Senior Credit Facility is determined by reference to the value of the Company’s proved reserves. The agreement\n\nspecifies a semi-annual borrowing base redetermination and the Company can request two additional\n\nredeterminations each year. The borrowing capacity was increased from prior year to $110 million as at 31\n\nDecember 2014 based on Company reserves as at 31 December 2014. As at 31 December 2014, the Company had\n\n$15 million undrawn on the Senior Credit Facility. In conjunction with the increase in the borrowing base, the\n\nCompany has expanded the syndicate of banks under the Senior Credit Facility. With Wells Fargo as administrative\n\nagent, Bank of America Merrill Lynch and the Bank of Nova Scotia have now joined the banking group.\n\nInterest on borrowed funds accrue, at the Company’s option, of i) LIBOR plus a margin that ranges from 175 to 275\n\nbasis points or ii) the Base Rate, defined as a rate equal to the highest of (a) the Federal Funds Rate plus ½ of 1%, (b)\n\nthe Prime Rate, or (c) LIBOR plus a margin that ranges from 75 to 175 basis points. The applicable margin varies\n\ndepending on the amount drawn. The Company also pays a commitment that ranges from 37.5 to 50 basis points\n\non the undrawn balance of the borrowing base. The agreement has a five-year term and contains both negative and\n\naffirmative covenants, including minimum current ratio and maximum leverage ratio requirements consistent with\n\nthe Junior Credit Facility’s. Certain development and production assets are pledged as collateral and the facility is\n\nguaranteed by the Parent Company.\n\nFor the years ended 31 December 2014 and 2013, the Company capitalised nil and $0.2 million, respectively, of\n\nfinancing costs related to the Senior Credit Facility, which offset the principal balance. As at 31 December 2014 there\n\nwas $95.0 million outstanding under the Company’s Senior Credit Facility. As at 31 December 2014, the Company\n\nwas in compliance with all restrictive financial and other covenants under the Senior Credit Facility.\n\nThe Company capitalised $3.4 million and $1.3 million of interest expense during the years ended 31 December\n\n2014 and 2013, respectively.\n\n- 87 -",
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- "text": "###### Opinion\n\nIn our opinion:\n\na. the financial report of Sundance Energy Australia is in accordance with the *Corporations Act 2001* , including:\n\ni giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and of its performance for the year ended on that date; and\n\nii complying with Australian Accounting Standards and the *Corporations Regulations 2001* ; and\n\nb. the financial report also complies with *International Financial Reporting Standards* issued by the IASB as disclosed in Note 1 .\n\n##### *Report on the remuneration report*\n\nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31\n\nDecember 2014. The directors of the company are responsible for the preparation and presentation of the\n\nRemuneration Report in accordance with section 300A of the *Corporations Act 2001* . Our responsibility is to express\n\nan opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing\n\nStandards.\n\n###### Opinion\n\nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December\n\n2014, complies with section 300A of the *Corporations Act 2001* .\n\nErnst & Young\n\nMichael Elliott Partner Sydney 31 March 2015\n\nA member firm of Ernst & Young Global Limited Liability limited by a scheme approved under Professional Standards Legislation\n\n- 108 -",
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- "text": "####### **Corporate Overview and Strategy**\n\nSundance Energy Australia Limited (ASX: SEA) is an\n\nonshore oil and natural gas company focused on the\n\nexploration, development and production of large,\n\nrepeatable resource plays in North America. The Company’s\n\noil and natural gas properties are located in premier U.S.\n\noil and natural gas basins, and its current operational\n\nactivities are focused in south Texas targeting the Eagle\n\nFord formation (‘‘Eagle Ford’’) and north central Oklahoma\n\ntargeting the Mississippian and Woodford formations\n\n(‘‘Mississippian/Woodford’’).\n\nThe Company utilises its U.S.-based management and\n\ntechnical team to appraise, develop, produce and grow its\n\nportfolio of assets. The Company’s strategy focuses on\n\ngenerating cash flow from its existing production base,\n\ndeveloping assets where it is the operator and has high\n\nworking interests, exploring for additional resources\n\nwithin its existing basins and pursuing strategic merger\n\nand acquisition opportunities, which positions it to\n\ncontrol the pace of its development and the allocation\n\nof capital resources.\n\n####### **Contents**\n\nPerformance Summary .......................................................1\n\nChairman’s Letter................................................................2\n\nManaging Director’s Letter..................................................4\n\nFinancial Overview.............................................................6\n\nOperations Overview..........................................................8\n\nEagle Ford.........................................................................10\n\nGreater Anadarko .............................................................12\n\nDirectors’ Report...............................................................15\n\nRemuneration Report .......................................................28\n\nAuditor’s Independence Declaration.................................45\n\nCorporate Governance......................................................46\n\nFinancial Information.......................................................54\n\nDirectors’ Declaration .....................................................106\n\nAuditor’s Report..............................................................107\n\nAdditional Information...................................................109\n\nCorporate Information....................................................111\n\nForward-Looking Statements .........................................111\n\nCompetent Persons Statement........................................111\n\n####### **Abbreviations & Definitions**\n\n**1P Reserves** —proved reserves which have at least a 90%\n\nprobability that the quantities actually recovered will equal or\n\nexceed the estimate\n\n**2P Reserves** —proved plus probable reserves which have at\n\nleast a 50% probability that the quantities actually recovered\n\nwill equal or exceed the estimate\n\n**3P Reserves** —proved plus probable plus possible reserves\n\nwhich have at least a 10% probability that the quantities\n\nactually recovered will equal or exceed the estimate\n\n**Enterprise Value or EV** —market capitalisation less cash\n\nplus debt\n\n**PV10** —discounted cash flows of the Company’s reserves\n\nusing a 10% discount factor\n\n**Bbl** —one barrel of oil\n\n**BOE** —a barrel of oil equivalent, using the ratio of six Mcf of\n\nnatural gas to one Bbl of crude oil\n\n**BOEPD** —barrels of oil equivalent per day\n\n**Constant Case** —the reserve report case using first of month\n\naverage pricing for the trailing 12 months held constant\n\nthroughout the life of the reserves as prescribed by the US\n\nSecurities and Exchange Commission (SEC)\n\n**MBOE** —a thousand barrels of oil equivalent\n\n**MMBOE** —a million barrels of oil equivalent\n\n**MBbl** —a thousand barrels of crude oil\n\n**Mcf** —one thousand cubic feet of natural gas\n\n**MMcf** —one million cubic feet of natural gas\n\n**M** — when used with $ equals millions\n\n**Net Acres** —gross acres multiplied by the Company’s\n\nworking interest\n\n**Net Wells** —gross wells multiplied by the Company’s\n\nworking interest\n\n**PDP** —proved developed producing reserves\n\n**PUD** —proved undeveloped reserves\n\n**PV/I** —net change in the proved PV10 of the constant case\n\nreserve report divided by development capital expenditures\n\nduring the period under consideration less proceeds\n\nfrom divestitures\n\n**ROCE** —return on capital employed defined as earnings\n\nbefore interest and taxes divided by assets minus\n\n## current liabilities\n\n*One barrel of oil is the energy equivalent of six Mcf of*\n\n*natural gas.*\n\n*All oil and gas quantity and revenue amounts presented in*\n\n*this report are net of royalties.*\n\n* **All currency amounts presented in this report are shown in** *\n\n* **US dollars except per share amounts which are presented in** *\n\n* **Australian dollars or unless otherwise noted by “A$”, which** *\n\n* **represents Australian dollars.** *",
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- "text": "short-term incentives, long-term incentives, benefits and perquisites. Amounts paid to Meridian for these services during fiscal\n\nyear 2014 was di minimis. Meridian did not provide any other services to the Company.\n\nIn order to ensure that any remuneration recommendations made by Meridian were free from undue influence by management,\n\nthe Remuneration and Nominations Committee engaged Meridian and any advice, work or recommendations made by Meridian\n\nwere provided to the committee chairman.\n\n*Elements of Remuneration*\n\n| Component Description |\n|:---|\n| Cash Base Salary (Fixed) Competitive pay to attract and retain talented executives. |\n| Remuneration Short-Term Incentives (Performance Based) Annual incentive plan designed to provide executives with an opportunity to earn an annual cash incentive based on Company financial and operational performance. |\n| Equity Remuneration Long-Term Incentives (Performance Based) Restricted share awards that are tied to achievement of specific performance metrics, intended to reward strong, sustained underlying share value, and reward increasing shareholder value. Equity awards further align the interests of our executives with those of our shareholders. |\n| Other Benefits Health and Welfare Benefit Plans (Other) Executives are eligible to participate in health and welfare benefit plans generally available to other employees. |\n\n*Base Salary*\n\nBase salaries for executives recognize their qualifications, experience and responsibilities as well as their unique value and\n\nhistorical contributions to Sundance. In addition to being important to attracting and retaining executives, setting base salaries\n\nat appropriate levels motivates employees to aspire to and accept enlarged opportunities. We do not consider base salaries to\n\nbe part of performance-based remuneration. In setting the amount, the individuals' performance is considered as well as the\n\nlength of time in their current position without a salary increase.\n\n*2013 Base Salaries and 2014 Salary Adjustments*\n\n| Name Title 2014 Salary 2013 Salary % Change Rationale |\n|:---|\n| E. McCrady MD/CEO $370,000 $275,000 35 % Mr. McCrady’s salary was increased effective January 2014 reflecting his significant contribution to our performance and to bring his pay closer to the 25 th percentile of the Company’s U.S. and Australian market peer group. This is Mr. McCrady’s first base pay increase since 2011. |\n| C. Anderson CFO $295,000 $225,000 31 % Ms. Anderson’s salary was increased effective January 2014 to bring her closer to the 50 th percentile of the Company’s U.S. market peer group. This is Ms. Anderson’s first base pay increase since 2011. |\n| G. Ford VP of Exploration and Development $295,000 $230,000 28% Ms. Ford’s salary was increased effective January 2014 to bring her closer to the 50 th percentile of the Company’s U.S. market peer group. This is Ms. Ford’s first base pay increase since 2011. |",
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- "text": "####### **Sundance Energy Australia Limited**\n\nABN 76 112 202 883\n\n####### **Directors**\n\nMichael D. Hannell - *Chairman*\n\nEric McCrady - *Managing Director and CEO*\n\nDamien A. Hannes - *Non-Executive Director*\n\nNeville W. Martin - *Non-Executive Director*\n\nWeldon Holcombe - *Non-Executive Director*\n\n####### **Company Secretary**\n\nDamien Connor\n\n####### **Registered Office**\n\n32 Beulah Road\n\nNorwood SA 5067\n\nPhone: (61 8) 8363 0388\n\nFax: (61 8) 8132 0766\n\nWebsite: www.sundanceenergy.com.au\n\n####### **Corporate Headquarters**\n\n####### **Sundance Energy, Inc.**\n\n633 17th Street, Suite 1950\n\nDenver, CO 80202 USA\n\nPhone: (303) 543-5700\n\nFax: (303) 543-5701\n\nWebsite: www.sundanceenergy.net\n\n####### **Auditors**\n\nErnst & Young\n\nErnst & Young Centre\n\n680 George Street\n\nSydney NSW 2000\n\n####### **Australian Legal Advisors**\n\nBaker & McKenzie\n\nLevel 27, AMP Centre\n\n50 Bridge Street\n\nSydney, NSW 2000\n\nAustralia\n\n####### **Bankers**\n\nNational Australia Bank Limited - Australia\n\nWells Fargo - United States\n\n####### **Share Registry**\n\nComputershare Investor Services Pty Ltd\n\nLevel 5, 115 Grenfell Street\n\nAdelaide SA 5000\n\n####### **Securities Exchange Listing**\n\nAustralian Securities Exchange (ASX)\n\nASX Code: SEA\n\n####### **Forward-Looking Statements**\n\nThis Annual Report includes forward-looking statements.\n\nThese statements relate to Sundance’s expectations, beliefs,\n\nintentions or strategies regarding the future. These statements\n\ncan be identified by the use of words like “anticipate”,\n\n“believe”, “intend”, “estimate”, “expect”, “may”, “plan”,\n\n“project”, “will”, “should”, “seek” and similar words or\n\nexpressions containing same. The forward-looking state-\n\nments reflect the Company’s views and assumptions with\n\nrespect to future events as of the date of this presentation\n\nand are subject to a variety of unpredictable risks, uncertain-\n\nties, and other unknowns. Actual and future results and\n\ntrends could differ materially from those set forth in such\n\nstatements due to various factors, many of which are\n\nbeyond our ability to control or predict. Given these\n\nuncertainties, no one should place undue reliance on any\n\nforward-looking statements attributable to Sundance,\n\nor any of its affiliates or persons acting on its behalf.\n\nAlthough every effort has been made to ensure this report\n\nsets forth a fair and accurate view, we do not undertake\n\nany obligation to update or revise any forward-looking\n\nstatements, whether as a result of new information, future\n\nevents or otherwise.\n\n####### **Competent Persons Statement**\n\nThis report contains information on Sundance Energy’s\n\nreserves and resources which has been reviewed by David\n\nRamsden-Wood, Professional Engineer, who is licensed in\n\nAlberta, Canada and is qualified in accordance with ASX\n\nListing Rule 5.11 and has consented to the inclusion of this\n\ninformation in the form and context in which it appears.\n\nDESIGN BY :\n\nMark Mulvany Graphic Design *(Denver, CO)*\n\nPHOTOGRAPHY BY :\n\nMichael McConnell Photography *(Denver, CO)* www.sundanceenergy.net www.sundanceenergy.com.au",
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- "text": "**NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS**\n\n####### **NOTE 20 - OTHER NON-CURRENT ASSETS**\n\n####### **Year ended 31 December**\n\n## **2014**\n\n####### **US$’000**\n\n## **2013**\n\n####### **US$’000**\n\nEscrow accounts 998 2,000\n\nOther - 19\n\nTotal other non-current assets 998 2,019\n\n####### **NOTE 21 - TRADE AND OTHER PAYABLES AND ACCRUED EXPENSES**\n\n### **2014 2013**\n\n####### **Year ended 31 December US$’000 US$’000**\n\nOil and natural gas property and operating related 117,117 123,938\n\nAdministrative expenses, including salaries and wages 2,077 5,146\n\nTotal trade, other payables and accrued expenses 119,194 129,084\n\nAt 31 December 2013, the Group had payable balances of $16.7 million which was outside normal payment terms,\n\noffset by a receivable balance of $11.7 million to the same creditor company (see Note 12 for additional\n\ninformation). The Company’s remaining Bakken assets were sold to this company in July 2014, for approximately\n\n$14.0 million, including the settlement of the net liability.\n\n####### **NOTE 22 - CREDIT FACILITIES**\n\n### **2014 2013**\n\n####### **Year ended 31 December US$000 US$000**\n\nSenior Credit Facility 95,000 15,000\n\nJunior Credit Facility\n\n35,000 15,000\n\nTotal credit facilities 130,000 30,000\n\nDeferred financing fees (1,195) (859)\n\nTotal credit facilities, net of deferred financing fees\n\n128,805 29,141\n\n####### **Junior Credit Facility**\n\nIn August 2013, Sundance Energy, Inc. (“Sundance Energy”), a wholly owned subsidiary of the Company, entered\n\ninto a second lien credit agreement with Wells Fargo Energy Capital, Inc., as the administrative agent (the “Junior\n\nCredit Facility”), which provides for term loans to be made in a series of draws up to $100 million. The Junior Credit\n\nFacility matures in June 2018 and is secured by a second priority lien on substantially all of the Company’s assets.\n\nUpon entering into the Junior Credit Facility, the Company immediately borrowed $15 million pursuant to the terms\n\nof the Junior Credit Facility and paid down the outstanding principal of the Senior Credit Facility. In May 2014, the\n\nCompany’s borrowing capacity increased to $35 million. As at 31 December 2014, the borrowing capacity under the\n\nJunior Credit Facility remains at $35 million.",
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- "text": "The following table presents a reconciliation of the profit (loss) attributable to owners of Sundance to Adjusted EBITDAX:\n\n**Year ended 31 December**\n\n**(In US$‘000s) 2014 2013**\n\n**IFRS Profit Loss Reconciliation to Adjusted EBITDAX:**\n\nProfit attributable to owners of Sundance .................................................. 15,321 15,942\n\nIncome tax (benefit)/expense ...................................................................... (841) 5,567\n\nFinance costs, net of amounts capitalised and interest received ................ 494 (232)\n\n(Gain) Loss on derivative financial instruments ........................................... (10,792) 554\n\nSettlement of derivative financial instruments............................................ 1,150 282\n\nDepreciation and amortisation expense ...................................................... 85,584 36,225\n\nImpairment of non-current assets ............................................................... 71,212 -\n\nExploration expense..................................................................................... 10,934 -\n\nStock compensation, value of services ........................................................ 1,915 1,590\n\nGain on sale of non-current assets .............................................................. (48,604) (7,335)\n\n**Adjusted EBITDAX ....................................................................................... 126,373 52,594**\n\n**EBITDAX Margin .......................................................................................... 79% 62%**\n\n####### * **Exploration and Development** *\n\nFor the month of December 2014, the Company achieved record production of 9,434 Boe/d, which included 869 Boe/d of\n\nflared gas from wells waiting to hook-up to pipelines. The December 2014 exit rate increased 88% over prior year’s exit rate\n\nof 5,028 Boe/d. During the year ended 31 December 2014, the Company produced 2.4 MMBoe, which included 0.2 MMBoe\n\nof flared gas. This result was more than double the production in prior year, primarily as a result of increased drilling activity\n\nand production in the Eagle Ford Basin.\n\nThe Company’s exploration and development activities are focused in the Eagle Ford and the Mississippian/Woodford\n\nFormations. Costs incurred for development and production expenditures for the Eagle Ford and Mississippian/Woodford\n\nFormations during the year ended 31 December 2014 totalled $324.0 million, which included $295.9 million of drilling and\n\ndevelopment expenditure related to our 2014 plan, $3.8 million on infrastructure, and $24.3 million of drilling and\n\ndevelopment expenditure related to our 2015 plan. This investment resulted in the addition of 75 gross (42.7 net) wells into\n\nproduction, including 50 gross (39.5 net) Sundance-operated horizontal wells. An additional 24 gross (13.7 net) wells were\n\ndrilling, being prepared for fracture stimulation or testing as at 31 December 2014, an increase of 7 gross (3.0 net) compared\n\nto the beginning of the year.\n\n*Acquisitions*\n\nIn April 2014, the Company acquired approximately 4,800 net acres in the Eagle Ford for an initial purchase price of\n\napproximately $10.5 million and two separate earn out payments due upon commencement of drilling in each of three blocks\n\nof acreage (total for all three blocks of $7.7 million) and payout of the first two wells drilled on each block of the acreage\n\n($7.7 million). The term of the agreement is two years and provides a one year extension for $500 per acre extended. This\n\nacquired acreage is adjacent to our existing acreage in McMullen County, Texas.\n\nIn July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South\n\nTexas, for approximately $36 million and a commitment to drill four Eagle Ford wells. The Company also has the option, at its\n\nsole discretion, to acquire the Seller’s remaining working interest for an additional $45 million for the earlier of one year from\n\nclosing the acquisition or six months from first production of hydrocarbons.",
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- "source_file": "sg247938.pdf",
- "query": "What are the physical requirements for installing the Storwize V7000?",
- "target_page": 70,
- "target_passage": "You must consider several key factors when you are planning the physical site of a Storwize V7000 installation. The physical site must have the following characteristics: \u0002 Meets power, cooling, and location requirements of the Storwize V7000 nodes. \u0002 Has two separate power sources. \u0002 Sufficient rack space exists for the installation of controller and disk expansion enclosures. \u0002 Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not exceed maximum power rating of the rack. For more information about the power and environmental requirements, see this website",
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- "text": "**48** Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\nWhen you plan deployment of Storwize V7000, identify networking technologies that you will\n\nuse.\n\n### **3.4 Physical planning**\n\nYou must consider several key factors when you are planning the physical site of a Storwize\n\nV7000 installation. The physical site must have the following characteristics:\n\n� Meets power, cooling, and location requirements of the Storwize V7000 nodes.\n\n� Has two separate power sources.\n\n� Sufficient rack space exists for the installation of controller and disk expansion enclosures.\n\n� Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not\n\nexceed maximum power rating of the rack. For more information about the power and\n\nenvironmental requirements, see [this website](https://ibm.biz/BdjGTt) .\n\nYour Storwize V7000 2076-524 and Storwize V7000 2076-624 order includes a printed copy\n\nof the IBM Storwize V7000 Gen2 and Gen2+ Quick Installation Guide, which also provides\n\ninformation about environmental and power requirements.\n\n#### **3.4.1 Cabling**\n\nCreate a cable connection table that follows your environment’s documentation procedure to\n\ntrack all of the following connections that are required for the setup:\n\n� Power\n\n� Ethernet\n\n� SAS\n\n� iSCSI or Fibre Channel over Ethernet (FCoE) connections\n\n� Switch ports (FC, Ethernet, and FCoE)\n\nDistribute your disk expansion enclosures evenly between control enclosures, nodes within\n\ncontrol enclosures, and SAS channels within nodes. For more information, search for “SAS\n\ncabling guidelines” at this [IBM Knowledge Center page](https://www.ibm.com/support/knowledgecenter/ST3FR7) .\n\nWhen planning SAN cabling make sure that your physical topology allows you to observe\n\nzoning rules and recommendations.\n\nIf the data center provides more than one power source, make sure that you use that capacity\n\nwhen planning power cabling for your system.\n\n### **3.5 Planning IP connectivity**\n\nSystem management is performed through an embedded graphical user interface (GUI) that\n\nis running on the nodes. To access the management GUI, direct a web browser to the system\n\nmanagement IP address.\n\n**Note:** With Spectrum Virtualize V8.1.1.1 and later, RDMA (iSER) is supported by 25 Gb\n\nEthernet iSCSI adapter cards with V7000 Gen2+ only. For more information, see 3.7.4,\n\n“iSCSI Extensions for RDMA (iSER)” on page 62.",
- "page_start": 69,
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- "text": "- Prerequisites:\n\n- Storwize V7000 and the external storage system are connected to the same SAN\n\nfabric.\n\n- If there are VMware ESX hosts involved in the data migration, the VMware ESX\n\nhosts are set to allow volume copies to be recognized.\n\nFor more information about the Storage Migration prerequisites, see 9.1.2, “Prerequisites”\n\non page 387.\n\nIf all restrictions are satisfied and prerequisites are met, select all of the options and click\n\n**Next** , as shown in Figure 9-4.\n\n*Figure 9-4 Restrictions and prerequisites confirmation*",
- "page_start": 411,
- "page_end": 411,
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- "text": "#### **13.4.4 Updating IBM Storwize V7000 drive code**\n\nAfter completing the Storwize V7000 software update as described in 13.4, “Software update”\n\non page 687, the firmware of the Storwize V7000 drives also must be updated. The upgrade\n\ntest utility identified that downlevel drives are in the system, as shown in Figure 13-25.\n\nHowever, this fact does not stop the system software from being performed.\n\n*Figure 13-25 Upgrade test utility drive firmware warning*\n\nTo update the IBM Storwize V7000 drive code, complete the following steps:\n\n1. Download the latest Drive firmware package for [IBM Storwize V7000 from Fix Central](https://ibm.biz/BdY8if) .\n\n2. On the Storwize V7000 GUI, navigate to **Pools** → **Internal Storage** and select **All**\n\n**Internal.**",
- "page_start": 717,
- "page_end": 717,
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- {
- "text": "**94** Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\n2. The welcome window opens, as shown in Figure 4-8. Verify the prerequisites and click\n\n**Next** .\n\n*Figure 4-8 System setup: Welcome*",
- "page_start": 115,
- "page_end": 115,
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- {
- "text": "**88** Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\n### **4.1 Prerequisites**\n\nBefore initializing and setting up the Storwize V7000, ensure that the following prerequisites\n\nare met:\n\n� The installation of physical components is planned to fulfill all requirements and correctly\n\nexecuted, including:\n\n- Control enclosures are physically installed with the correct cabling.\n\n- The Ethernet and Fibre Channel connectivity are correctly configured.\n\n- Expansion enclosures, if available, are physically installed and attached to the Storwize\n\nV7000 nodes in the I/O group that is meant to use them.\n\n- The Storwize V7000 control enclosures and optional expansion enclosures are\n\npowered on.\n\n� Your web browser is supported and has the appropriate settings enabled. For more\n\ninformation about supported browsers and settings, see [IBM Knowledge Center](https://ibm.biz/BdYTum) .\n\n� You have the required information available, including:\n\n- For IPv4 addressing (if used):\n\n- Cluster IPv4 address, which is the address that is used for the management of the\n\nsystem.\n\n- Service IPv4 addresses, which are used to access node service interfaces. You\n\nneed one address for each node.\n\n- IPv4 subnet mask for each subnet used.\n\n- IPv4 gateway for each subnet used.\n\n- For IPv6 addressing (if used):\n\n- Cluster IPv6 address, which is used for the management of the system.\n\n- Service IPv6 addresses, which are used to access node service interfaces. You\n\nneed one address for each node.\n\n- IPv6 prefix for each subnet used.\n\n- IPv6 gateway. for each subnet used.\n\n- The licenses that enable you to use licensed functions, which include the licenses that\n\nindicate your entitlement to use licensed functions:\n\n- Remote Copy\n\n- External Virtualization\n\n- Real-time Compression\n\n- Transparent Cloud Tiering\n\n- Physical location of the system.\n\n- The name, email address, and phone number of the storage administrator who IBM\n\ncan contact if necessary.\n\n- The Network Time Protocol (NTP) server IP address (optional, but recommended),\n\nwhich is necessary only if you want to use an NTP service instead of manually entering\n\ndate and time.\n\n- The Simple Mail Transfer Protocol (SMTP) email server IP address (optional), which is\n\nnecessary only if you want to enable *call home* .\n\n- The IP addresses for Remote Support Proxy Servers (optional), which are necessary\n\nonly if you want to enable Support Assistance.",
- "page_start": 109,
- "page_end": 109,
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- "text": "**44** Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\n### **3.1 General planning rules**\n\nTo maximize the benefit that is realized from the Storwize V7000, pre-installation planning\n\nmust include several important steps. These steps ensure that the Storwize V7000 provides\n\nthe best possible performance, reliability, and ease of management for your application\n\nneeds. The correct configuration also helps minimize downtime by avoiding changes to the\n\nStorwize V7000 and the storage area network (SAN) environment to meet future growth\n\nneeds.\n\nThis book is *not* intended to provide in-depth information about the described topics. For an\n\nenhanced analysis of advanced topics, see *IBM System Storage SAN Volume Controller and*\n\n*Storwize V7000 Best Practices and Performance Guidelines* , [SG24-7521](http://www.redbooks.ibm.com/abstracts/sg247521.html) .\n\n#### **3.1.1 Basic planning flow**\n\nThe general rule of planning is to define your goals, and then, plan a solution that can be\n\nshown to meet these goals. Always remember to verify that each element of your\n\nconfiguration is supported.\n\nConsider the following points when planning for the Storwize V7000:\n\n� Collect and document the number of hosts (application servers) to attach to the Storwize\n\nV7000. Identify the traffic profile activity (read or write, sequential, or random), and the\n\nperformance requirements (bandwidth and input/output [I/O] operations per second\n\n[IOPS]) for each host.\n\n� Decide whether you are going to use Storwize V7000 to virtualize external storage. If you\n\ndo, collect and document the following items:\n\n- Information on the back-end storage that exists in the environment and is intended to\n\nbe virtualized by the Storwize V7000.\n\n- Whether you must configure image mode volumes. If you want to use image mode\n\nvolumes, decide whether and how you plan to migrate them into managed mode\n\nvolumes.\n\n- Information about the planned new back-end storage to be virtualized by the Storwize\n\nV7000.\n\n- The required virtual storage capacity for fully provisioned and space-efficient (SE)\n\nvolumes.\n\n- The required storage capacity for:\n\n- Local mirror copy (volume mirroring)\n\n- Point-in-time copy (IBM FlashCopy)\n\n- Remote copy (Metro Mirror and Global Mirror)\n\n- Compressed volumes\n\n- Encrypted volumes\n\n**Important:** At the time of this writing, the statements that are provided in this book are\n\naccurate but can change. Always verify any statements that are made in this book with the\n\nIBM Storwize V7000 supported hardware list, device driver, firmware, and recommended\n\nsoftware levels information that are available at the following websites:\n\n� [Support Information for Storwize V7000](http://www.ibm.com/support/docview.wss?uid=ssg1S1003741)\n\n� [IBM System Storage Interoperation Center (SSIC)](https://www.ibm.com/systems/support/storage/ssic/interoperability.wss)",
- "page_start": 65,
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- "text": "**42** Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\n### **2.8 Useful IBM Storwize V7000 websites**\n\nSee the following IBM Storwize V7000 web pages for more information:\n\n� IBM Support page:\n\n[https://www.ibm.com/support/home/product/5402112/IBM_Storwize_V7000_(2076)](https://www.ibm.com/support/home/product/5402112/IBM_Storwize_V7000_(2076))\n\n� IBM Storwize V7000 Unified and IBM Storwize V7000 Systems:\n\n[https://www.ibm.com/support/home/product/5421300/IBM_Storwize_V7000_Unified](https://www.ibm.com/support/home/product/5421300/IBM_Storwize_V7000_Unified)\n\n� IBM Storwize V7000 page support\n\n[http://www-01.ibm.com/support/docview.wss?uid=ssg1S1003741](http://www-01.ibm.com/support/docview.wss?uid=ssg1S1003741)\n\n� Direct attachment of IBM Storwize V7000\n\n[https://www-01.ibm.com/support/docview.wss?uid=ssg1S1005776](https://www-01.ibm.com/support/docview.wss?uid=ssg1S1005776)\n\n� IBM Knowledge Center:\n\n[https://www.ibm.com/support/knowledgecenter/en/ST3FR7_8.2.1/com.ibm.storwize.v7](https://www.ibm.com/support/knowledgecenter/en/ST3FR7_8.2.1/com.ibm.storwize.v7000.821.doc/v7000_ichome.html)\n\n[000.821.doc/v7000_ichome.html](https://www.ibm.com/support/knowledgecenter/en/ST3FR7_8.2.1/com.ibm.storwize.v7000.821.doc/v7000_ichome.html)",
- "page_start": 63,
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- "text": "**12** Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\n� Quick adoption of new technologies. IBM Spectrum Virtualize seamlessly integrates\n\ninvention in storage technologies, such as new array types and new disk vendors.\n\n� Extended high availability (HA). Cross-site virtualization, workload migration, and copy\n\nservices enhance options for deployment of HA scenarios or disaster recovery (DR)\n\nsolutions (IBM SAN Volume Controller Enhanced Stretched Cluster and IBM\n\nHyperSwap®).\n\n### **2.3 IBM Storwize V7000 overview**\n\nIBM Storwize V7000 solution incorporates IBM Spectrum Virtualize software and provides a\n\nmodular storage system that includes the capability to virtualize its internal and external\n\nSAN-attached storage. IBM Storwize V7000 solution is built on IBM Spectrum Virtualize.\n\nIBM Storwize V7000 system provides several configuration options that are aimed at\n\nsimplifying the implementation process. These configuration options conform to different\n\nimplementation scenarios regarding the size of your data center, and SAN and local area\n\nnetwork (LAN) topology. IBM Storwize V7000 system is a clustered, scalable, midrange\n\nstorage system that is easy to deploy and use.\n\nFigure 2-3 shows a high-level overview of IBM Storwize V7000.\n\n*Figure 2-3 IBM Storwize V7000 overview*\n\nThe IBM Spectrum Virtualize software that runs on IBM Storwize V7000 provides a GUI that\n\nenables storage to be deployed quickly and efficiently. The GUI is provisioned by IBM\n\nSpectrum Virtualize code and there is no need for a separate console.\n\nThe management GUI contains a series of preestablished configuration options that are\n\ncalled *presets* , and that use common settings to quickly configure objects on the system.\n\nPresets are available for creating volumes and IBM FlashCopy mappings, and for setting up a\n\nRAID configuration, including traditional RAIDs and the new feature of distributed RAID.",
- "page_start": 33,
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- "text": "© Copyright IBM Corp. 2011, 2018, 2019. All rights reserved. **87**\n\n## **Chapter 4. Initial configuration**\n\nThis chapter describes the initial configuration of the IBM Storwize V7000 system. It provides\n\nstep-by-step instructions about how to create the cluster, define its basic settings, and add\n\nnodes and optional expansion enclosures.\n\nOther features, such as user authentication, secure communications, and local port masking,\n\nare also covered. These features are optional and do not need to be configured during the\n\ninitial configuration.\n\nThis chapter includes the following topics:\n\n� 4.1, “Prerequisites” on page 88\n\n� 4.2, “System initialization” on page 89\n\n� 4.3, “System setup” on page 92\n\n� 4.4, “Configuring user authentication” on page 108\n\n� 4.5, “Configuring secure communications” on page 117\n\n� 4.6, “Configuring local Fibre Channel port masking” on page 121\n\n� 4.7, “Other administrative procedures” on page 124\n\n**4**",
- "page_start": 108,
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- "text": "Chapter 2. System overview **13**\n\nAn IBM Storwize V7000 solution provides a choice of up to 760 disk drives per system or\n\n1024 disk drives per clustered system (by using dense drawers). The solution uses SAS\n\ncables and connectors to attach to the optional expansion enclosures.\n\nThe IBM Storwize V7000 system supports a range of external disk systems similar to what\n\nIBM SAN Volume Controller supports today. A view of an IBM Storwize V7000 control\n\nenclosure is shown in Figure 2-4.\n\n*Figure 2-4 Top-front view of a Storwize V7000 control enclosure*\n\nThe IBM Storwize V7000 solution consists of 1 - 4 control enclosures and optionally, up to 36\n\nexpansion enclosures. It supports the intermixing of the different expansion enclosures. Each\n\nenclosure contains two canisters. Control enclosures contain two node canisters, and\n\nexpansion enclosures contain two expansion canisters.\n\n#### **2.3.1 IBM Storwize V7000 models**\n\nThe IBM Storwize V7000 consists of enclosures and drives. An enclosure contains two\n\ncanisters that are seen as part of the enclosure, although they can be replaced\n\nindependently.\n\nThe IBM Storwize V7000 models are listed in Table 2-1.\n\n*Table 2-1 IBM Storwize V7000 models*\n\n**More information:** For the most up-to-date information about features, benefits, and\n\nspecifications of IBM Storwize V7000 models, see [this web page](https://www.ibm.com/us-en/marketplace/storage-workload) .\n\nThe information in this IBM Redbooks publication is valid at the time of this writing and\n\ncovers IBM Spectrum Virtualize V8.2. As IBM Storwize V7000 matures, expect to see new\n\nfeatures and enhanced specifications.\n\n| Model | Cache | Fibre Channel (FC) / iSCSI / SAS ports | Drive slots | Power supply |\n|:---|:---|:---|:---|:---|\n| 2076-AF1 (with two node canisters Gen2+) | 64, 128, or 256 gigabytes (GB) | 16 x 16 Gb / 6 x 1 Gb + 8x 10 Gb / 4 x 12 Gb | 24 x 2.5-inch (All Flash) | Integrated dual power supplies with battery |",
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- "references": {
- "source_file": "sg247938.pdf",
- "query": "Is '1oijizer--10108453535318919918883384---jhjjzhiuhzrh--14584joiz///KK ' valid for a pool?",
- "target_page": 218,
- "target_passage": "Naming rules: When you choose a name for a pool, the following rules apply: \u0002 Names must begin with a letter. \u0002 The first character cannot be numeric. \u0002 The name can be a maximum of 63 characters. \u0002 Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), underscore (_), period (.), hyphen (-), and space. \u0002 Names must not begin or end with a space. \u0002 Object names must be unique within the object type. For example, you can have a volume that is named ABC and a storage pool that is calledvolumes that are calledvolumes called ABC. \u0002 The default object name is valid (object prefix with an integer). \u0002 Objects can be renamed to their current names",
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- "text": "SNOIlVlIWll HlOM3US ONllVU3dO 08-108-00 Sd3MAVN",
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- "text": "##### *the*\n\n*way.* **Operating Income Revenues**",
- "page_start": 2,
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- "source_file": "NYSE_HIG_2001.pdf"
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- {
- "text": "http://www.legislation.gov.uk/id/uksi/2021/582",
- "page_start": 91,
- "page_end": 91,
- "source_file": "uksi_20210582_en.pdf"
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- "text": "###### Board of Directors",
- "page_start": 29,
- "page_end": 29,
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- "text": "£6.90\n\nUK202004291001 05/2020 19585\n\nhttp://www.legislation.gov.uk/id/uksi/2020/471",
- "page_start": 7,
- "page_end": 7,
- "source_file": "uksi_20200471_en.pdf"
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- "text": "###### Financial Information",
- "page_start": 31,
- "page_end": 31,
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- "text": "### N OT E S\n\n67",
- "page_start": 70,
- "page_end": 70,
- "source_file": "ASX_MRM_2000.pdf"
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- "references": {
- "source_file": "news4.pdf",
- "query": "I want to start a company that automates kitchen tasks, does that sound like a good idea for 2025?",
- "target_page": 1,
- "target_passage": "Smart home automation Smart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.",
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- "text": "## **Artificial intelligence**\n\n**Artificial intelligence** ( **AI** [), in its broadest sense, is intelligence exhibited by machines, particularly](https://en.wikipedia.org/wiki/Machine)\n\n[computer systems. It is a field of research in computer science that develops and studies methods and](https://en.wikipedia.org/wiki/Computer_science)\n\n[software that enable machines to perceive their environment and use learning and intelligence to take](https://en.wikipedia.org/wiki/Machine_learning)\n\nactions that maximize their chances of achieving defined goals. <sup>[1]</sup> Such machines may be called AIs.\n\n[High-profile applications of AI include advanced web search engines (e.g., Google Search);](https://en.wikipedia.org/wiki/Google_Search)\n\n[recommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google](https://en.wikipedia.org/wiki/Google_Assistant)\n\n[Assistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,](https://en.wikipedia.org/wiki/Computational_creativity)\n\n[ChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,](https://en.wikipedia.org/wiki/Go_(game))\n\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\n\napplications, often without being called AI because once something becomes useful enough and common\n\n[enough it's not labeled AI anymore.\"](https://en.wikipedia.org/wiki/AI_effect) <sup>[2][3]</sup>\n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\n\n[traditional goals of AI research include reasoning, knowledge representation, planning, learning, natural](https://en.wikipedia.org/wiki/Natural_language_processing)\n\n[language processing, perception, and support for robotics.](https://en.wikipedia.org/wiki/Robotics) <sup>[a]</sup> [ General intelligence—the ability to complete](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\nany task performed by a human on an at least equal level—is among the field's long-term goals. <sup>[4]</sup> To\n\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\n\n[search and mathematical optimization, formal logic, artificial neural networks, and methods based on](https://en.wikipedia.org/wiki/Artificial_neural_network)\n\n[statistics, operations research, and economics.](https://en.wikipedia.org/wiki/Economics) <sup>[b]</sup> [ AI also draws upon psychology, linguistics, philosophy,](https://en.wikipedia.org/wiki/Philosophy_of_artificial_intelligence)\n\n[neuroscience, and other fields.](https://en.wikipedia.org/wiki/Neuroscience) <sup>[5]</sup>\n\nArtificial intelligence was founded as an academic discipline in 1956, <sup>[6]</sup> and the field went through\n\n[multiple cycles of optimism throughout its history,](https://en.wikipedia.org/wiki/History_of_artificial_intelligence) <sup>[7][8]</sup> followed by periods of disappointment and loss of\n\n[funding, known as AI winters.](https://en.wikipedia.org/wiki/AI_winter) <sup>[9][10]</sup> [ Funding and interest vastly increased after 2012 when deep learning](https://en.wikipedia.org/wiki/Deep_learning)\n\noutperformed previous AI techniques. <sup>[11]</sup> [ This growth accelerated further after 2017 with the transformer](https://en.wikipedia.org/wiki/Transformer_architecture)\n\n[architecture,](https://en.wikipedia.org/wiki/Transformer_architecture) <sup>[12]</sup> and by the early 2020s many billions of dollars were being invested in AI and the field\n\n[experienced rapid ongoing progress in what has become known as the AI boom. The emergence of](https://en.wikipedia.org/wiki/AI_boom)\n\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\n\n[several unintended consequences and harms in the present and raised concerns about the risks of AI and](https://en.wikipedia.org/wiki/AI_risk)\n\n[its long-term effects in the future, prompting discussions about regulatory policies to ensure the safety](https://en.wikipedia.org/wiki/AI_safety)\n\n[and benefits of the technology.](https://en.wikipedia.org/wiki/AI_safety)\n\n### **Goals**",
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- },
- {
- "text": "ISSUE\n\nDecember 2024\n\nCATEGORIES\n\n[Technology & Cybersecurity](https://www.newscanada.com/en/Technology/content)\n\n[Editor's Picks](https://www.newscanada.com/en/editor-picks/content)\n\n[Finance - Personal](https://www.newscanada.com/en/personal-finance/content)\n\n[Home - Interior](https://www.newscanada.com/en/house-home/content)\n\n### [](https://facebook.com/sharer/sharer.php?u=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854) [](https://twitter.com/share?url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&text=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://pinterest.com/pin/create/bookmarklet/?&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&description=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://www.linkedin.com/shareArticle?mini=true&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854)\n\n## **The top AI-powered tech trends in 2025**\n\nwww.newscanada.com\n\nWord Count: 346\n\n[M ed i a A ttach m en ts](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n[View](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From\n\nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and\n\npersonalization.\n\nAI-powered computing\n\nAI-powered computing, such as Intel-powered laptops - or AI PC - is at the forefront of technological\n\nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors\n\n- also known as the brain of the computer - which optimizes performance, enhances security and\n\nprovides a more personalized experience as they learn from your usage patterns. For consumers, this\n\nmeans faster, smarter and more secure computing tailored to your individual needs.\n\nSmart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a\n\nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home\n\nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to\n\nsecurity and entertainment, making your home smarter and more responsive than ever before.\n\nHealth and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications\n\ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and\n\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights,\n\nhelping individuals make informed decisions about their well-being.\n\nFinancial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage\n\nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud\n\ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify\n\ntrends and make more informed financial decisions.\n\nEnhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each\n\nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students\n\nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative\n\ntasks and providing insights into student performance, allowing for more focused and effective\n\nteaching.\n\nLearn more at intel.com/aipc.\n\n−\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
- "page_start": 0,
- "page_end": 0,
- "source_file": "news4.pdf"
- },
- {
- "text": "[models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with](https://en.wikipedia.org/wiki/Hallucination_(artificial_intelligence))\n\n[RLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task](https://en.wikipedia.org/wiki/Chatbot)\n\nin simple text. <sup>[122][123]</sup>\n\n[Current models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and](https://en.wikipedia.org/wiki/Microsoft_Copilot)\n\n[LLaMA.](https://en.wikipedia.org/wiki/LLaMA) <sup>[124]</sup> [ Multimodal GPT models can process different types of data (modalities) such as images,](https://en.wikipedia.org/wiki/Modality_(human%E2%80%93computer_interaction))\n\nvideos, sound, and text. <sup>[125]</sup>\n\n[In the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific](https://en.wikipedia.org/wiki/Graphics_processing_unit)\n\n[enhancements and used with specialized TensorFlow software had replaced previously used central](https://en.wikipedia.org/wiki/Central_processing_unit)\n\n[processing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine](https://en.wikipedia.org/wiki/Machine_learning)\n\n[learning models' training.](https://en.wikipedia.org/wiki/Machine_learning) <sup>[126]</sup> [ Specialized programming languages such as Prolog were used in early AI](https://en.wikipedia.org/wiki/Prolog)\n\nresearch, <sup>[127]</sup> [ but general-purpose programming languages like Python have become predominant.](https://en.wikipedia.org/wiki/Python_(programming_language)) <sup>[128]</sup>\n\n[The transistor density in integrated circuits has been observed to roughly double every 18 months—a](https://en.wikipedia.org/wiki/Integrated_circuit)\n\n[trend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it.](https://en.wikipedia.org/wiki/Gordon_Moore)\n\n[Improvements in GPUs have been even faster.](https://en.wikipedia.org/wiki/GPUs) <sup>[129]</sup>\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including:\n\n[search engines (such as Google Search), targeting online advertisements, recommendation systems](https://en.wikipedia.org/wiki/Recommendation_systems)\n\n[(offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense,](https://en.wikipedia.org/wiki/AdSense)\n\n[Facebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and](https://en.wikipedia.org/wiki/Advanced_driver-assistance_system)\n\n[self-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial](https://en.wikipedia.org/wiki/Facial_recognition_system)\n\n[recognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used](https://en.wikipedia.org/wiki/Image_labeling)\n\n[by Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[officer (CAO).](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[The application of AI in medicine and medical research has the potential to increase patient care and](https://en.wikipedia.org/wiki/Medical_research)\n\nquality of life. <sup>[130]</sup> [ Through the lens of the Hippocratic Oath, medical professionals are ethically](https://en.wikipedia.org/wiki/Hippocratic_Oath)\n\ncompelled to use AI, if applications can more accurately diagnose and treat patients. <sup>[131][132]</sup>\n\n[For medical research, AI is an important tool for processing and integrating big data. This is particularly](https://en.wikipedia.org/wiki/Big_data)\n\n[important for organoid and tissue engineering development which use microscopy imaging as a key](https://en.wikipedia.org/wiki/Microscopy)\n\ntechnique in fabrication. <sup>[133]</sup> It has been suggested that AI can overcome discrepancies in funding\n\nallocated to different fields of research. <sup>[133]</sup> New AI tools can deepen the understanding of biomedically\n\n[relevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours](https://en.wikipedia.org/wiki/AlphaFold_2)\n\n[rather than months, the 3D structure of a protein.](https://en.wikipedia.org/wiki/Protein_structure) <sup>[134]</sup> In 2023, it was reported that AI-guided drug\n\ndiscovery helped find a class of antibiotics capable of killing two different types of drug-resistant\n\nbacteria. <sup>[135]</sup> [ In 2024, researchers used machine learning to accelerate the search for Parkinson's disease](https://en.wikipedia.org/wiki/Parkinson%27s_disease)\n\n#### **Hardware and software**\n\n### **Applications**\n\n#### **Health and medicine**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "#### Balanced growth. Product diversity. Market leadership.\n\n#### These continue to stand as signs of our strength.\n\n## 5",
- "page_start": 6,
- "page_end": 6,
- "source_file": "NASDAQ_ATRI_2003.pdf"
- },
- {
- "text": "[Lee, Timothy B. (22 August 2014). \"Will artificial intelligence destroy humanity? Here are 5](https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[reasons not to worry\" (https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worr](https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[y-about-super-intelligent-computers-taking). ](https://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking) *Vox* [. Archived (https://web.archive.org/web/201](https://web.archive.org/web/20151030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[51030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-s](https://web.archive.org/web/20151030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n[uper-intelligent-computers-taking) from the original on 30 October 2015. Retrieved](https://web.archive.org/web/20151030092203/http://www.vox.com/2014/8/22/6043635/5-reasons-we-shouldnt-worry-about-super-intelligent-computers-taking)\n\n30 October 2015.\n\n[Lenat, Douglas; Guha, R. V. (1989). ](https://en.wikipedia.org/wiki/Douglas_Lenat) *Building Large Knowledge-Based Systems* . Addison-\n\n[Wesley. ISBN 978-0-2015-1752-1.](https://en.wikipedia.org/wiki/Special:BookSources/978-0-2015-1752-1)\n\n[Lighthill, James (1973). \"Artificial Intelligence: A General Survey\". ](https://en.wikipedia.org/wiki/James_Lighthill) *Artificial Intelligence: a paper*\n\n*symposium* . Science Research Council.\n\nLipartito, Kenneth (6 January 2011), *[The Narrative and the Algorithm: Genres of Credit](https://mpra.ub.uni-muenchen.de/28142/1/MPRA_paper_28142.pdf)*\n\n*Reporting from the Nineteenth Century to Today* [ (https://mpra.ub.uni-muenchen.de/28142/1/](https://mpra.ub.uni-muenchen.de/28142/1/MPRA_paper_28142.pdf)\n\n[MPRA_paper_28142.pdf) (PDF) (Unpublished manuscript), doi:10.2139/ssrn.1736283 (http](https://doi.org/10.2139%2Fssrn.1736283)\n\n[s://doi.org/10.2139%2Fssrn.1736283), S2CID 166742927 (https://api.semanticscholar.org/C](https://api.semanticscholar.org/CorpusID:166742927)\n\n[orpusID:166742927), archived (https://ghostarchive.org/archive/20221009/https://mpra.ub.u](https://ghostarchive.org/archive/20221009/https://mpra.ub.uni-muenchen.de/28142/1/MPRA_paper_28142.pdf)\n\n[ni-muenchen.de/28142/1/MPRA_paper_28142.pdf) (PDF) from the original on 9 October](https://ghostarchive.org/archive/20221009/https://mpra.ub.uni-muenchen.de/28142/1/MPRA_paper_28142.pdf)\n\n2022\n\n[Lohr, Steve (2017). \"Robots Will Take Jobs, but Not as Fast as Some Fear, New Report Says\"](https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-not-as-fast-as-some-fear-new-report-says.html)\n\n[(https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-not-as-fast-as-so](https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-not-as-fast-as-some-fear-new-report-says.html)\n\n[me-fear-new-report-says.html). ](https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-not-as-fast-as-some-fear-new-report-says.html) *The New York Times* [. Archived (https://web.archive.org/web/](https://web.archive.org/web/20180114073704/https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-not-as-fast-as-some-fear-new-report-says.html)\n\n[20180114073704/https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-](https://web.archive.org/web/20180114073704/https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-not-as-fast-as-some-fear-new-report-says.html)\n\n[not-as-fast-as-some-fear-new-report-says.html) from the original on 14 January 2018.](https://web.archive.org/web/20180114073704/https://www.nytimes.com/2017/01/12/technology/robots-will-take-jobs-but-not-as-fast-as-some-fear-new-report-says.html)\n\nRetrieved 13 January 2018.\n\nLungarella, M.; Metta, G.; Pfeifer, R.; Sandini, G. (2003). \"Developmental robotics: a survey\".\n\n*Connection Science* . **15** [ (4): 151- 190. CiteSeerX 10.1.1.83.7615 (https://citeseerx.ist.psu.ed](https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.83.7615)\n\n[u/viewdoc/summary?doi=10.1.1.83.7615). doi:10.1080/09540090310001655110 (https://doi.](https://doi.org/10.1080%2F09540090310001655110)\n\n[org/10.1080%2F09540090310001655110). S2CID 1452734 (https://api.semanticscholar.or](https://api.semanticscholar.org/CorpusID:1452734)\n\n[g/CorpusID:1452734).](https://api.semanticscholar.org/CorpusID:1452734)\n\n[\"Machine Ethics\" (https://web.archive.org/web/20141129044821/http://www.aaai.org/Library/Sy](https://web.archive.org/web/20141129044821/http://www.aaai.org/Library/Symposia/Fall/fs05-06)\n\n[mposia/Fall/fs05-06). ](https://web.archive.org/web/20141129044821/http://www.aaai.org/Library/Symposia/Fall/fs05-06) *aaai.org* [. Archived from the original (http://www.aaai.org/Library/Symp](http://www.aaai.org/Library/Symposia/Fall/fs05-06)\n\n[osia/Fall/fs05-06) on 29 November 2014.](http://www.aaai.org/Library/Symposia/Fall/fs05-06)\n\n[Madrigal, Alexis C. (27 February 2015). \"The case against killer robots, from a guy actually](https://www.hrw.org/report/2012/11/19/losing-humanity/case-against-killer-robots)\n\n[working on artificial intelligence\" (https://www.hrw.org/report/2012/11/19/losing-humanity/cas](https://www.hrw.org/report/2012/11/19/losing-humanity/case-against-killer-robots)\n\n[e-against-killer-robots). ](https://www.hrw.org/report/2012/11/19/losing-humanity/case-against-killer-robots) *Fusion.net* [. Archived (https://web.archive.org/web/20160204175716/](https://web.archive.org/web/20160204175716/http://fusion.net/story/54583/the-case-against-killer-robots-from-a-guy-actually-building-ai)\n\n[http://fusion.net/story/54583/the-case-against-killer-robots-from-a-guy-actually-building-ai)](https://web.archive.org/web/20160204175716/http://fusion.net/story/54583/the-case-against-killer-robots-from-a-guy-actually-building-ai)\n\nfrom the original on 4 February 2016. Retrieved 31 January 2016.\n\n[Mahdawi, Arwa (26 June 2017). \"What jobs will still be around in 20 years? Read this to prepare](https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robots-skills-creative-health)\n\n[your future\" (https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robo](https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robots-skills-creative-health)\n\n[ts-skills-creative-health). ](https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robots-skills-creative-health) *The Guardian* [. Archived (https://web.archive.org/web/20180114021](https://web.archive.org/web/20180114021804/https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robots-skills-creative-health)\n\n[804/https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robots-skills-](https://web.archive.org/web/20180114021804/https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robots-skills-creative-health)\n\n[creative-health) from the original on 14 January 2018. Retrieved 13 January 2018.](https://web.archive.org/web/20180114021804/https://www.theguardian.com/us-news/2017/jun/26/jobs-future-automation-robots-skills-creative-health)\n\nMaker, Meg Houston (2006), *[AI@50: AI Past, Present, Future](https://web.archive.org/web/20081008120238/http://www.engagingexperience.com/2006/07/ai50_ai_past_pr.html)* (https://web.archive.org/web/200\n\n[81008120238/http://www.engagingexperience.com/2006/07/ai50_ai_past_pr.html),](https://web.archive.org/web/20081008120238/http://www.engagingexperience.com/2006/07/ai50_ai_past_pr.html)\n\n[Dartmouth College, archived from the original (http://www.engagingexperience.com/2006/0](http://www.engagingexperience.com/2006/07/ai50_ai_past_pr.html)\n\n[7/ai50_ai_past_pr.html) on 8 October 2008, retrieved 16 October 2008](http://www.engagingexperience.com/2006/07/ai50_ai_past_pr.html)\n\n[Marmouyet, Françoise (15 December 2023). \"Google's Gemini: is the new AI model really better](https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-than-chatgpt-219526)\n\n[than ChatGPT?\" (https://theconversation.com/googles-gemini-is-the-new-ai-model-really-bet](https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-than-chatgpt-219526)\n\n[ter-than-chatgpt-219526). ](https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-than-chatgpt-219526) *The Conversation* [. Archived (https://web.archive.org/web/202403](https://web.archive.org/web/20240304215625/https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-than-chatgpt-219526)\n\n[04215625/https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-tha](https://web.archive.org/web/20240304215625/https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-than-chatgpt-219526)\n\n[n-chatgpt-219526) from the original on 4 March 2024. Retrieved 25 December 2023.](https://web.archive.org/web/20240304215625/https://theconversation.com/googles-gemini-is-the-new-ai-model-really-better-than-chatgpt-219526)\n\n[Minsky, Marvin (1986), ](https://en.wikipedia.org/wiki/Marvin_Minsky) *[The Society of Mind](https://en.wikipedia.org/wiki/The_Society_of_Mind)* , Simon and Schuster",
- "page_start": 59,
- "page_end": 59,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "Alternatively, dedicated models for mathematical problem solving with higher precision for the outcome\n\nincluding proof of theorems have been developed such as *Alpha Tensor* , *Alpha Geometry* and *Alpha*\n\n*Proof* [ all from Google DeepMind,](https://en.wikipedia.org/wiki/Google_DeepMind) <sup>[157]</sup> *Llemma* from eleuther <sup>[158]</sup> or *Julius* . <sup>[159]</sup>\n\nWhen natural language is used to describe mathematical problems, converters transform such prompts\n\n[into a formal language such as Lean to define mathematical tasks.](https://en.wikipedia.org/wiki/Lean_(proof_assistant))\n\nSome models have been developed to solve challenging problems and reach good results in benchmark\n\ntests, others to serve as educational tools in mathematics. <sup>[160]</sup>\n\nFinance is one of the fastest growing sectors where applied AI tools are being deployed: from retail\n\nonline banking to investment advice and insurance, where automated \"robot advisers\" have been in use\n\nfor some years. <sup>[161]</sup>\n\n[World Pensions experts like Nicolas Firzli insist it may be too early to see the emergence of highly](https://en.wikipedia.org/wiki/World_Pensions_%26_Investments_Forum)\n\ninnovative AI-informed financial products and services: \"the deployment of AI tools will simply further\n\nautomatise things: destroying tens of thousands of jobs in banking, financial planning, and pension advice\n\nin the process, but I'm not sure it will unleash a new wave of [e.g., sophisticated] pension\n\ninnovation.\" <sup>[162]</sup>\n\nVarious countries are deploying AI military applications. <sup>[163]</sup> [ The main applications enhance command](https://en.wikipedia.org/wiki/Command_and_control)\n\n[and control, communications, sensors, integration and interoperability.](https://en.wikipedia.org/wiki/Command_and_control) <sup>[164]</sup> Research is targeting\n\nintelligence collection and analysis, logistics, cyber operations, information operations, and\n\n[semiautonomous and autonomous vehicles.](https://en.wikipedia.org/wiki/Vehicular_automation) <sup>[163]</sup> AI technologies enable coordination of sensors and\n\n[effectors, threat detection and identification, marking of enemy positions, target acquisition, coordination](https://en.wikipedia.org/wiki/Target_acquisition)\n\n[and deconfliction of distributed Joint Fires between networked combat vehicles involving manned and](https://en.wikipedia.org/wiki/Forward_observers_in_the_U.S._military)\n\nunmanned teams. <sup>[164]</sup>\n\nAI has been used in military operations in Iraq, Syria, Israel and Ukraine. <sup>[163][165][166][167]</sup>\n\n[In the early 2020s, generative AI gained widespread prominence. GenAI is AI capable of generating text,](https://en.wikipedia.org/wiki/Generative_AI)\n\n[images, videos, or other data using generative models,](https://en.wikipedia.org/wiki/Generative_model) <sup>[168][169]</sup> [ often in response to prompts.](https://en.wikipedia.org/wiki/Prompt_(natural_language)) <sup>[170][171]</sup>\n\n[In March 2023, 58% of U.S. adults had heard about ChatGPT and 14% had tried it.](https://en.wikipedia.org/wiki/ChatGPT) <sup>[172]</sup> The increasing\n\n[realism and ease-of-use of AI-based text-to-image generators such as Midjourney, DALL-E, and Stable](https://en.wikipedia.org/wiki/Stable_Diffusion)\n\n[Diffusion sparked a trend of viral AI-generated photos. Widespread attention was gained by a fake photo](https://en.wikipedia.org/wiki/Viral_phenomenon)\n\n[of Pope Francis wearing a white puffer coat, the fictional arrest of Donald Trump, and a hoax of an attack](https://en.wikipedia.org/wiki/Donald_Trump)\n\n[on the Pentagon, as well as the usage in professional creative arts.](https://en.wikipedia.org/wiki/The_Pentagon) <sup>[173][174]</sup>\n\n#### **Finance**\n\n#### **Military**\n\n#### **Generative AI**\n\n#### **Agents**",
- "page_start": 10,
- "page_end": 10,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "335. Russell & Norvig (2021), p. 24.\n\n336. Nilsson (1998), p. 7.\n\n337. McCorduck (2004), pp. 454- 462.\n\n338. Moravec (1988).\n\n339. Brooks (1990).\n\n[340. Developmental robotics: Weng et al. (2001), Lungarella et al. (2003), Asada et al. (2009),](https://en.wikipedia.org/wiki/Developmental_robotics)\n\nOudeyer (2010)\n\n341. Russell & Norvig (2021), p. 25.\n\n342. Crevier (1993, pp. 214- 215), Russell & Norvig (2021, pp. 24, 26)\n\n343. Russell & Norvig (2021), p. 26.\n\n344. Formal and narrow methods adopted in the 1990s: Russell & Norvig (2021, pp. 24- 26),\n\nMcCorduck (2004, pp. 486- 487)\n\n345. AI widely used in the late 1990s: Kurzweil (2005, p. 265), NRC (1999, pp. 216- 222),\n\nNewquist (1994, pp. 189- 201)\n\n346. Wong (2023).\n\n[347. Moore's Law and AI: Russell & Norvig (2021, pp. 14, 27)](https://en.wikipedia.org/wiki/Moore%27s_Law)\n\n348. Clark (2015b).\n\n[349. Big data: Russell & Norvig (2021, p. 26)](https://en.wikipedia.org/wiki/Big_data)\n\n[350. Sagar, Ram (3 June 2020). \"OpenAI Releases GPT-3, The Largest Model So Far\" (https://a](https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[nalyticsindiamag.com/open-ai-gpt-3-language-model). ](https://analyticsindiamag.com/open-ai-gpt-3-language-model) *Analytics India Magazine* [. Archived (h](https://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[ttps://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-la](https://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[nguage-model) from the original on 4 August 2020. Retrieved 15 March 2023.](https://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-language-model)\n\n[351. Milmo, Dan (2 February 2023). \"ChatGPT reaches 100 million users two months after](https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-open-ai-fastest-growing-app)\n\n[launch\" (https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-op](https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-open-ai-fastest-growing-app)\n\n[en-ai-fastest-growing-app). ](https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-open-ai-fastest-growing-app) *The Guardian* [. ISSN 0261-3077 (https://search.worldcat.org/iss](https://search.worldcat.org/issn/0261-3077)\n\n[n/0261-3077). Retrieved 31 December 2024.](https://search.worldcat.org/issn/0261-3077)\n\n[352. Gorichanaz, Tim (29 November 2023). \"ChatGPT turns 1: AI chatbot's success says as](https://theconversation.com/chatgpt-turns-1-ai-chatbots-success-says-as-much-about-humans-as-technology-218704)\n\n[much about humans as technology\" (https://theconversation.com/chatgpt-turns-1-ai-chatbot](https://theconversation.com/chatgpt-turns-1-ai-chatbots-success-says-as-much-about-humans-as-technology-218704)\n\n[s-success-says-as-much-about-humans-as-technology-218704). ](https://theconversation.com/chatgpt-turns-1-ai-chatbots-success-says-as-much-about-humans-as-technology-218704) *The Conversation* .\n\nRetrieved 31 December 2024.\n\n353. DiFeliciantonio (2023).\n\n354. Goswami (2023).\n\n[355. \"Nearly 1 in 4 new startups is an AI company\" (https://pitchbook.com/news/articles/nearly-1-i](https://pitchbook.com/news/articles/nearly-1-in-4-new-startups-is-an-ai-company)\n\n[n-4-new-startups-is-an-ai-company). ](https://pitchbook.com/news/articles/nearly-1-in-4-new-startups-is-an-ai-company) *PitchBook* . 24 December 2024. Retrieved 3 January\n\n2025.\n\n[356. Grayling, Anthony; Ball, Brian (1 August 2024). \"Philosophy is crucial in the age of AI\" (http](https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907)\n\n[s://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907). ](https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907) *The Conversation* .\n\n[Archived (https://web.archive.org/web/20241005170243/https://theconversation.com/philoso](https://web.archive.org/web/20241005170243/https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907)\n\n[phy-is-crucial-in-the-age-of-ai-235907) from the original on 5 October 2024. Retrieved](https://web.archive.org/web/20241005170243/https://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907)\n\n4 October 2024.\n\n[357. Jarow, Oshan (15 June 2024). \"Will AI ever become conscious? It depends on how you](https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\n[think about biology\" (https://www.vox.com/future-perfect/351893/consciousness-ai-machines](https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\n[-neuroscience-mind). ](https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind) *Vox* [. Archived (https://web.archive.org/web/20240921035218/https://w](https://web.archive.org/web/20240921035218/https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\n[ww.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind) from](https://web.archive.org/web/20240921035218/https://www.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind)\n\nthe original on 21 September 2024. Retrieved 4 October 2024.\n\n[358. McCarthy, John. \"The Philosophy of AI and the AI of Philosophy\" (https://web.archive.org/we](https://web.archive.org/web/20181023181725/http://jmc.stanford.edu/articles/aiphil2.html)\n\n[b/20181023181725/http://jmc.stanford.edu/articles/aiphil2.html). ](https://web.archive.org/web/20181023181725/http://jmc.stanford.edu/articles/aiphil2.html) *jmc.stanford.edu* . Archived\n\n[from the original (http://jmc.stanford.edu/articles/aiphil2.html) on 23 October 2018. Retrieved](http://jmc.stanford.edu/articles/aiphil2.html)\n\n3 October 2024.\n\n359. Turing (1950), p. 1.",
- "page_start": 48,
- "page_end": 48,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h](http://intelligence.org/files/AIPosNegFactor.pdf)\n\n[ttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF), ](http://intelligence.org/files/AIPosNegFactor.pdf) *Global Catastrophic Risks* , Oxford\n\n[University Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20](https://ui.adsabs.harvard.edu/abs/2008gcr..book..303Y)\n\n[08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc](https://web.archive.org/web/20131019182403/http://intelligence.org/files/AIPosNegFactor.pdf)\n\n[e.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved](https://web.archive.org/web/20131019182403/http://intelligence.org/files/AIPosNegFactor.pdf)\n\n24 September 2021\n\n[Autor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace](https://en.wikipedia.org/wiki/David_Autor)\n\nAutomation\" (2015) 29(3) *Journal of Economic Perspectives* 3.\n\n[Berlinski, David (2000). ](https://en.wikipedia.org/wiki/David_Berlinski) *[The Advent of the Algorithm](https://archive.org/details/adventofalgorith0000berl)* (https://archive.org/details/adventofalgorith\n\n[0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world](https://search.worldcat.org/oclc/46890682)\n\n[cat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch](https://web.archive.org/web/20200726215744/https://archive.org/details/adventofalgorith0000berl)\n\n[ive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved](https://web.archive.org/web/20200726215744/https://archive.org/details/adventofalgorith0000berl)\n\n22 August 2020.\n\n[Boyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585](https://direct.mit.edu/books/book/5859/The-LineAI-and-the-Future-of-Personhood)\n\n[9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024.](https://en.wikipedia.org/wiki/MIT_Press)\n\n[Cukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\", ](https://en.wikipedia.org/wiki/Kenneth_Cukier) *[Foreign Affairs](https://en.wikipedia.org/wiki/Foreign_Affairs)* , vol.\n\n[98, no. 4 (July/August 2019), pp. 192- 198. George Dyson, historian of computing, writes (in](https://en.wikipedia.org/wiki/George_Dyson_(science_historian))\n\nwhat might be called \"Dyson's Law\") that \"Any system simple enough to be understandable\n\nwill not be complicated enough to behave intelligently, while any system complicated\n\nenough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer\n\n[scientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core,](https://en.wikipedia.org/wiki/Algorithm)\n\ndead simple stupid. They work, but they work by brute force.\" (p. 198.)\n\n[Evans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/](https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49072)\n\n[10.5209%2Frev_TK.2015.v12.n2.49072). ](https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49072) *Teknokultura* . **12** (2).\n\n[doi:10.5209/rev_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49](https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49072)\n\n[072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763).](https://api.semanticscholar.org/CorpusID:147612763)\n\n[Frank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the](https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order)\n\n[21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli](https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order)\n\n[gence-can-shape-the-21st-century-global-order). ](https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order) *[The Diplomat](https://en.wikipedia.org/wiki/The_Diplomat_(magazine))* [. Archived (https://web.archiv](https://web.archive.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order/)\n\n[e.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli](https://web.archive.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order/)\n\n[gence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024.](https://web.archive.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order/)\n\nRetrieved 8 December 2023. \"Instead, the United States has developed a new area of\n\ndominance that the rest of the world views with a mixture of awe, envy, and resentment:\n\nartificial intelligence... From AI models and research to cloud computing and venture capital,\n\nU.S. companies, universities, and research labs - and their affiliates in allied countries -\n\nappear to have an enormous lead in both developing cutting-edge AI and commercializing it.\n\nThe value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the\n\nworld combined.\"\n\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I.\n\nchatbots to get their facts right — without destroying itself in the process?\" *New York Times*\n\n*Magazine* [ (July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipedia-](https://www.nytimes.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html)\n\n[ai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime](https://web.archive.org/web/20230720125400/https://www.nytimes.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html)\n\n[s.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n[Machine](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n### **Further reading**",
- "page_start": 66,
- "page_end": 66,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent](https://en.wikipedia.org/wiki/Symbolic_AI)\n\n[mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt](https://en.wikipedia.org/wiki/Mental_objects)\n\n[that this approach would be able to imitate all the processes of human cognition, especially perception,](https://en.wikipedia.org/wiki/Machine_perception)\n\n[robotics, learning and pattern recognition,](https://en.wikipedia.org/wiki/Pattern_recognition) <sup>[335]</sup> and began to look into \"sub-symbolic\" approaches. <sup>[336]</sup>\n\n[Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that](https://en.wikipedia.org/wiki/Rodney_Brooks)\n\nmove and survive. <sup>[x]</sup> [ Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete](https://en.wikipedia.org/wiki/Lofti_Zadeh)\n\nand uncertain information by making reasonable guesses rather than precise logic. <sup>[86][341]</sup> But the most\n\n[important development was the revival of \"connectionism\", including neural network research, by](https://en.wikipedia.org/wiki/Connectionism)\n\n[Geoffrey Hinton and others.](https://en.wikipedia.org/wiki/Geoffrey_Hinton) <sup>[342]</sup> [ In 1990, Yann LeCun successfully showed that convolutional neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\n[networks can recognize handwritten digits, the first of many successful applications of neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\nnetworks. <sup>[343]</sup>\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal\n\n[mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\"](https://en.wikipedia.org/wiki/Narrow_AI)\n\n[focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics,](https://en.wikipedia.org/wiki/Statistics)\n\n[economics and mathematics).](https://en.wikipedia.org/wiki/Mathematical_optimization) <sup>[344]</sup> By 2000, solutions developed by AI researchers were being widely\n\nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as\n\n[the AI effect).](https://en.wikipedia.org/wiki/AI_effect) <sup>[345]</sup> However, several academic researchers became concerned that AI was no longer\n\npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they\n\n[founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\ninstitutions by the 2010s. <sup>[4]</sup>\n\n[Deep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.](https://en.wikipedia.org/wiki/Deep_learning) <sup>[11]</sup>\n\nFor many specific tasks, other methods were abandoned. <sup>[y]</sup> Deep learning's success was based on both\n\n[hardware improvements (faster computers,](https://en.wikipedia.org/wiki/Moore%27s_law) <sup>[347]</sup> [ graphics processing units, cloud computing](https://en.wikipedia.org/wiki/Cloud_computing) <sup>[348]</sup> ) and\n\n[access to large amounts of data](https://en.wikipedia.org/wiki/Big_data) <sup>[349]</sup> (including curated datasets, <sup>[348]</sup> [ such as ImageNet). Deep learning's](https://en.wikipedia.org/wiki/ImageNet)\n\nsuccess led to an enormous increase in interest and funding in AI. <sup>[z]</sup> The amount of machine learning\n\nresearch (measured by total publications) increased by 50% in the years 2015- 2019. <sup>[306]</sup>\n\n[In 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine](https://en.wikipedia.org/wiki/Algorithmic_fairness)\n\nlearning conferences, publications vastly increased, funding became available, and many researchers re-\n\n[focussed their careers on these issues. The alignment problem became a serious field of academic](https://en.wikipedia.org/wiki/AI_alignment)\n\nstudy. <sup>[283]</sup>\n\n[In the late teens and early 2020s, AGI companies began to deliver programs that created enormous](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\n[interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program](https://en.wikipedia.org/wiki/Go_player)\n\n[taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was](https://en.wikipedia.org/wiki/Large_language_model)\n\n[released in 2020 by OpenAI and is capable of generating high-quality human-like text.](https://en.wikipedia.org/wiki/OpenAI) <sup>[350]</sup> [ ChatGPT,](https://en.wikipedia.org/wiki/ChatGPT)\n\nlaunched on November 30, 2022, became the fastest-growing consumer software application in history,\n\ngaining over 100 million users in two months. <sup>[351]</sup> It marked what is widely regarded as AI's breakout\n\nyear, bringing it into the public consciousness. <sup>[352]</sup> [ These programs, and others, inspired an aggressive AI](https://en.wikipedia.org/wiki/AI_boom)\n\n[boom, where large companies began investing billions of dollars in AI research. According to AI Impacts,](https://en.wikipedia.org/wiki/AI_boom)\n\nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new",
- "page_start": 22,
- "page_end": 22,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the](https://en.wikipedia.org/wiki/Bletchley_Park)\n\nnear and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks. <sup>[314]</sup>\n\n28 countries including the United States, China, and the European Union issued a declaration at the start\n\nof the summit, calling for international co-operation to manage the challenges and risks of artificial\n\nintelligence. <sup>[315][316]</sup> [ In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety](https://en.wikipedia.org/wiki/AI_Seoul_Summit)\n\ncommitments on the development of AI. <sup>[317][318]</sup>\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity.\n\n[The study of logic led directly to Alan Turing's theory of computation, which suggested that a machine,](https://en.wikipedia.org/wiki/Theory_of_computation)\n\nby shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical\n\nreasoning. <sup>[319][320]</sup> [ This, along with concurrent discoveries in cybernetics, information theory and](https://en.wikipedia.org/wiki/Information_theory)\n\n[neurobiology, led researchers to consider the possibility of building an \"electronic brain\".](https://en.wikipedia.org/wiki/Neurobiology) <sup>[r]</sup> They\n\ndeveloped several areas of research that would become part of AI, <sup>[322]</sup> [ such as McCullouch and Pitts](https://en.wikipedia.org/wiki/Walter_Pitts)\n\ndesign for \"artificial neurons\" in 1943, <sup>[115]</sup> [ and Turing's influential 1950 paper 'Computing Machinery](https://en.wikipedia.org/wiki/Computing_Machinery_and_Intelligence)\n\n[and Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was](https://en.wikipedia.org/wiki/Turing_test)\n\nplausible. <sup>[323][320]</sup>\n\n[The field of AI research was founded at a workshop at Dartmouth College in 1956.](https://en.wikipedia.org/wiki/Dartmouth_College) <sup>[s][6]</sup> The attendees\n\nbecame the leaders of AI research in the 1960s. <sup>[t]</sup> They and their students produced programs that the\n\npress described as \"astonishing\": <sup>[u]</sup> [ computers were learning checkers strategies, solving word problems](https://en.wikipedia.org/wiki/Checkers)\n\n[in algebra, proving logical theorems and speaking English.](https://en.wikipedia.org/wiki/Theorem) <sup>[v][7]</sup> Artificial intelligence laboratories were\n\nset up at a number of British and U.S. universities in the latter 1950s and early 1960s. <sup>[320]</sup>\n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in\n\n[creating a machine with general intelligence and considered this the goal of their field.](https://en.wikipedia.org/wiki/Artificial_general_intelligence) <sup>[327]</sup> In 1965\n\n[Herbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can](https://en.wikipedia.org/wiki/Herbert_A._Simon)\n\ndo\". <sup>[328]</sup> [ In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating](https://en.wikipedia.org/wiki/Marvin_Minsky)\n\n'artificial intelligence' will substantially be solved\". <sup>[329]</sup> They had, however, underestimated the difficulty\n\nof the problem. <sup>[w]</sup> In 1974, both the U.S. and British governments cut off exploratory research in\n\n[response to the criticism of Sir James Lighthill](https://en.wikipedia.org/wiki/Sir_James_Lighthill) <sup>[331]</sup> [ and ongoing pressure from the U.S. Congress to fund](https://en.wikipedia.org/wiki/Mansfield_Amendment)\n\n[more productive projects.](https://en.wikipedia.org/wiki/Mansfield_Amendment) <sup>[332]</sup> [ Minsky's and Papert's book ](https://en.wikipedia.org/wiki/Papert) *[Perceptrons](https://en.wikipedia.org/wiki/Perceptron)* was understood as proving that\n\n[artificial neural networks would never be useful for solving real-world tasks, thus discrediting the](https://en.wikipedia.org/wiki/Artificial_neural_networks)\n\napproach altogether. <sup>[333]</sup> [ The \"AI winter\", a period when obtaining funding for AI projects was difficult,](https://en.wikipedia.org/wiki/AI_winter)\n\nfollowed. <sup>[9]</sup>\n\n[In the early 1980s, AI research was revived by the commercial success of expert systems,](https://en.wikipedia.org/wiki/Expert_system) <sup>[334]</sup> a form of\n\nAI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for\n\n[AI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired](https://en.wikipedia.org/wiki/Fifth_generation_computer)\n\n[the U.S. and British governments to restore funding for academic research.](https://en.wikipedia.org/wiki/Academic_research) <sup>[8]</sup> However, beginning with\n\n[the collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longer-](https://en.wikipedia.org/wiki/Lisp_Machine)\n\nlasting winter began. <sup>[10]</sup>\n\n### **History**",
- "page_start": 21,
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- "source_file": "wikipedia3.pdf"
- }
- ]
- },
- {
- "references": {
- "source_file": "news4.pdf",
- "query": "I want to help my parents who are in residential care, are there any trendy AI-related devices I could help them with? ",
- "target_page": 1,
- "target_passage": "Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being",
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- "text": "ISSUE\n\nDecember 2024\n\nCATEGORIES\n\n[Technology & Cybersecurity](https://www.newscanada.com/en/Technology/content)\n\n[Editor's Picks](https://www.newscanada.com/en/editor-picks/content)\n\n[Finance - Personal](https://www.newscanada.com/en/personal-finance/content)\n\n[Home - Interior](https://www.newscanada.com/en/house-home/content)\n\n### [](https://facebook.com/sharer/sharer.php?u=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854) [](https://twitter.com/share?url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&text=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://pinterest.com/pin/create/bookmarklet/?&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&description=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://www.linkedin.com/shareArticle?mini=true&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854)\n\n## **The top AI-powered tech trends in 2025**\n\nwww.newscanada.com\n\nWord Count: 346\n\n[M ed i a A ttach m en ts](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n[View](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From\n\nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and\n\npersonalization.\n\nAI-powered computing\n\nAI-powered computing, such as Intel-powered laptops - or AI PC - is at the forefront of technological\n\nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors\n\n- also known as the brain of the computer - which optimizes performance, enhances security and\n\nprovides a more personalized experience as they learn from your usage patterns. For consumers, this\n\nmeans faster, smarter and more secure computing tailored to your individual needs.\n\nSmart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a\n\nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home\n\nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to\n\nsecurity and entertainment, making your home smarter and more responsive than ever before.\n\nHealth and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications\n\ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and\n\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights,\n\nhelping individuals make informed decisions about their well-being.\n\nFinancial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage\n\nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud\n\ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify\n\ntrends and make more informed financial decisions.\n\nEnhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each\n\nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students\n\nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative\n\ntasks and providing insights into student performance, allowing for more focused and effective\n\nteaching.\n\nLearn more at intel.com/aipc.\n\n−\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
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- "text": "[models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with](https://en.wikipedia.org/wiki/Hallucination_(artificial_intelligence))\n\n[RLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task](https://en.wikipedia.org/wiki/Chatbot)\n\nin simple text. <sup>[122][123]</sup>\n\n[Current models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and](https://en.wikipedia.org/wiki/Microsoft_Copilot)\n\n[LLaMA.](https://en.wikipedia.org/wiki/LLaMA) <sup>[124]</sup> [ Multimodal GPT models can process different types of data (modalities) such as images,](https://en.wikipedia.org/wiki/Modality_(human%E2%80%93computer_interaction))\n\nvideos, sound, and text. <sup>[125]</sup>\n\n[In the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific](https://en.wikipedia.org/wiki/Graphics_processing_unit)\n\n[enhancements and used with specialized TensorFlow software had replaced previously used central](https://en.wikipedia.org/wiki/Central_processing_unit)\n\n[processing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine](https://en.wikipedia.org/wiki/Machine_learning)\n\n[learning models' training.](https://en.wikipedia.org/wiki/Machine_learning) <sup>[126]</sup> [ Specialized programming languages such as Prolog were used in early AI](https://en.wikipedia.org/wiki/Prolog)\n\nresearch, <sup>[127]</sup> [ but general-purpose programming languages like Python have become predominant.](https://en.wikipedia.org/wiki/Python_(programming_language)) <sup>[128]</sup>\n\n[The transistor density in integrated circuits has been observed to roughly double every 18 months—a](https://en.wikipedia.org/wiki/Integrated_circuit)\n\n[trend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it.](https://en.wikipedia.org/wiki/Gordon_Moore)\n\n[Improvements in GPUs have been even faster.](https://en.wikipedia.org/wiki/GPUs) <sup>[129]</sup>\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including:\n\n[search engines (such as Google Search), targeting online advertisements, recommendation systems](https://en.wikipedia.org/wiki/Recommendation_systems)\n\n[(offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense,](https://en.wikipedia.org/wiki/AdSense)\n\n[Facebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and](https://en.wikipedia.org/wiki/Advanced_driver-assistance_system)\n\n[self-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial](https://en.wikipedia.org/wiki/Facial_recognition_system)\n\n[recognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used](https://en.wikipedia.org/wiki/Image_labeling)\n\n[by Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[officer (CAO).](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[The application of AI in medicine and medical research has the potential to increase patient care and](https://en.wikipedia.org/wiki/Medical_research)\n\nquality of life. <sup>[130]</sup> [ Through the lens of the Hippocratic Oath, medical professionals are ethically](https://en.wikipedia.org/wiki/Hippocratic_Oath)\n\ncompelled to use AI, if applications can more accurately diagnose and treat patients. <sup>[131][132]</sup>\n\n[For medical research, AI is an important tool for processing and integrating big data. This is particularly](https://en.wikipedia.org/wiki/Big_data)\n\n[important for organoid and tissue engineering development which use microscopy imaging as a key](https://en.wikipedia.org/wiki/Microscopy)\n\ntechnique in fabrication. <sup>[133]</sup> It has been suggested that AI can overcome discrepancies in funding\n\nallocated to different fields of research. <sup>[133]</sup> New AI tools can deepen the understanding of biomedically\n\n[relevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours](https://en.wikipedia.org/wiki/AlphaFold_2)\n\n[rather than months, the 3D structure of a protein.](https://en.wikipedia.org/wiki/Protein_structure) <sup>[134]</sup> In 2023, it was reported that AI-guided drug\n\ndiscovery helped find a class of antibiotics capable of killing two different types of drug-resistant\n\nbacteria. <sup>[135]</sup> [ In 2024, researchers used machine learning to accelerate the search for Parkinson's disease](https://en.wikipedia.org/wiki/Parkinson%27s_disease)\n\n#### **Hardware and software**\n\n### **Applications**\n\n#### **Health and medicine**",
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- "text": "[Vincent van Gogh in watercolour](https://en.wikipedia.org/wiki/Vincent_van_Gogh)\n\ncreated by generative AI software\n\nArtificial intelligent (AI) agents are software entities designed to\n\nperceive their environment, make decisions, and take actions\n\nautonomously to achieve specific goals. These agents can interact\n\nwith users, their environment, or other agents. AI agents are used\n\n[in various applications, including virtual assistants, chatbots,](https://en.wikipedia.org/wiki/Chatbots)\n\n[autonomous vehicles, game-playing systems, and industrial](https://en.wikipedia.org/wiki/Industrial_robotics)\n\n[robotics. AI agents operate within the constraints of their](https://en.wikipedia.org/wiki/Industrial_robotics)\n\nprogramming, available computational resources, and hardware\n\nlimitations. This means they are restricted to performing tasks\n\nwithin their defined scope and have finite memory and processing\n\ncapabilities. In real-world applications, AI agents often face time\n\nconstraints for decision-making and action execution. Many AI\n\nagents incorporate learning algorithms, enabling them to improve\n\ntheir performance over time through experience or training. Using\n\nmachine learning, AI agents can adapt to new situations and\n\noptimise their behaviour for their designated tasks. <sup>[175][176][177]</sup>\n\nThere are also thousands of successful AI applications used to solve specific problems for specific\n\nindustries or institutions. In a 2017 survey, one in five companies reported having incorporated \"AI\" in\n\nsome offerings or processes. <sup>[178]</sup> [ A few examples are energy storage, medical diagnosis, military](https://en.wikipedia.org/wiki/Energy_storage)\n\n[logistics, applications that predict the result of judicial decisions, foreign policy, or supply chain](https://en.wikipedia.org/wiki/Foreign_policy)\n\nmanagement.\n\n[AI applications for evacuation and disaster management are growing. AI has been used to investigate if](https://en.wikipedia.org/wiki/Disaster)\n\nand how people evacuated in large scale and small scale evacuations using historical data from GPS,\n\nvideos or social media. Further, AI can provide real time information on the real time evacuation\n\nconditions. <sup>[179][180][181]</sup>\n\nIn agriculture, AI has helped farmers identify areas that need irrigation, fertilization, pesticide treatments\n\nor increasing yield. Agronomists use AI to conduct research and development. AI has been used to predict\n\nthe ripening time for crops such as tomatoes, monitor soil moisture, operate agricultural robots, conduct\n\n[predictive analytics, classify livestock pig call emotions, automate greenhouses, detect diseases and pests,](https://en.wikipedia.org/wiki/Predictive_analytics)\n\nand save water.\n\nArtificial intelligence is used in astronomy to analyze increasing amounts of available data and\n\napplications, mainly for \"classification, regression, clustering, forecasting, generation, discovery, and the\n\ndevelopment of new scientific insights.\" For example, it is used for discovering exoplanets, forecasting\n\nsolar activity, and distinguishing between signals and instrumental effects in gravitational wave\n\nastronomy. Additionally, it could be used for activities in space, such as space exploration, including the\n\nanalysis of data from space missions, real-time science decisions of spacecraft, space debris avoidance,\n\nand more autonomous operation.\n\n#### **Other industry-specific tasks**",
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- "text": "Alternatively, dedicated models for mathematical problem solving with higher precision for the outcome\n\nincluding proof of theorems have been developed such as *Alpha Tensor* , *Alpha Geometry* and *Alpha*\n\n*Proof* [ all from Google DeepMind,](https://en.wikipedia.org/wiki/Google_DeepMind) <sup>[157]</sup> *Llemma* from eleuther <sup>[158]</sup> or *Julius* . <sup>[159]</sup>\n\nWhen natural language is used to describe mathematical problems, converters transform such prompts\n\n[into a formal language such as Lean to define mathematical tasks.](https://en.wikipedia.org/wiki/Lean_(proof_assistant))\n\nSome models have been developed to solve challenging problems and reach good results in benchmark\n\ntests, others to serve as educational tools in mathematics. <sup>[160]</sup>\n\nFinance is one of the fastest growing sectors where applied AI tools are being deployed: from retail\n\nonline banking to investment advice and insurance, where automated \"robot advisers\" have been in use\n\nfor some years. <sup>[161]</sup>\n\n[World Pensions experts like Nicolas Firzli insist it may be too early to see the emergence of highly](https://en.wikipedia.org/wiki/World_Pensions_%26_Investments_Forum)\n\ninnovative AI-informed financial products and services: \"the deployment of AI tools will simply further\n\nautomatise things: destroying tens of thousands of jobs in banking, financial planning, and pension advice\n\nin the process, but I'm not sure it will unleash a new wave of [e.g., sophisticated] pension\n\ninnovation.\" <sup>[162]</sup>\n\nVarious countries are deploying AI military applications. <sup>[163]</sup> [ The main applications enhance command](https://en.wikipedia.org/wiki/Command_and_control)\n\n[and control, communications, sensors, integration and interoperability.](https://en.wikipedia.org/wiki/Command_and_control) <sup>[164]</sup> Research is targeting\n\nintelligence collection and analysis, logistics, cyber operations, information operations, and\n\n[semiautonomous and autonomous vehicles.](https://en.wikipedia.org/wiki/Vehicular_automation) <sup>[163]</sup> AI technologies enable coordination of sensors and\n\n[effectors, threat detection and identification, marking of enemy positions, target acquisition, coordination](https://en.wikipedia.org/wiki/Target_acquisition)\n\n[and deconfliction of distributed Joint Fires between networked combat vehicles involving manned and](https://en.wikipedia.org/wiki/Forward_observers_in_the_U.S._military)\n\nunmanned teams. <sup>[164]</sup>\n\nAI has been used in military operations in Iraq, Syria, Israel and Ukraine. <sup>[163][165][166][167]</sup>\n\n[In the early 2020s, generative AI gained widespread prominence. GenAI is AI capable of generating text,](https://en.wikipedia.org/wiki/Generative_AI)\n\n[images, videos, or other data using generative models,](https://en.wikipedia.org/wiki/Generative_model) <sup>[168][169]</sup> [ often in response to prompts.](https://en.wikipedia.org/wiki/Prompt_(natural_language)) <sup>[170][171]</sup>\n\n[In March 2023, 58% of U.S. adults had heard about ChatGPT and 14% had tried it.](https://en.wikipedia.org/wiki/ChatGPT) <sup>[172]</sup> The increasing\n\n[realism and ease-of-use of AI-based text-to-image generators such as Midjourney, DALL-E, and Stable](https://en.wikipedia.org/wiki/Stable_Diffusion)\n\n[Diffusion sparked a trend of viral AI-generated photos. Widespread attention was gained by a fake photo](https://en.wikipedia.org/wiki/Viral_phenomenon)\n\n[of Pope Francis wearing a white puffer coat, the fictional arrest of Donald Trump, and a hoax of an attack](https://en.wikipedia.org/wiki/Donald_Trump)\n\n[on the Pentagon, as well as the usage in professional creative arts.](https://en.wikipedia.org/wiki/The_Pentagon) <sup>[173][174]</sup>\n\n#### **Finance**\n\n#### **Military**\n\n#### **Generative AI**\n\n#### **Agents**",
- "page_start": 10,
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- "text": "## **Artificial intelligence**\n\n**Artificial intelligence** ( **AI** [), in its broadest sense, is intelligence exhibited by machines, particularly](https://en.wikipedia.org/wiki/Machine)\n\n[computer systems. It is a field of research in computer science that develops and studies methods and](https://en.wikipedia.org/wiki/Computer_science)\n\n[software that enable machines to perceive their environment and use learning and intelligence to take](https://en.wikipedia.org/wiki/Machine_learning)\n\nactions that maximize their chances of achieving defined goals. <sup>[1]</sup> Such machines may be called AIs.\n\n[High-profile applications of AI include advanced web search engines (e.g., Google Search);](https://en.wikipedia.org/wiki/Google_Search)\n\n[recommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google](https://en.wikipedia.org/wiki/Google_Assistant)\n\n[Assistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,](https://en.wikipedia.org/wiki/Computational_creativity)\n\n[ChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,](https://en.wikipedia.org/wiki/Go_(game))\n\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\n\napplications, often without being called AI because once something becomes useful enough and common\n\n[enough it's not labeled AI anymore.\"](https://en.wikipedia.org/wiki/AI_effect) <sup>[2][3]</sup>\n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\n\n[traditional goals of AI research include reasoning, knowledge representation, planning, learning, natural](https://en.wikipedia.org/wiki/Natural_language_processing)\n\n[language processing, perception, and support for robotics.](https://en.wikipedia.org/wiki/Robotics) <sup>[a]</sup> [ General intelligence—the ability to complete](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\nany task performed by a human on an at least equal level—is among the field's long-term goals. <sup>[4]</sup> To\n\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\n\n[search and mathematical optimization, formal logic, artificial neural networks, and methods based on](https://en.wikipedia.org/wiki/Artificial_neural_network)\n\n[statistics, operations research, and economics.](https://en.wikipedia.org/wiki/Economics) <sup>[b]</sup> [ AI also draws upon psychology, linguistics, philosophy,](https://en.wikipedia.org/wiki/Philosophy_of_artificial_intelligence)\n\n[neuroscience, and other fields.](https://en.wikipedia.org/wiki/Neuroscience) <sup>[5]</sup>\n\nArtificial intelligence was founded as an academic discipline in 1956, <sup>[6]</sup> and the field went through\n\n[multiple cycles of optimism throughout its history,](https://en.wikipedia.org/wiki/History_of_artificial_intelligence) <sup>[7][8]</sup> followed by periods of disappointment and loss of\n\n[funding, known as AI winters.](https://en.wikipedia.org/wiki/AI_winter) <sup>[9][10]</sup> [ Funding and interest vastly increased after 2012 when deep learning](https://en.wikipedia.org/wiki/Deep_learning)\n\noutperformed previous AI techniques. <sup>[11]</sup> [ This growth accelerated further after 2017 with the transformer](https://en.wikipedia.org/wiki/Transformer_architecture)\n\n[architecture,](https://en.wikipedia.org/wiki/Transformer_architecture) <sup>[12]</sup> and by the early 2020s many billions of dollars were being invested in AI and the field\n\n[experienced rapid ongoing progress in what has become known as the AI boom. The emergence of](https://en.wikipedia.org/wiki/AI_boom)\n\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\n\n[several unintended consequences and harms in the present and raised concerns about the risks of AI and](https://en.wikipedia.org/wiki/AI_risk)\n\n[its long-term effects in the future, prompting discussions about regulatory policies to ensure the safety](https://en.wikipedia.org/wiki/AI_safety)\n\n[and benefits of the technology.](https://en.wikipedia.org/wiki/AI_safety)\n\n### **Goals**",
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- "text": "[drug treatments. Their aim was to identify compounds that block the clumping, or aggregation, of alpha-](https://en.wikipedia.org/wiki/Alpha-synuclein)\n\n[synuclein (the protein that characterises Parkinson's disease). They were able to speed up the initial](https://en.wikipedia.org/wiki/Alpha-synuclein)\n\nscreening process ten-fold and reduce the cost by a thousand-fold. <sup>[136][137]</sup>\n\nApplications of AI in this domain include AI-enabled menstruation and fertility trackers that analyze user\n\ndata to offer prediction, <sup>[138]</sup> [ AI-integrated sex toys (e.g., teledildonics),](https://en.wikipedia.org/wiki/Teledildonics) <sup>[139]</sup> AI-generated sexual\n\neducation content, <sup>[140]</sup> [ and AI agents that simulate sexual and romantic partners (e.g., Replika).](https://en.wikipedia.org/wiki/Replika) <sup>[141]</sup> AI is\n\n[also used for the production of non-consensual deepfake pornography, raising significant ethical and legal](https://en.wikipedia.org/wiki/Deepfake_pornography)\n\nconcerns. <sup>[142]</sup>\n\n[AI technologies have also been used to attempt to identify online gender-based violence and online](https://en.wikipedia.org/wiki/Online_gender-based_violence)\n\n[sexual grooming of minors.](https://en.wikipedia.org/wiki/Sexual_grooming) <sup>[143][144]</sup>\n\n[Game playing programs have been used since the 1950s to demonstrate and test AI's most advanced](https://en.wikipedia.org/wiki/Game_AI)\n\ntechniques. <sup>[145]</sup> [ Deep Blue became the first computer chess-playing system to beat a reigning world chess](https://en.wikipedia.org/wiki/IBM_Deep_Blue)\n\n[champion, Garry Kasparov, on 11 May 1997.](https://en.wikipedia.org/wiki/Garry_Kasparov) <sup>[146]</sup> In 2011, in a *[Jeopardy!](https://en.wikipedia.org/wiki/Jeopardy!)* [ quiz show exhibition match,](https://en.wikipedia.org/wiki/Quiz_show)\n\n[IBM's question answering system, Watson, defeated the two greatest ](https://en.wikipedia.org/wiki/Watson_(artificial_intelligence_software)) *Jeopardy!* [ champions, Brad Rutter](https://en.wikipedia.org/wiki/Brad_Rutter)\n\n[and Ken Jennings, by a significant margin.](https://en.wikipedia.org/wiki/Ken_Jennings) <sup>[147]</sup> [ In March 2016, AlphaGo won 4 out of 5 games of Go in a](https://en.wikipedia.org/wiki/Go_(game))\n\n[match with Go champion Lee Sedol, becoming the first computer Go-playing system to beat a](https://en.wikipedia.org/wiki/Computer_Go)\n\n[professional Go player without handicaps. Then, in 2017, it defeated Ke Jie, who was the best Go player](https://en.wikipedia.org/wiki/AlphaGo_versus_Ke_Jie)\n\nin the world. <sup>[148]</sup> [ Other programs handle imperfect-information games, such as the poker-playing](https://en.wikipedia.org/wiki/Poker)\n\n[program Pluribus.](https://en.wikipedia.org/wiki/Pluribus_(poker_bot)) <sup>[149]</sup> [ DeepMind developed increasingly generalistic reinforcement learning models,](https://en.wikipedia.org/wiki/Reinforcement_learning)\n\n[such as with MuZero, which could be trained to play chess, Go, or Atari games.](https://en.wikipedia.org/wiki/Atari) <sup>[150]</sup> In 2019, DeepMind's\n\n[AlphaStar achieved grandmaster level in StarCraft II, a particularly challenging real-time strategy game](https://en.wikipedia.org/wiki/StarCraft_II)\n\nthat involves incomplete knowledge of what happens on the map. <sup>[151]</sup> In 2021, an AI agent competed in a\n\n[PlayStation Gran Turismo competition, winning against four of the world's best Gran Turismo drivers](https://en.wikipedia.org/wiki/Gran_Turismo_(series))\n\nusing deep reinforcement learning. <sup>[152]</sup> In 2024, Google DeepMind introduced SIMA, a type of AI\n\n[capable of autonomously playing nine previously unseen open-world video games by observing screen](https://en.wikipedia.org/wiki/Open-world)\n\noutput, as well as executing short, specific tasks in response to natural language instructions. <sup>[153]</sup>\n\n[In mathematics, special forms of formal step-by-step reasoning are used.](https://en.wikipedia.org/wiki/Automatic_reasoning) <sup>[154]</sup> In contrast, LLMs such as\n\n*[GPT-4 Turbo](https://en.wikipedia.org/wiki/GPT-4)* , *[Gemini Ultra](https://en.wikipedia.org/wiki/Gemini_(chatbot))* , *[Claude Opus](https://en.wikipedia.org/wiki/Claude_(language_model))* , *[LLaMa-2](https://en.wikipedia.org/wiki/Llama_(language_model))* or *[Mistral Large](https://en.wikipedia.org/wiki/Mistral_AI)* are working with probabilistic\n\n[models, which can produce wrong answers in the form of hallucinations. Therefore, they need not only a](https://en.wikipedia.org/wiki/Hallucination_(artificial_intelligence))\n\n[large database of mathematical problems to learn from but also methods such as supervised fine-tuning or](https://en.wikipedia.org/wiki/Fine-tuning_(deep_learning))\n\n[trained classifiers with human-annotated data to improve answers for new problems and learn from](https://en.wikipedia.org/wiki/Statistical_classification)\n\ncorrections. <sup>[155]</sup> A 2024 study showed that the performance of some language models for reasoning\n\ncapabilities in solving math problems not included in their training data was low, even for problems with\n\nonly minor deviations from trained data. <sup>[156]</sup>\n\n#### **Sexuality**\n\n#### **Games**\n\n#### **Mathematics**",
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- "text": "[During the 2024 Indian elections, US$50 millions was spent on authorized AI-generated content, notably](https://en.wikipedia.org/wiki/2024_Indian_general_election)\n\n[by creating deepfakes of allied (including sometimes deceased) politicians to better engage with voters,](https://en.wikipedia.org/wiki/Deepfake)\n\nand by translating speeches to various local languages. <sup>[182]</sup>\n\nAI has potential benefits and potential risks. <sup>[183]</sup> AI may be able to advance science and find solutions for\n\n[serious problems: Demis Hassabis of DeepMind hopes to \"solve intelligence, and then use that to solve](https://en.wikipedia.org/wiki/DeepMind)\n\neverything else\". <sup>[184]</sup> However, as the use of AI has become widespread, several unintended\n\nconsequences and risks have been identified. <sup>[185]</sup> In-production systems can sometimes not factor ethics\n\nand bias into their AI training processes, especially when the AI algorithms are inherently unexplainable\n\nin deep learning. <sup>[186]</sup>\n\nMachine learning algorithms require large amounts of data. The techniques used to acquire this data have\n\n[raised concerns about privacy, surveillance and copyright.](https://en.wikipedia.org/wiki/Copyright)\n\nAI-powered devices and services, such as virtual assistants and IoT products, continuously collect\n\npersonal information, raising concerns about intrusive data gathering and unauthorized access by third\n\nparties. The loss of privacy is further exacerbated by AI's ability to process and combine vast amounts of\n\ndata, potentially leading to a surveillance society where individual activities are constantly monitored and\n\nanalyzed without adequate safeguards or transparency.\n\nSensitive user data collected may include online activity records, geolocation data, video or audio. <sup>[187]</sup>\n\n[For example, in order to build speech recognition algorithms, Amazon has recorded millions of private](https://en.wikipedia.org/wiki/Amazon_(company))\n\n[conversations and allowed temporary workers to listen to and transcribe some of them.](https://en.wikipedia.org/wiki/Temporary_worker) <sup>[188]</sup> Opinions\n\n[about this widespread surveillance range from those who see it as a necessary evil to those for whom it is](https://en.wikipedia.org/wiki/Necessary_evil)\n\n[clearly unethical and a violation of the right to privacy.](https://en.wikipedia.org/wiki/Right_to_privacy) <sup>[189]</sup>\n\nAI developers argue that this is the only way to deliver valuable applications. and have developed several\n\n[techniques that attempt to preserve privacy while still obtaining the data, such as data aggregation, de-](https://en.wikipedia.org/wiki/De-identification)\n\n[identification and differential privacy.](https://en.wikipedia.org/wiki/Differential_privacy) <sup>[190]</sup> [ Since 2016, some privacy experts, such as Cynthia Dwork,](https://en.wikipedia.org/wiki/Cynthia_Dwork)\n\n[have begun to view privacy in terms of fairness. Brian Christian wrote that experts have pivoted \"from](https://en.wikipedia.org/wiki/Brian_Christian)\n\nthe question of 'what they know' to the question of 'what they're doing with it'.\" <sup>[191]</sup>\n\nGenerative AI is often trained on unlicensed copyrighted works, including in domains such as images or\n\n[computer code; the output is then used under the rationale of \"fair use\". Experts disagree about how well](https://en.wikipedia.org/wiki/Fair_use)\n\nand under what circumstances this rationale will hold up in courts of law; relevant factors may include\n\n\"the purpose and character of the use of the copyrighted work\" and \"the effect upon the potential market\n\nfor the copyrighted work\". <sup>[192][193]</sup> Website owners who do not wish to have their content scraped can\n\n[indicate it in a \"robots.txt\" file.](https://en.wikipedia.org/wiki/Robots.txt) <sup>[194]</sup> [ In 2023, leading authors (including John Grisham and Jonathan](https://en.wikipedia.org/wiki/Jonathan_Franzen)\n\n### **Ethics**\n\n#### **Risks and harm**\n\n##### **Privacy and copyright**",
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- "text": "the future to warrant research or that humans will be valuable from the perspective of a superintelligent\n\nmachine. <sup>[282]</sup> However, after 2016, the study of current and future risks and possible solutions became a\n\nserious area of research. <sup>[283]</sup>\n\nFriendly AI are machines that have been designed from the beginning to minimize risks and to make\n\n[choices that benefit humans. Eliezer Yudkowsky, who coined the term, argues that developing friendly AI](https://en.wikipedia.org/wiki/Eliezer_Yudkowsky)\n\nshould be a higher research priority: it may require a large investment and it must be completed before AI\n\nbecomes an existential risk. <sup>[284]</sup>\n\nMachines with intelligence have the potential to use their intelligence to make ethical decisions. The field\n\nof machine ethics provides machines with ethical principles and procedures for resolving ethical\n\ndilemmas. <sup>[285]</sup> The field of machine ethics is also called computational morality, <sup>[285]</sup> and was founded at\n\n[an AAAI symposium in 2005.](https://en.wikipedia.org/wiki/AAAI) <sup>[286]</sup>\n\n[Other approaches include Wendell Wallach's \"artificial moral agents\"](https://en.wikipedia.org/wiki/Wendell_Wallach) <sup>[287]</sup> [ and Stuart J. Russell's three](https://en.wikipedia.org/wiki/Human_Compatible#Russell's_three_principles)\n\n[principles for developing provably beneficial machines.](https://en.wikipedia.org/wiki/Human_Compatible#Russell's_three_principles) <sup>[288]</sup>\n\n[Active organizations in the AI open-source community include Hugging Face,](https://en.wikipedia.org/wiki/Hugging_Face) <sup>[289]</sup> [ Google,](https://en.wikipedia.org/wiki/Google) <sup>[290]</sup>\n\n[EleutherAI and Meta.](https://en.wikipedia.org/wiki/Meta_Platforms) <sup>[291]</sup> [ Various AI models, such as Llama 2, Mistral or Stable Diffusion, have been](https://en.wikipedia.org/wiki/Stable_Diffusion)\n\nmade open-weight, <sup>[292][293]</sup> meaning that their architecture and trained parameters (the \"weights\") are\n\n[publicly available. Open-weight models can be freely fine-tuned, which allows companies to specialize](https://en.wikipedia.org/wiki/Fine-tuning_(deep_learning))\n\nthem with their own data and for their own use-case. <sup>[294]</sup> Open-weight models are useful for research and\n\ninnovation but can also be misused. Since they can be fine-tuned, any built-in security measure, such as\n\nobjecting to harmful requests, can be trained away until it becomes ineffective. Some researchers warn\n\nthat future AI models may develop dangerous capabilities (such as the potential to drastically facilitate\n\n[bioterrorism) and that once released on the Internet, they cannot be deleted everywhere if needed. They](https://en.wikipedia.org/wiki/Bioterrorism)\n\nrecommend pre-release audits and cost-benefit analyses. <sup>[295]</sup>\n\nArtificial Intelligence projects can have their ethical permissibility tested while designing, developing,\n\nand implementing an AI system. An AI framework such as the Care and Act Framework containing the\n\n[SUM values—developed by the Alan Turing Institute tests projects in four main areas:](https://en.wikipedia.org/wiki/Alan_Turing_Institute) <sup>[296][297]</sup>\n\n**Respect** the dignity of individual people\n\n**Connect** with other people sincerely, openly, and inclusively\n\n**Care** for the wellbeing of everyone\n\n**Protect** social values, justice, and the public interest\n\n[Other developments in ethical frameworks include those decided upon during the Asilomar Conference,](https://en.wikipedia.org/wiki/Asilomar_Conference_on_Beneficial_AI)\n\nthe Montreal Declaration for Responsible AI, and the IEEE's Ethics of Autonomous Systems initiative,\n\namong others; <sup>[298]</sup> however, these principles do not go without their criticisms, especially regards to the\n\npeople chosen contributes to these frameworks. <sup>[299]</sup>\n\n#### **Ethical machines and alignment**\n\n#### **Open source**\n\n#### **Frameworks**",
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- "text": "[Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent](https://en.wikipedia.org/wiki/Symbolic_AI)\n\n[mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt](https://en.wikipedia.org/wiki/Mental_objects)\n\n[that this approach would be able to imitate all the processes of human cognition, especially perception,](https://en.wikipedia.org/wiki/Machine_perception)\n\n[robotics, learning and pattern recognition,](https://en.wikipedia.org/wiki/Pattern_recognition) <sup>[335]</sup> and began to look into \"sub-symbolic\" approaches. <sup>[336]</sup>\n\n[Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that](https://en.wikipedia.org/wiki/Rodney_Brooks)\n\nmove and survive. <sup>[x]</sup> [ Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete](https://en.wikipedia.org/wiki/Lofti_Zadeh)\n\nand uncertain information by making reasonable guesses rather than precise logic. <sup>[86][341]</sup> But the most\n\n[important development was the revival of \"connectionism\", including neural network research, by](https://en.wikipedia.org/wiki/Connectionism)\n\n[Geoffrey Hinton and others.](https://en.wikipedia.org/wiki/Geoffrey_Hinton) <sup>[342]</sup> [ In 1990, Yann LeCun successfully showed that convolutional neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\n[networks can recognize handwritten digits, the first of many successful applications of neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\nnetworks. <sup>[343]</sup>\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal\n\n[mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\"](https://en.wikipedia.org/wiki/Narrow_AI)\n\n[focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics,](https://en.wikipedia.org/wiki/Statistics)\n\n[economics and mathematics).](https://en.wikipedia.org/wiki/Mathematical_optimization) <sup>[344]</sup> By 2000, solutions developed by AI researchers were being widely\n\nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as\n\n[the AI effect).](https://en.wikipedia.org/wiki/AI_effect) <sup>[345]</sup> However, several academic researchers became concerned that AI was no longer\n\npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they\n\n[founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\ninstitutions by the 2010s. <sup>[4]</sup>\n\n[Deep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.](https://en.wikipedia.org/wiki/Deep_learning) <sup>[11]</sup>\n\nFor many specific tasks, other methods were abandoned. <sup>[y]</sup> Deep learning's success was based on both\n\n[hardware improvements (faster computers,](https://en.wikipedia.org/wiki/Moore%27s_law) <sup>[347]</sup> [ graphics processing units, cloud computing](https://en.wikipedia.org/wiki/Cloud_computing) <sup>[348]</sup> ) and\n\n[access to large amounts of data](https://en.wikipedia.org/wiki/Big_data) <sup>[349]</sup> (including curated datasets, <sup>[348]</sup> [ such as ImageNet). Deep learning's](https://en.wikipedia.org/wiki/ImageNet)\n\nsuccess led to an enormous increase in interest and funding in AI. <sup>[z]</sup> The amount of machine learning\n\nresearch (measured by total publications) increased by 50% in the years 2015- 2019. <sup>[306]</sup>\n\n[In 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine](https://en.wikipedia.org/wiki/Algorithmic_fairness)\n\nlearning conferences, publications vastly increased, funding became available, and many researchers re-\n\n[focussed their careers on these issues. The alignment problem became a serious field of academic](https://en.wikipedia.org/wiki/AI_alignment)\n\nstudy. <sup>[283]</sup>\n\n[In the late teens and early 2020s, AGI companies began to deliver programs that created enormous](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\n[interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program](https://en.wikipedia.org/wiki/Go_player)\n\n[taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was](https://en.wikipedia.org/wiki/Large_language_model)\n\n[released in 2020 by OpenAI and is capable of generating high-quality human-like text.](https://en.wikipedia.org/wiki/OpenAI) <sup>[350]</sup> [ ChatGPT,](https://en.wikipedia.org/wiki/ChatGPT)\n\nlaunched on November 30, 2022, became the fastest-growing consumer software application in history,\n\ngaining over 100 million users in two months. <sup>[351]</sup> It marked what is widely regarded as AI's breakout\n\nyear, bringing it into the public consciousness. <sup>[352]</sup> [ These programs, and others, inspired an aggressive AI](https://en.wikipedia.org/wiki/AI_boom)\n\n[boom, where large companies began investing billions of dollars in AI research. According to AI Impacts,](https://en.wikipedia.org/wiki/AI_boom)\n\nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new",
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- "text": "[analysis and, more recently, multimodal sentiment analysis, wherein AI classifies the effects displayed by](https://en.wikipedia.org/wiki/Multimodal_sentiment_analysis)\n\na videotaped subject. <sup>[67]</sup>\n\n[A machine with artificial general intelligence should be able to solve a wide variety of problems with](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\n[breadth and versatility similar to human intelligence.](https://en.wikipedia.org/wiki/Human_intelligence) <sup>[4]</sup>\n\nAI research uses a wide variety of techniques to accomplish the goals above. <sup>[b]</sup>\n\nAI can solve many problems by intelligently searching through many possible solutions. <sup>[68]</sup> There are\n\n[two very different kinds of search used in AI: state space search and local search.](https://en.wikipedia.org/wiki/Local_search_(optimization))\n\n[State space search searches through a tree of possible states to try to find a goal state.](https://en.wikipedia.org/wiki/State_space_search) <sup>[69]</sup> For example,\n\n[planning algorithms search through trees of goals and subgoals, attempting to find a path to a target goal,](https://en.wikipedia.org/wiki/Automated_planning_and_scheduling)\n\n[a process called means-ends analysis.](https://en.wikipedia.org/wiki/Means-ends_analysis) <sup>[70]</sup>\n\n[Simple exhaustive searches](https://en.wikipedia.org/wiki/Brute_force_search) <sup>[71]</sup> [ are rarely sufficient for most real-world problems: the search space (the](https://en.wikipedia.org/wiki/Search_algorithm)\n\n[number of places to search) quickly grows to astronomical numbers. The result is a search that is too slow](https://en.wikipedia.org/wiki/Computation_time)\n\nor never completes. <sup>[15]</sup> [ \"Heuristics\" or \"rules of thumb\" can help prioritize choices that are more likely to](https://en.wikipedia.org/wiki/Heuristics)\n\nreach a goal. <sup>[72]</sup>\n\n[Adversarial search is used for game-playing programs, such as chess or Go. It searches through a tree of](https://en.wikipedia.org/wiki/Game_tree)\n\npossible moves and countermoves, looking for a winning position. <sup>[73]</sup>\n\n[Local search uses mathematical optimization to find a solution to a problem. It begins with some form of](https://en.wikipedia.org/wiki/Mathematical_optimization)\n\nguess and refines it incrementally. <sup>[74]</sup>\n\n[Gradient descent is a type of local search that optimizes a set of numerical parameters by incrementally](https://en.wikipedia.org/wiki/Gradient_descent)\n\n[adjusting them to minimize a loss function. Variants of gradient descent are commonly used to train](https://en.wikipedia.org/wiki/Gradient_descent)\n\nneural networks. <sup>[75]</sup>\n\n[Another type of local search is evolutionary computation, which aims to iteratively improve a set of](https://en.wikipedia.org/wiki/Evolutionary_computation)\n\n[candidate solutions by \"mutating\" and \"recombining\" them, selecting only the fittest to survive each](https://en.wikipedia.org/wiki/Artificial_selection)\n\ngeneration. <sup>[76]</sup>\n\n#### **General intelligence**\n\n### **Techniques**\n\n#### **Search and optimization**\n\n##### **State space search**\n\n##### **Local search**",
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- "query": "Is the topic of finance trending among AI topics for 2015 in Canada?",
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- "text": "ISSUE\n\nDecember 2024\n\nCATEGORIES\n\n[Technology & Cybersecurity](https://www.newscanada.com/en/Technology/content)\n\n[Editor's Picks](https://www.newscanada.com/en/editor-picks/content)\n\n[Finance - Personal](https://www.newscanada.com/en/personal-finance/content)\n\n[Home - Interior](https://www.newscanada.com/en/house-home/content)\n\n### [](https://facebook.com/sharer/sharer.php?u=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854) [](https://twitter.com/share?url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&text=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://pinterest.com/pin/create/bookmarklet/?&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854&description=Bloggers%2C%20editors%2C%20broadcasters%20and%20others%20looking%20for%20print%20and%20digital%20content%20%E2%80%93%20News%20Canada%20is%20your%20source%20for%20lifestyle%20content%20that%E2%80%99s%20free%20of%20copyright%20and%20charge.%20Save%20time%20and%20money%20with%20our%20ready-to-use%20articles%2C%20radio%2C%20video%20and%20content%20widgets.) [](https://www.linkedin.com/shareArticle?mini=true&url=https%3A%2F%2Fwww.newscanada.com%2Fen%2Fthe-top-ai-powered-tech-trends-in-2025-139854)\n\n## **The top AI-powered tech trends in 2025**\n\nwww.newscanada.com\n\nWord Count: 346\n\n[M ed i a A ttach m en ts](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n[View](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From\n\nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and\n\npersonalization.\n\nAI-powered computing\n\nAI-powered computing, such as Intel-powered laptops - or AI PC - is at the forefront of technological\n\nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors\n\n- also known as the brain of the computer - which optimizes performance, enhances security and\n\nprovides a more personalized experience as they learn from your usage patterns. For consumers, this\n\nmeans faster, smarter and more secure computing tailored to your individual needs.\n\nSmart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a\n\nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home\n\nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to\n\nsecurity and entertainment, making your home smarter and more responsive than ever before.\n\nHealth and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications\n\ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and\n\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights,\n\nhelping individuals make informed decisions about their well-being.\n\nFinancial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage\n\nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud\n\ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify\n\ntrends and make more informed financial decisions.\n\nEnhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each\n\nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students\n\nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative\n\ntasks and providing insights into student performance, allowing for more focused and effective\n\nteaching.\n\nLearn more at intel.com/aipc.\n\n−\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
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- "text": "Alternatively, dedicated models for mathematical problem solving with higher precision for the outcome\n\nincluding proof of theorems have been developed such as *Alpha Tensor* , *Alpha Geometry* and *Alpha*\n\n*Proof* [ all from Google DeepMind,](https://en.wikipedia.org/wiki/Google_DeepMind) <sup>[157]</sup> *Llemma* from eleuther <sup>[158]</sup> or *Julius* . <sup>[159]</sup>\n\nWhen natural language is used to describe mathematical problems, converters transform such prompts\n\n[into a formal language such as Lean to define mathematical tasks.](https://en.wikipedia.org/wiki/Lean_(proof_assistant))\n\nSome models have been developed to solve challenging problems and reach good results in benchmark\n\ntests, others to serve as educational tools in mathematics. <sup>[160]</sup>\n\nFinance is one of the fastest growing sectors where applied AI tools are being deployed: from retail\n\nonline banking to investment advice and insurance, where automated \"robot advisers\" have been in use\n\nfor some years. <sup>[161]</sup>\n\n[World Pensions experts like Nicolas Firzli insist it may be too early to see the emergence of highly](https://en.wikipedia.org/wiki/World_Pensions_%26_Investments_Forum)\n\ninnovative AI-informed financial products and services: \"the deployment of AI tools will simply further\n\nautomatise things: destroying tens of thousands of jobs in banking, financial planning, and pension advice\n\nin the process, but I'm not sure it will unleash a new wave of [e.g., sophisticated] pension\n\ninnovation.\" <sup>[162]</sup>\n\nVarious countries are deploying AI military applications. <sup>[163]</sup> [ The main applications enhance command](https://en.wikipedia.org/wiki/Command_and_control)\n\n[and control, communications, sensors, integration and interoperability.](https://en.wikipedia.org/wiki/Command_and_control) <sup>[164]</sup> Research is targeting\n\nintelligence collection and analysis, logistics, cyber operations, information operations, and\n\n[semiautonomous and autonomous vehicles.](https://en.wikipedia.org/wiki/Vehicular_automation) <sup>[163]</sup> AI technologies enable coordination of sensors and\n\n[effectors, threat detection and identification, marking of enemy positions, target acquisition, coordination](https://en.wikipedia.org/wiki/Target_acquisition)\n\n[and deconfliction of distributed Joint Fires between networked combat vehicles involving manned and](https://en.wikipedia.org/wiki/Forward_observers_in_the_U.S._military)\n\nunmanned teams. <sup>[164]</sup>\n\nAI has been used in military operations in Iraq, Syria, Israel and Ukraine. <sup>[163][165][166][167]</sup>\n\n[In the early 2020s, generative AI gained widespread prominence. GenAI is AI capable of generating text,](https://en.wikipedia.org/wiki/Generative_AI)\n\n[images, videos, or other data using generative models,](https://en.wikipedia.org/wiki/Generative_model) <sup>[168][169]</sup> [ often in response to prompts.](https://en.wikipedia.org/wiki/Prompt_(natural_language)) <sup>[170][171]</sup>\n\n[In March 2023, 58% of U.S. adults had heard about ChatGPT and 14% had tried it.](https://en.wikipedia.org/wiki/ChatGPT) <sup>[172]</sup> The increasing\n\n[realism and ease-of-use of AI-based text-to-image generators such as Midjourney, DALL-E, and Stable](https://en.wikipedia.org/wiki/Stable_Diffusion)\n\n[Diffusion sparked a trend of viral AI-generated photos. Widespread attention was gained by a fake photo](https://en.wikipedia.org/wiki/Viral_phenomenon)\n\n[of Pope Francis wearing a white puffer coat, the fictional arrest of Donald Trump, and a hoax of an attack](https://en.wikipedia.org/wiki/Donald_Trump)\n\n[on the Pentagon, as well as the usage in professional creative arts.](https://en.wikipedia.org/wiki/The_Pentagon) <sup>[173][174]</sup>\n\n#### **Finance**\n\n#### **Military**\n\n#### **Generative AI**\n\n#### **Agents**",
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- },
- {
- "text": "## **Artificial intelligence**\n\n**Artificial intelligence** ( **AI** [), in its broadest sense, is intelligence exhibited by machines, particularly](https://en.wikipedia.org/wiki/Machine)\n\n[computer systems. It is a field of research in computer science that develops and studies methods and](https://en.wikipedia.org/wiki/Computer_science)\n\n[software that enable machines to perceive their environment and use learning and intelligence to take](https://en.wikipedia.org/wiki/Machine_learning)\n\nactions that maximize their chances of achieving defined goals. <sup>[1]</sup> Such machines may be called AIs.\n\n[High-profile applications of AI include advanced web search engines (e.g., Google Search);](https://en.wikipedia.org/wiki/Google_Search)\n\n[recommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google](https://en.wikipedia.org/wiki/Google_Assistant)\n\n[Assistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,](https://en.wikipedia.org/wiki/Computational_creativity)\n\n[ChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,](https://en.wikipedia.org/wiki/Go_(game))\n\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\n\napplications, often without being called AI because once something becomes useful enough and common\n\n[enough it's not labeled AI anymore.\"](https://en.wikipedia.org/wiki/AI_effect) <sup>[2][3]</sup>\n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\n\n[traditional goals of AI research include reasoning, knowledge representation, planning, learning, natural](https://en.wikipedia.org/wiki/Natural_language_processing)\n\n[language processing, perception, and support for robotics.](https://en.wikipedia.org/wiki/Robotics) <sup>[a]</sup> [ General intelligence—the ability to complete](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\nany task performed by a human on an at least equal level—is among the field's long-term goals. <sup>[4]</sup> To\n\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\n\n[search and mathematical optimization, formal logic, artificial neural networks, and methods based on](https://en.wikipedia.org/wiki/Artificial_neural_network)\n\n[statistics, operations research, and economics.](https://en.wikipedia.org/wiki/Economics) <sup>[b]</sup> [ AI also draws upon psychology, linguistics, philosophy,](https://en.wikipedia.org/wiki/Philosophy_of_artificial_intelligence)\n\n[neuroscience, and other fields.](https://en.wikipedia.org/wiki/Neuroscience) <sup>[5]</sup>\n\nArtificial intelligence was founded as an academic discipline in 1956, <sup>[6]</sup> and the field went through\n\n[multiple cycles of optimism throughout its history,](https://en.wikipedia.org/wiki/History_of_artificial_intelligence) <sup>[7][8]</sup> followed by periods of disappointment and loss of\n\n[funding, known as AI winters.](https://en.wikipedia.org/wiki/AI_winter) <sup>[9][10]</sup> [ Funding and interest vastly increased after 2012 when deep learning](https://en.wikipedia.org/wiki/Deep_learning)\n\noutperformed previous AI techniques. <sup>[11]</sup> [ This growth accelerated further after 2017 with the transformer](https://en.wikipedia.org/wiki/Transformer_architecture)\n\n[architecture,](https://en.wikipedia.org/wiki/Transformer_architecture) <sup>[12]</sup> and by the early 2020s many billions of dollars were being invested in AI and the field\n\n[experienced rapid ongoing progress in what has become known as the AI boom. The emergence of](https://en.wikipedia.org/wiki/AI_boom)\n\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\n\n[several unintended consequences and harms in the present and raised concerns about the risks of AI and](https://en.wikipedia.org/wiki/AI_risk)\n\n[its long-term effects in the future, prompting discussions about regulatory policies to ensure the safety](https://en.wikipedia.org/wiki/AI_safety)\n\n[and benefits of the technology.](https://en.wikipedia.org/wiki/AI_safety)\n\n### **Goals**",
- "page_start": 0,
- "page_end": 0,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent](https://en.wikipedia.org/wiki/Symbolic_AI)\n\n[mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt](https://en.wikipedia.org/wiki/Mental_objects)\n\n[that this approach would be able to imitate all the processes of human cognition, especially perception,](https://en.wikipedia.org/wiki/Machine_perception)\n\n[robotics, learning and pattern recognition,](https://en.wikipedia.org/wiki/Pattern_recognition) <sup>[335]</sup> and began to look into \"sub-symbolic\" approaches. <sup>[336]</sup>\n\n[Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that](https://en.wikipedia.org/wiki/Rodney_Brooks)\n\nmove and survive. <sup>[x]</sup> [ Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete](https://en.wikipedia.org/wiki/Lofti_Zadeh)\n\nand uncertain information by making reasonable guesses rather than precise logic. <sup>[86][341]</sup> But the most\n\n[important development was the revival of \"connectionism\", including neural network research, by](https://en.wikipedia.org/wiki/Connectionism)\n\n[Geoffrey Hinton and others.](https://en.wikipedia.org/wiki/Geoffrey_Hinton) <sup>[342]</sup> [ In 1990, Yann LeCun successfully showed that convolutional neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\n[networks can recognize handwritten digits, the first of many successful applications of neural](https://en.wikipedia.org/wiki/Convolutional_neural_networks)\n\nnetworks. <sup>[343]</sup>\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal\n\n[mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\"](https://en.wikipedia.org/wiki/Narrow_AI)\n\n[focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics,](https://en.wikipedia.org/wiki/Statistics)\n\n[economics and mathematics).](https://en.wikipedia.org/wiki/Mathematical_optimization) <sup>[344]</sup> By 2000, solutions developed by AI researchers were being widely\n\nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as\n\n[the AI effect).](https://en.wikipedia.org/wiki/AI_effect) <sup>[345]</sup> However, several academic researchers became concerned that AI was no longer\n\npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they\n\n[founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\ninstitutions by the 2010s. <sup>[4]</sup>\n\n[Deep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.](https://en.wikipedia.org/wiki/Deep_learning) <sup>[11]</sup>\n\nFor many specific tasks, other methods were abandoned. <sup>[y]</sup> Deep learning's success was based on both\n\n[hardware improvements (faster computers,](https://en.wikipedia.org/wiki/Moore%27s_law) <sup>[347]</sup> [ graphics processing units, cloud computing](https://en.wikipedia.org/wiki/Cloud_computing) <sup>[348]</sup> ) and\n\n[access to large amounts of data](https://en.wikipedia.org/wiki/Big_data) <sup>[349]</sup> (including curated datasets, <sup>[348]</sup> [ such as ImageNet). Deep learning's](https://en.wikipedia.org/wiki/ImageNet)\n\nsuccess led to an enormous increase in interest and funding in AI. <sup>[z]</sup> The amount of machine learning\n\nresearch (measured by total publications) increased by 50% in the years 2015- 2019. <sup>[306]</sup>\n\n[In 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine](https://en.wikipedia.org/wiki/Algorithmic_fairness)\n\nlearning conferences, publications vastly increased, funding became available, and many researchers re-\n\n[focussed their careers on these issues. The alignment problem became a serious field of academic](https://en.wikipedia.org/wiki/AI_alignment)\n\nstudy. <sup>[283]</sup>\n\n[In the late teens and early 2020s, AGI companies began to deliver programs that created enormous](https://en.wikipedia.org/wiki/Artificial_general_intelligence)\n\n[interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program](https://en.wikipedia.org/wiki/Go_player)\n\n[taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was](https://en.wikipedia.org/wiki/Large_language_model)\n\n[released in 2020 by OpenAI and is capable of generating high-quality human-like text.](https://en.wikipedia.org/wiki/OpenAI) <sup>[350]</sup> [ ChatGPT,](https://en.wikipedia.org/wiki/ChatGPT)\n\nlaunched on November 30, 2022, became the fastest-growing consumer software application in history,\n\ngaining over 100 million users in two months. <sup>[351]</sup> It marked what is widely regarded as AI's breakout\n\nyear, bringing it into the public consciousness. <sup>[352]</sup> [ These programs, and others, inspired an aggressive AI](https://en.wikipedia.org/wiki/AI_boom)\n\n[boom, where large companies began investing billions of dollars in AI research. According to AI Impacts,](https://en.wikipedia.org/wiki/AI_boom)\n\nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new",
- "page_start": 22,
- "page_end": 22,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with](https://en.wikipedia.org/wiki/Hallucination_(artificial_intelligence))\n\n[RLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task](https://en.wikipedia.org/wiki/Chatbot)\n\nin simple text. <sup>[122][123]</sup>\n\n[Current models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and](https://en.wikipedia.org/wiki/Microsoft_Copilot)\n\n[LLaMA.](https://en.wikipedia.org/wiki/LLaMA) <sup>[124]</sup> [ Multimodal GPT models can process different types of data (modalities) such as images,](https://en.wikipedia.org/wiki/Modality_(human%E2%80%93computer_interaction))\n\nvideos, sound, and text. <sup>[125]</sup>\n\n[In the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific](https://en.wikipedia.org/wiki/Graphics_processing_unit)\n\n[enhancements and used with specialized TensorFlow software had replaced previously used central](https://en.wikipedia.org/wiki/Central_processing_unit)\n\n[processing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine](https://en.wikipedia.org/wiki/Machine_learning)\n\n[learning models' training.](https://en.wikipedia.org/wiki/Machine_learning) <sup>[126]</sup> [ Specialized programming languages such as Prolog were used in early AI](https://en.wikipedia.org/wiki/Prolog)\n\nresearch, <sup>[127]</sup> [ but general-purpose programming languages like Python have become predominant.](https://en.wikipedia.org/wiki/Python_(programming_language)) <sup>[128]</sup>\n\n[The transistor density in integrated circuits has been observed to roughly double every 18 months—a](https://en.wikipedia.org/wiki/Integrated_circuit)\n\n[trend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it.](https://en.wikipedia.org/wiki/Gordon_Moore)\n\n[Improvements in GPUs have been even faster.](https://en.wikipedia.org/wiki/GPUs) <sup>[129]</sup>\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including:\n\n[search engines (such as Google Search), targeting online advertisements, recommendation systems](https://en.wikipedia.org/wiki/Recommendation_systems)\n\n[(offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense,](https://en.wikipedia.org/wiki/AdSense)\n\n[Facebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and](https://en.wikipedia.org/wiki/Advanced_driver-assistance_system)\n\n[self-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial](https://en.wikipedia.org/wiki/Facial_recognition_system)\n\n[recognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used](https://en.wikipedia.org/wiki/Image_labeling)\n\n[by Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[officer (CAO).](https://en.wikipedia.org/wiki/Chief_automation_officer)\n\n[The application of AI in medicine and medical research has the potential to increase patient care and](https://en.wikipedia.org/wiki/Medical_research)\n\nquality of life. <sup>[130]</sup> [ Through the lens of the Hippocratic Oath, medical professionals are ethically](https://en.wikipedia.org/wiki/Hippocratic_Oath)\n\ncompelled to use AI, if applications can more accurately diagnose and treat patients. <sup>[131][132]</sup>\n\n[For medical research, AI is an important tool for processing and integrating big data. This is particularly](https://en.wikipedia.org/wiki/Big_data)\n\n[important for organoid and tissue engineering development which use microscopy imaging as a key](https://en.wikipedia.org/wiki/Microscopy)\n\ntechnique in fabrication. <sup>[133]</sup> It has been suggested that AI can overcome discrepancies in funding\n\nallocated to different fields of research. <sup>[133]</sup> New AI tools can deepen the understanding of biomedically\n\n[relevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours](https://en.wikipedia.org/wiki/AlphaFold_2)\n\n[rather than months, the 3D structure of a protein.](https://en.wikipedia.org/wiki/Protein_structure) <sup>[134]</sup> In 2023, it was reported that AI-guided drug\n\ndiscovery helped find a class of antibiotics capable of killing two different types of drug-resistant\n\nbacteria. <sup>[135]</sup> [ In 2024, researchers used machine learning to accelerate the search for Parkinson's disease](https://en.wikipedia.org/wiki/Parkinson%27s_disease)\n\n#### **Hardware and software**\n\n### **Applications**\n\n#### **Health and medicine**",
- "page_start": 8,
- "page_end": 8,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "[Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h](http://intelligence.org/files/AIPosNegFactor.pdf)\n\n[ttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF), ](http://intelligence.org/files/AIPosNegFactor.pdf) *Global Catastrophic Risks* , Oxford\n\n[University Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20](https://ui.adsabs.harvard.edu/abs/2008gcr..book..303Y)\n\n[08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc](https://web.archive.org/web/20131019182403/http://intelligence.org/files/AIPosNegFactor.pdf)\n\n[e.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved](https://web.archive.org/web/20131019182403/http://intelligence.org/files/AIPosNegFactor.pdf)\n\n24 September 2021\n\n[Autor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace](https://en.wikipedia.org/wiki/David_Autor)\n\nAutomation\" (2015) 29(3) *Journal of Economic Perspectives* 3.\n\n[Berlinski, David (2000). ](https://en.wikipedia.org/wiki/David_Berlinski) *[The Advent of the Algorithm](https://archive.org/details/adventofalgorith0000berl)* (https://archive.org/details/adventofalgorith\n\n[0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world](https://search.worldcat.org/oclc/46890682)\n\n[cat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch](https://web.archive.org/web/20200726215744/https://archive.org/details/adventofalgorith0000berl)\n\n[ive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved](https://web.archive.org/web/20200726215744/https://archive.org/details/adventofalgorith0000berl)\n\n22 August 2020.\n\n[Boyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585](https://direct.mit.edu/books/book/5859/The-LineAI-and-the-Future-of-Personhood)\n\n[9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024.](https://en.wikipedia.org/wiki/MIT_Press)\n\n[Cukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\", ](https://en.wikipedia.org/wiki/Kenneth_Cukier) *[Foreign Affairs](https://en.wikipedia.org/wiki/Foreign_Affairs)* , vol.\n\n[98, no. 4 (July/August 2019), pp. 192- 198. George Dyson, historian of computing, writes (in](https://en.wikipedia.org/wiki/George_Dyson_(science_historian))\n\nwhat might be called \"Dyson's Law\") that \"Any system simple enough to be understandable\n\nwill not be complicated enough to behave intelligently, while any system complicated\n\nenough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer\n\n[scientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core,](https://en.wikipedia.org/wiki/Algorithm)\n\ndead simple stupid. They work, but they work by brute force.\" (p. 198.)\n\n[Evans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/](https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49072)\n\n[10.5209%2Frev_TK.2015.v12.n2.49072). ](https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49072) *Teknokultura* . **12** (2).\n\n[doi:10.5209/rev_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49](https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49072)\n\n[072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763).](https://api.semanticscholar.org/CorpusID:147612763)\n\n[Frank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the](https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order)\n\n[21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli](https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order)\n\n[gence-can-shape-the-21st-century-global-order). ](https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order) *[The Diplomat](https://en.wikipedia.org/wiki/The_Diplomat_(magazine))* [. Archived (https://web.archiv](https://web.archive.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order/)\n\n[e.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli](https://web.archive.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order/)\n\n[gence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024.](https://web.archive.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelligence-can-shape-the-21st-century-global-order/)\n\nRetrieved 8 December 2023. \"Instead, the United States has developed a new area of\n\ndominance that the rest of the world views with a mixture of awe, envy, and resentment:\n\nartificial intelligence... From AI models and research to cloud computing and venture capital,\n\nU.S. companies, universities, and research labs - and their affiliates in allied countries -\n\nappear to have an enormous lead in both developing cutting-edge AI and commercializing it.\n\nThe value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the\n\nworld combined.\"\n\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I.\n\nchatbots to get their facts right — without destroying itself in the process?\" *New York Times*\n\n*Magazine* [ (July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipedia-](https://www.nytimes.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html)\n\n[ai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime](https://web.archive.org/web/20230720125400/https://www.nytimes.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html)\n\n[s.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n[Machine](https://en.wikipedia.org/wiki/Wayback_Machine)\n\n### **Further reading**",
- "page_start": 66,
- "page_end": 66,
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- },
- {
- "text": "[The first global AI Safety Summit was held](https://en.wikipedia.org/wiki/AI_Safety_Summit)\n\nin 2023 with a declaration calling for\n\ninternational cooperation.\n\nPromotion of the wellbeing of the people and communities that these technologies affect requires\n\nconsideration of the social and ethical implications at all stages of AI system design, development and\n\nimplementation, and collaboration between job roles such as data scientists, product managers, data\n\nengineers, domain experts, and delivery managers. <sup>[300]</sup>\n\n[The UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations](https://en.wikipedia.org/wiki/AI_Safety_Institute_(United_Kingdom))\n\navailable under a MIT open-source licence which is freely available on GitHub and can be improved with\n\nthird-party packages. It can be used to evaluate AI models in a range of areas including core knowledge,\n\nability to reason, and autonomous capabilities. <sup>[301]</sup>\n\nThe regulation of artificial intelligence is the development\n\nof public sector policies and laws for promoting and\n\nregulating AI; it is therefore related to the broader regulation\n\nof algorithms. <sup>[302]</sup> The regulatory and policy landscape for\n\nAI is an emerging issue in jurisdictions globally. <sup>[303]</sup>\n\n[According to AI Index at Stanford, the annual number of](https://en.wikipedia.org/wiki/Stanford)\n\nAI-related laws passed in the 127 survey countries jumped\n\nfrom one passed in 2016 to 37 passed in 2022\n\nalone. <sup>[304][305]</sup> Between 2016 and 2020, more than 30\n\ncountries adopted dedicated strategies for AI. <sup>[306]</sup> Most EU\n\nmember states had released national AI strategies, as had\n\nCanada, China, India, Japan, Mauritius, the Russian\n\nFederation, Saudi Arabia, United Arab Emirates, U.S., and\n\nVietnam. Others were in the process of elaborating their own AI strategy, including Bangladesh, Malaysia\n\nand Tunisia. <sup>[306]</sup> [ The Global Partnership on Artificial Intelligence was launched in June 2020, stating a](https://en.wikipedia.org/wiki/Global_Partnership_on_Artificial_Intelligence)\n\nneed for AI to be developed in accordance with human rights and democratic values, to ensure public\n\nconfidence and trust in the technology. <sup>[306]</sup> [ Henry Kissinger, Eric Schmidt, and Daniel Huttenlocher](https://en.wikipedia.org/wiki/Daniel_Huttenlocher)\n\npublished a joint statement in November 2021 calling for a government commission to regulate AI. <sup>[307]</sup>\n\nIn 2023, OpenAI leaders published recommendations for the governance of superintelligence, which they\n\nbelieve may happen in less than 10 years. <sup>[308]</sup> In 2023, the United Nations also launched an advisory\n\nbody to provide recommendations on AI governance; the body comprises technology company\n\nexecutives, governments officials and academics. <sup>[309]</sup> [ In 2024, the Council of Europe created the first](https://en.wikipedia.org/wiki/Council_of_Europe)\n\n[international legally binding treaty on AI, called the \"Framework Convention on Artificial Intelligence](https://en.wikipedia.org/wiki/Framework_Convention_on_Artificial_Intelligence_and_Human_Rights,_Democracy_and_the_Rule_of_Law)\n\n[and Human Rights, Democracy and the Rule of Law\". It was adopted by the European Union, the United](https://en.wikipedia.org/wiki/Framework_Convention_on_Artificial_Intelligence_and_Human_Rights,_Democracy_and_the_Rule_of_Law)\n\nStates, the United Kingdom, and other signatories. <sup>[310]</sup>\n\n[In a 2022 Ipsos survey, attitudes towards AI varied greatly by country; 78% of Chinese citizens, but only](https://en.wikipedia.org/wiki/Ipsos)\n\n35% of Americans, agreed that \"products and services using AI have more benefits than drawbacks\". <sup>[304]</sup>\n\n[A 2023 Reuters/Ipsos poll found that 61% of Americans agree, and 22% disagree, that AI poses risks to](https://en.wikipedia.org/wiki/Reuters)\n\nhumanity. <sup>[311]</sup> [ In a 2023 Fox News poll, 35% of Americans thought it \"very important\", and an additional](https://en.wikipedia.org/wiki/Fox_News)\n\n41% thought it \"somewhat important\", for the federal government to regulate AI, versus 13% responding\n\n\"not very important\" and 8% responding \"not at all important\". <sup>[312][313]</sup>\n\n#### **Regulation**",
- "page_start": 20,
- "page_end": 20,
- "source_file": "wikipedia3.pdf"
- },
- {
- "text": "265. Cellan-Jones (2014).\n\n266. Russell & Norvig 2021, p. 1001.\n\n267. Bostrom (2014).\n\n268. Russell (2019).\n\n269. Bostrom (2014); Müller & Bostrom (2014); Bostrom (2015).\n\n270. Harari (2023).\n\n271. Müller & Bostrom (2014).\n\n272. Leaders' concerns about the existential risks of AI around 2015: Rawlinson (2015), Holley\n\n(2015), Gibbs (2014), Sainato (2015)\n\n[273. \" \"Godfather of artificial intelligence\" talks impact and potential of new AI\" (https://www.cbsne](https://www.cbsnews.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai)\n\n[ws.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai). ](https://www.cbsnews.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai) *CBS*\n\n*News* [. 25 March 2023. Archived (https://web.archive.org/web/20230328225221/https://www.](https://web.archive.org/web/20230328225221/https://www.cbsnews.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai)\n\n[cbsnews.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai)](https://web.archive.org/web/20230328225221/https://www.cbsnews.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai)\n\nfrom the original on 28 March 2023. Retrieved 28 March 2023.\n\n[274. Pittis, Don (4 May 2023). \"Canadian artificial intelligence leader Geoffrey Hinton piles on](https://www.cbc.ca/news/business/ai-doom-column-don-pittis-1.6829302)\n\n[fears of computer takeover\" (https://www.cbc.ca/news/business/ai-doom-column-don-pittis-](https://www.cbc.ca/news/business/ai-doom-column-don-pittis-1.6829302)\n\n[1.6829302). ](https://www.cbc.ca/news/business/ai-doom-column-don-pittis-1.6829302) *CBC* [. Archived (https://web.archive.org/web/20240707032135/https://www.cbc.](https://web.archive.org/web/20240707032135/https://www.cbc.ca/news/business/ai-doom-column-don-pittis-1.6829302)\n\n[ca/news/business/ai-doom-column-don-pittis-1.6829302) from the original on 7 July 2024.](https://web.archive.org/web/20240707032135/https://www.cbc.ca/news/business/ai-doom-column-don-pittis-1.6829302)\n\nRetrieved 5 October 2024.\n\n[275. \" '50- 50 chance' that AI outsmarts humanity, Geoffrey Hinton says\" (https://www.bnnbloomb](https://www.bnnbloomberg.ca/50-50-chance-that-ai-outsmarts-humanity-geoffrey-hinton-says-1.2085394)\n\n[erg.ca/50-50-chance-that-ai-outsmarts-humanity-geoffrey-hinton-says-1.2085394).](https://www.bnnbloomberg.ca/50-50-chance-that-ai-outsmarts-humanity-geoffrey-hinton-says-1.2085394)\n\n*Bloomberg BNN* . 14 June 2024. Retrieved 6 July 2024.\n\n276. Valance (2023).\n\n[277. Taylor, Josh (7 May 2023). \"Rise of artificial intelligence is inevitable but should not be](https://www.theguardian.com/technology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says)\n\n[feared, 'father of AI' says\" (https://www.theguardian.com/technology/2023/may/07/rise-of-arti](https://www.theguardian.com/technology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says)\n\n[ficial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says). ](https://www.theguardian.com/technology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says) *The Guardian* .\n\n[Archived (https://web.archive.org/web/20231023061228/https://www.theguardian.com/techn](https://web.archive.org/web/20231023061228/https://www.theguardian.com/technology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says)\n\n[ology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-](https://web.archive.org/web/20231023061228/https://www.theguardian.com/technology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says)\n\n[of-ai-says) from the original on 23 October 2023. Retrieved 26 May 2023.](https://web.archive.org/web/20231023061228/https://www.theguardian.com/technology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says)\n\n[278. Colton, Emma (7 May 2023). \" 'Father of AI' says tech fears misplaced: 'You cannot stop it' \"](https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop)\n\n[(https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-can](https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop)\n\n[not-stop). ](https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop) *Fox News* [. Archived (https://web.archive.org/web/20230526162642/https://www.fo](https://web.archive.org/web/20230526162642/https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop)\n\n[xnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop) from](https://web.archive.org/web/20230526162642/https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop)\n\nthe original on 26 May 2023. Retrieved 26 May 2023.\n\n[279. Jones, Hessie (23 May 2023). \"Juergen Schmidhuber, Renowned 'Father Of Modern AI,'](https://www.forbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-to-dystopia)\n\n[Says His Life's Work Won't Lead To Dystopia\" (https://www.forbes.com/sites/hessiejones/20](https://www.forbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-to-dystopia)\n\n[23/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-](https://www.forbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-to-dystopia)\n\n[to-dystopia). ](https://www.forbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-to-dystopia) *Forbes* [. Archived (https://web.archive.org/web/20230526163102/https://www.fo](https://web.archive.org/web/20230526163102/https://www.forbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-to-dystopia/)\n\n[rbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai](https://web.archive.org/web/20230526163102/https://www.forbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-to-dystopia/)\n\n[-says-his-lifes-work-wont-lead-to-dystopia/) from the original on 26 May 2023. Retrieved](https://web.archive.org/web/20230526163102/https://www.forbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-to-dystopia/)\n\n26 May 2023.\n\n[280. McMorrow, Ryan (19 December 2023). \"Andrew Ng: 'Do we think the world is better off with](https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3)\n\n[more or less intelligence?' \" (https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f93](https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3)\n\n[52be3). ](https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3) *Financial Times* [. Archived (https://web.archive.org/web/20240125014121/https://ww](https://web.archive.org/web/20240125014121/https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3)\n\n[w.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3) from the original on 25 January](https://web.archive.org/web/20240125014121/https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3)\n\n2024. Retrieved 30 December 2023.\n\n[281. Levy, Steven (22 December 2023). \"How Not to Be Stupid About AI, With Yann LeCun\" (http](https://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview)\n\n[s://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview). ](https://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview) *Wired* [. Archived (h](https://web.archive.org/web/20231228152443/https://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview/)\n\n[ttps://web.archive.org/web/20231228152443/https://www.wired.com/story/artificial-intelligenc](https://web.archive.org/web/20231228152443/https://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview/)\n\n[e-meta-yann-lecun-interview/) from the original on 28 December 2023. Retrieved](https://web.archive.org/web/20231228152443/https://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview/)\n\n30 December 2023.",
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- "text": "Have your say! Complete our\n\n[2025 Media Survey](https://www.newscanada.com/en/have-your-say-complete-our-2025-media-survey-137263)\n\n[Retrain your way to a new job](https://www.newscanada.com/en/retrain-your-way-to-a-new-job-139857) [The top AI-powered tech trends](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\nin 2025\n\n[R el ated P o sts](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\n[Ter m s o f Use](https://www.newscanada.com/en/the-top-ai-powered-tech-trends-in-2025-139854)\n\nEDITOR'S PICKS\n\n+\n\n+\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada\n\nInc. All rights reserved.\n\nMENU SEARCH [ARTICLES](https://www.newscanada.com/en/articles/content) [RADIO](https://www.newscanada.com/en/radio/content) [VIDEO](https://www.newscanada.com/en/digital-content/content)\n\nEN",
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- "text": "[In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the](https://en.wikipedia.org/wiki/Bletchley_Park)\n\nnear and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks. <sup>[314]</sup>\n\n28 countries including the United States, China, and the European Union issued a declaration at the start\n\nof the summit, calling for international co-operation to manage the challenges and risks of artificial\n\nintelligence. <sup>[315][316]</sup> [ In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety](https://en.wikipedia.org/wiki/AI_Seoul_Summit)\n\ncommitments on the development of AI. <sup>[317][318]</sup>\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity.\n\n[The study of logic led directly to Alan Turing's theory of computation, which suggested that a machine,](https://en.wikipedia.org/wiki/Theory_of_computation)\n\nby shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical\n\nreasoning. <sup>[319][320]</sup> [ This, along with concurrent discoveries in cybernetics, information theory and](https://en.wikipedia.org/wiki/Information_theory)\n\n[neurobiology, led researchers to consider the possibility of building an \"electronic brain\".](https://en.wikipedia.org/wiki/Neurobiology) <sup>[r]</sup> They\n\ndeveloped several areas of research that would become part of AI, <sup>[322]</sup> [ such as McCullouch and Pitts](https://en.wikipedia.org/wiki/Walter_Pitts)\n\ndesign for \"artificial neurons\" in 1943, <sup>[115]</sup> [ and Turing's influential 1950 paper 'Computing Machinery](https://en.wikipedia.org/wiki/Computing_Machinery_and_Intelligence)\n\n[and Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was](https://en.wikipedia.org/wiki/Turing_test)\n\nplausible. <sup>[323][320]</sup>\n\n[The field of AI research was founded at a workshop at Dartmouth College in 1956.](https://en.wikipedia.org/wiki/Dartmouth_College) <sup>[s][6]</sup> The attendees\n\nbecame the leaders of AI research in the 1960s. <sup>[t]</sup> They and their students produced programs that the\n\npress described as \"astonishing\": <sup>[u]</sup> [ computers were learning checkers strategies, solving word problems](https://en.wikipedia.org/wiki/Checkers)\n\n[in algebra, proving logical theorems and speaking English.](https://en.wikipedia.org/wiki/Theorem) <sup>[v][7]</sup> Artificial intelligence laboratories were\n\nset up at a number of British and U.S. universities in the latter 1950s and early 1960s. <sup>[320]</sup>\n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in\n\n[creating a machine with general intelligence and considered this the goal of their field.](https://en.wikipedia.org/wiki/Artificial_general_intelligence) <sup>[327]</sup> In 1965\n\n[Herbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can](https://en.wikipedia.org/wiki/Herbert_A._Simon)\n\ndo\". <sup>[328]</sup> [ In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating](https://en.wikipedia.org/wiki/Marvin_Minsky)\n\n'artificial intelligence' will substantially be solved\". <sup>[329]</sup> They had, however, underestimated the difficulty\n\nof the problem. <sup>[w]</sup> In 1974, both the U.S. and British governments cut off exploratory research in\n\n[response to the criticism of Sir James Lighthill](https://en.wikipedia.org/wiki/Sir_James_Lighthill) <sup>[331]</sup> [ and ongoing pressure from the U.S. Congress to fund](https://en.wikipedia.org/wiki/Mansfield_Amendment)\n\n[more productive projects.](https://en.wikipedia.org/wiki/Mansfield_Amendment) <sup>[332]</sup> [ Minsky's and Papert's book ](https://en.wikipedia.org/wiki/Papert) *[Perceptrons](https://en.wikipedia.org/wiki/Perceptron)* was understood as proving that\n\n[artificial neural networks would never be useful for solving real-world tasks, thus discrediting the](https://en.wikipedia.org/wiki/Artificial_neural_networks)\n\napproach altogether. <sup>[333]</sup> [ The \"AI winter\", a period when obtaining funding for AI projects was difficult,](https://en.wikipedia.org/wiki/AI_winter)\n\nfollowed. <sup>[9]</sup>\n\n[In the early 1980s, AI research was revived by the commercial success of expert systems,](https://en.wikipedia.org/wiki/Expert_system) <sup>[334]</sup> a form of\n\nAI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for\n\n[AI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired](https://en.wikipedia.org/wiki/Fifth_generation_computer)\n\n[the U.S. and British governments to restore funding for academic research.](https://en.wikipedia.org/wiki/Academic_research) <sup>[8]</sup> However, beginning with\n\n[the collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longer-](https://en.wikipedia.org/wiki/Lisp_Machine)\n\nlasting winter began. <sup>[10]</sup>\n\n### **History**",
- "page_start": 21,
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- "references": {
- "source_file": "NYSE_CHK_2010.pdf",
- "query": "Is there any chance that my cousin has been granted financial aid from Chesapeak Energy? He's studying at a college in Oklahoma.",
- "target_page": 26,
- "target_passage": "hat’s why we gave $1.0 million to establish the Chesapeake Energy dormitory for students at the Oklahoma School for Science and Mathematics (OSSM",
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- "text": "**Chesapeake’s $25 million**\n\n**of charitable giving in 2010**\n\nChesapeake’s sense of civic commitment provides a bountiful harvest of\n\nbenefits to cities large and small. We partner with groups and organizations\n\nacross all of our operating areas to improve the communities our employ\n\nees, contractors, vendors, land and mineral owners call home. We believe\n\nthe success of our business depends on the strength, goodwill and vitality\n\nof those communities. Most importantly, we believe it is the responsibility\n\nof every successful business to share success with its neighbors.\n\nIn 2010 we gave more than $25 million to charitable organizations\n\nand projects across our operating areas, primarily focusing on community\n\ndevelopment, education, health and medical and social services.\n\n**Economic Impact**\n\nWhile much of the U.S. is still struggling to recover from the economic re\n\ncession, the positive impact of natural gas and oil operations has provided\n\na valuable economic recovery stimulus for states that are home to explora\n\ntion and development activities. As the nation’s second-largest producer\n\nof natural gas, a Top 15 producer of liquids and most active driller of new\n\nwells, Chesapeake’s arrival in a new play stimulates economic activity,\n\naugments personal income through jobs and royalty payments, gen-\n\nerates substantial tax revenue and sustains communities throughout its\n\noperating areas.\n\nIn addition to the general economic impact of our activities on local\n\neconomies, the company’s tax contributions are substantial. In 2010\n\nChesapeake paid approximately $675 million in taxes, including ad valorem,\n\nseverance, sales, employer, and corporate income and franchise taxes. These\n\ntaxes pay for ongoing government services and also build and maintain\n\nschools, recreational facilities, and parks and roads — at a time when state\n\nand local governments are still feeling the pinch of recession. We are proud\n\nto support America’s economy with our growth while also helping to protect\n\nthe environment through the greater use of clean-burning natural gas and\n\nreducing the country’s dependence on expensive foreign oil.\n\nChesapeake also makes contributions that help improve lives and\n\neconomies in cities where we operate: $25 million in 2010 alone. For ex\n\nample, this past year we donated $200,000 to establish the Chesapeake\n\nEnvironmental and Recycling Center at Goodwill Industries of Central\n\nOklahoma. The center will provide an additional 80 jobs to disabled Okla\n\nhomans, as well as help Goodwill recycle 10 million pounds a year, which\n\n**24** | COMMUNITY RELATIONS\n\n##### INVESTING IN OUR COMMUNITIES »\n\nCommunity Development\n\nEducation\n\nHealth and Medical\n\nSocial Services\n\n*Equipping the next generation — West Virginia*\n\n*students hold their new laptops from*\n\n*Chesapeake as part of the company’s*\n\n*Discovering Tomorrow’s Leaders program.*\n\n**54%**\n\n**24%**\n\n**7%**\n\n**15%**\n\nequates to one-third of\n\nthe goods that other-\n\nwise would have been\n\ndestined for Oklahoma\n\nCity-area landfills. In\n\nWest Virginia, we helped\n\nfund construction of\n\nthe Morgantown Market\n\nPlace, a permanent site for the city’s farmers’ market, creating more busi\n\nness opportunities for local farmers.\n\nChesapeake also supports local chambers of commerce and city\n\ncouncils in all of its operating areas. In the Haynesville Shale last year, we\n\nawarded grants to the Shelby County, Sabine Parish and Coushatta-Red\n\nRiver chambers of commerce to help fund tourism, business communi\n\ncations and chamber events. In Texas, we assisted more than 250 civic,\n\nprofessional and community service organizations throughout Johnson,\n\nTarrant and western Dallas counties, and sponsored memberships in\n\n35 local Texas chambers of commerce. By helping local chambers and\n\nbusinesses grow and thrive, we are creating stronger economies.\n\nWe also hire locally whenever possible to help stimulate the local\n\neconomy, and we provide training when the local work force isn’t yet\n\nqualified for the jobs we have open. For example, when Chesapeake\n\nbegan operating in the Marcellus Shale of West Virginia and Pennsyl\n\nvania, finding experienced rig workers was a challenge. To meet that\n\nneed, Chesapeake’s wholly owned subsidiary, Nomac Drilling, built\n\nthe 40,000-square-foot Eastern Training Center and Housing Facility in\n\nBradford County, near Sayre, Pennsylvania. The campus opened in 2010\n\nand serves as a housing facility and training ground for 266 workers at\n\na time. Nomac and Chesapeake host regular job fairs in the region and\n\nthe lines of interested candidates often extend out the door.\n\n**Educational Impact**\n\nWe are also proud to help prepare tomorrow’s leaders today. In 2010\n\nChesapeake supported universities, schools, academic chairs, scholarships\n\nand other educational programs with contributions totaling $5.4 million.\n\nInvesting in programs that promote technology and innovation is a\n\nkey to our country’s success. That’s why we gave $1.0 million to establish\n\nthe Chesapeake Energy dormitory for students at the Oklahoma School for\n\nScience and Mathematics (OSSM), a public, tuition-free, residential high\n\nschool located in Oklahoma City for juniors and seniors with exceptional\n\nabilities. The extremely competitive school is helping train the next gen-\n\neration of scientists and mathematicians.\n\nWe also established the Chesapeake Energy Presidential Scholars Pro\n\ngram at the Oklahoma City University Meinders School of Business, making\n\na $5.0 million commitment to be distributed over the next five years. The\n\nChesapeake Scholars Program will provide up to $25,000 per year in tuition",
- "page_start": 25,
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- "source_file": "NYSE_CHK_2010.pdf"
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- "text": "to selected students pursuing careers in finance, economics, accounting,\n\nmarketing, business administration, computer science and information\n\ntechnology. In addition, scholars will take part in a Chesapeake Presiden\n\ntial Leadership Course facilitated by faculty members in coordination with\n\ndesignated Chesapeake leadership coaches, including a Chesapeake senior\n\nvice president and OCU alumni.\n\nIn 2007 Chesapeake launched a scholarship program in Texas with an\n\ninitial $1.25 million contribution, challenging the cities of Fort Worth and Dal\n\nlas to match its gift within a year. The cities responded and matched the gift,\n\nso Chesapeake in 2008 added another $1.25 million to the fund, bringing the\n\ntotal to $3.75 million. The Chesapeake Scholarship Fund currently funds the\n\ncost of higher education for 48 minority students. The fund provides each\n\nstudent $20,000 a year for up to four years at the school of their choice. To\n\ndate more than $1.0 million has been distributed to deserving local students.\n\nTo help ensure the training of qualified geologists, engineers, land\n\nmen and energy lawyers in the next generation, we award scholarships\n\nto students pursuing energy-related degrees. We also help mentor them\n\nthrough Chesapeake’s Peak Program. Junior- and senior-level scholarship\n\nrecipients are paired with Chesapeake employee mentors who help devel\n\nop students’ knowledge and provide career advice. There are currently 25\n\nmentors and 40 scholarship recipients participating in the Peak Program.\n\nOur recruiting team also initiated a strategic military recruitment\n\neffort during the past two years to hire former military personnel to\n\nwork in a variety of leadership and crew positions. This effort earned\n\nChesapeake an honor from G.I. JOBS magazine when we were named a\n\n2011 Top 100 Military-Friendly Employer. Chesapeake currently employs\n\n37 men and women who formerly served as junior military officers and\n\nmore than 100 former servicemen and servicewomen who joined the\n\ncompany through a program called Troops 2 Roughnecks.\n\nIn addition to our specific scholarship programs, one-time educational\n\ndonations and recruitment efforts, in 2010 we gave more than $1.8 million\n\nto fund higher education for nearly 400 other students in 12 states through\n\nour Chesapeake Scholars program. Chesapeake’s scholarships help recruit\n\nthe best and brightest students and provide educational opportunities in\n\ncommunities where we operate. In Oklahoma City, more than 400 em\n\nployees volunteer for up to an hour a week on company time at four local\n\npublic schools. Chesapeake’s program has grown to become the largest\n\ncorporate mentoring program in Oklahoma.\n\n**Community Impact**\n\nChesapeake employees have been enriching their hometowns as volun\n\nteers for many years. We formalized those efforts in 2009 by establishing\n\nan official employee volunteer program, the H.E.L.P. (Helping Energize\n\nLocal Progress) Initiative, wherein employees are invited to volunteer\n\neach month for a variety of organizations from food pantries to animal\n\nshelters. Through that program, employees donated more than 26,000\n\nhours to their communities in 2009.\n\nIn the summer of 2010, Chesapeake took the H.E.L.P. Initiative to a\n\nhigher level through the launch of Operation Blue. From Memorial Day\n\nthrough Labor Day, each employee was given four hours of company time\n\nto complete the volunteer project of their choice. Our employees eagerly\n\naccepted the challenge, and in three months more than 4,900 employ\n\nees donated 30,900 hours of service to 519 organizations in more than\n\n96 communities across the country. Operation Blue is now an annual\n\nvolunteer program in which employees roll up their sleeves in the com\n\nmunities they call home.\n\nChesapeake’s contributions take many forms: financial and equipment\n\ndonations, volunteerism and scholarships. Last year, we made numerous\n\nin-kind donations of laptops, reconditioned Chesapeake fleet vehicles and\n\nsubsidized office space. These contributions provide essential operating\n\ntools as nonprofit organizations across the nation attempt to serve more\n\npeople — often with lower budgets — in tough economic times.\n\nFor example, in Louisiana we donated 12 vehicles in 2010, including\n\none to the Panola College Oil and Natural Gas Technology Program, which\n\nteaches students about the natural gas industry and provides them with\n\nhands-on technical training. Across many of the company’s operating\n\nareas, we’ve donated computers to deserving students, schools and\n\norganizations through Chesapeake’s Discovering Tomorrow’s Leaders\n\nprogram. In 2010 the company equipped 14 students with laptops and\n\ndonated 70 computers to schools or supporting nonprofit organizations.\n\nChesapeake partners with other companies and organizations to meet\n\nbasic, practical needs in hundreds of communities. An example is our\n\nsponsorship of the annual Day of Caring at the Ganus Center of Harding\n\nUniversity in White County, Arkansas. During the event, approximately\n\n1,200 uninsured or underinsured residents received a day of free medical,\n\ndental and eye screenings.\n\nTo help cultivate an appreciation for the great outdoors, in 2010\n\nChesapeake provided $25,000 to REAL School Gardens, a Fort Worth-\n\nbased organization that establishes gardens at approximately 70 lower\n\nincome elementary schools in North Texas. At I.M. Terrell Elementary\n\nSchool, students, parents, teachers and volunteers from Chesapeake and\n\nother groups worked together to prepare vegetable gardens and flower\n\nbeds. In addition to teamwork skills and gardening, students learned\n\nabout nutrition and took home food from the garden’s bounty.\n\nWe supported servicemen and servicewomen by partnering with the\n\nShreveport Chapter of Operation Support Our Troops, Inc. Our contribution\n\nhelped offset the postage to send more than 100 care packages to troops\n\noverseas. The shipment was the largest in the organization’s history and\n\nincluded Christmas cards, games and nonperishable food items.\n\nBy investing in the communities where we operate and the people\n\nwhose lives we touch, we ensure a stronger today and a more hope-\n\nful tomorrow.\n\n2010 ANNUAL REPORT | **25**\n\n*Putting food on the table — Employees volunteer at the Regional Food Bank*\n\n*of Oklahoma as part of Operation Blue.*",
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- "text": "**Corporate Headquarters**\n\n6100 North Western Avenue\n\nOklahoma City, OK 73118\n\n(405) 935-8000\n\n**Internet Address**\n\nCompany financial information, public disclo\n\nsures and other information are available through\n\nChesapeake’s website at www.chk.com.\n\n**Common Stock**\n\nChesapeake Energy Corporation’s common stock\n\nis listed on the New York Stock Exchange (NYSE)\n\nunder the symbol CHK. As of March 31, 2011, there\n\nwere approximately 415,000 beneficial owners\n\nof our common stock.\n\n**Common Stock Dividends**\n\nDuring 2010 the company declared a cash div\n\nidend of $0.075 per share on March 8, June 21,\n\nSeptember 1 and December 20 for a total div-\n\nidend declared of $0.30 per share.\n\n**Independent Public Accountants**\n\nPricewaterhouseCoopers LLP\n\n6120 South Yale, Suite 1850\n\nTulsa, OK 74136\n\n(918) 524-1200\n\n**Stock Transfer Agent and Registrar**\n\nCommunication concerning the transfer of shares,\n\nlost certificates, duplicate mailings or change of\n\naddress notifications should be directed to our\n\ntransfer agent:\n\nComputershare Trust Company, N.A.\n\n250 Royall Street\n\nCanton, MA 02021\n\n(800) 884-4225\n\nwww.computershare.com\n\n**Trustee for the Company’s Senior Notes**\n\nThe Bank of New York Mellon Trust Company, N.A.\n\n101 Barclay Street, 8th Floor\n\nNew York, NY 10286\n\nwww.bnymellon.com\n\n**Forward-looking Statements**\n\nThis report includes “forward-looking statements”\n\nthat give our current expectations or forecasts\n\n**2011 High Low Last**\n\nFirst Quarter $ 35.95 $ 25.93 $ 33.52\n\n**2010 High Low Last**\n\nFourth Quarter $ 26.43 $ 20.97 $ 25.91\n\nThird Quarter 23.00 19.68 22.65\n\nSecond Quarter 25.55 19.62 20.95\n\nFirst Quarter 29.22 22.10 23.64\n\n**2009 High Low Last**\n\nFourth Quarter $ 30.00 $ 22.06 $ 25.88\n\nThird Quarter 29.49 16.92 28.40\n\nSecond Quarter 24.66 16.43 19.83\n\nFirst Quarter 20.13 13.27 17.06\n\n**2008 High Low Last**\n\nFourth Quarter $ 35.46 $ 9.84 $ 16.17\n\nThird Quarter 74.00 31.15 35.86\n\nSecond Quarter 68.10 45.25 65.96\n\nFirst Quarter 49.87 34.42 46.15\n\nof future events. They include estimates of nat\n\nural gas and oil reserves, expected production,\n\nassumptions regarding future natural gas and\n\noil prices, planned drilling activity and capital\n\nexpenditures, and future asset sales, as well as\n\nstatements concerning anticipated cash flow and\n\nliquidity, business strategy and other plans and\n\nobjectives for future operations. Although we\n\nbelieve the expectations and forecasts reflected\n\nin these and other forward-looking statements\n\nare reasonable, we can give no assurance they\n\nwill prove to have been correct. They can be af\n\nfected by inaccurate assumptions or by known\n\nor unknown risks and uncertainties.\n\nFactors that could cause actual results to differ\n\nmaterially from expected results are described\n\nunder “Risk Factors” in Item 1A of our 2010 Annual\n\nReport on Form 10-K included in this report. We\n\ncaution you not to place undue reliance on for\n\nward-looking statements, and we undertake no\n\nobligation to update this information. We urge\n\nyou to carefully review and consider the disclo\n\nsures made in this report and our other filings\n\nwith the Securities and Exchange Commission\n\n(SEC) regarding the risks and factors that may\n\naffect our business.\n\nThe SEC requires natural gas and oil companies, in\n\nfilings made with the SEC, to disclose proved re-\n\nserves and permits the optional disclosure of\n\nprobable and possible reserves. While Chesapeake\n\nhas elected not to report probable and possible\n\nreserves in its filings with the SEC, we have pro-\n\nvided estimates in this report of what we consider\n\nto be our “total resource base.” This term includes\n\nour estimated proved reserves as well as “risked\n\nand unrisked unproved resources,” which repre\n\nsent Chesapeake’s internal estimates of volumes of\n\nnatural gas and oil that are not classified as proved\n\nreserves but are potentially recoverable through\n\nexploratory drilling or additional drilling or recovery\n\ntechniques. Our estimates of unproved resources\n\nare not intended to correspond to probable and\n\npossible reserves, as defined by SEC regulations,\n\nand are by their nature more speculative than\n\nestimates of proved reserves and accordingly are\n\nsubject to substantially greater risk of being ac\n\ntually realized by the company.\n\n**CORPORATE INFORMATION**\n\nWWW.CHK.COM",
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- "text": "**ON THE COVER**\n\n*Moving west, a Chesapeake rig*\n\n*drills toward the Niobrara Shale*\n\n*in the Powder River Basin of*\n\n*southeastern Wyoming, one of*\n\n*several new liquids-rich plays*\n\n*that are enabling the company*\n\n*to increase its profitability and*\n\n*return on capital.*\n\n**CONTENTS**\n\n1 Financial Review\n\n4 Letter to Shareholders\n\n16 Operating Areas\n\n20 Investor Q&A\n\n22 Social Responsibility\n\n24 Community Relations\n\n26 \u0007Environmental, Health & Safety\n\n28 Board of Directors\n\n28 Governance\n\n29 Officers\n\n30 Employees\n\n45 Form 10-K\n\nInside Back Cover\n\nCorporate Information\n\n#### Chesapeake Energy Corporation is the second-largest producer of\n\n#### natural gas, a Top 15 producer of oil and natural gas liquids and\n\n#### the most active driller of new wells in the U.S.\n\nHeadquartered in Oklahoma City, the company’s operations are focused on discovering and developing\n\nunconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in\n\nthe Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite\n\nWash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford,\n\nNiobrara and Utica unconventional liquids-rich plays.\n\nThe company has also vertically integrated its oper-\n\nations and owns substantial midstream, compression,\n\ndrilling and oilfield service assets. Chesapeake’s stock\n\nis listed on the New York Stock Exchange under\n\nthe symbol CHK. Further information is available at\n\n**www.chk.com** where Chesapeake routinely posts\n\nannouncements, updates, events, investor informa-\n\ntion, presentations and press releases.\n\n**CORPORATE PROFILE**",
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- "text": "*Developing great assets begins with*\n\n*great people, such as the hardworking*\n\n*crews of Nomac, Chesapeake’s wholly*\n\n*owned drilling subsidiary. Employees*\n\n*take pride in the critical roles they play*\n\n*in finding and delivering natural gas*\n\n*to their fellow Americans.*",
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- "text": "2010 ANNUAL REPORT | **7**\n\n*Developing America’s fuel in*\n\n*the backyard of America’s team:*\n\n*a Chesapeake rig drills deep in*\n\n*the Barnett Shale near Cowboys*\n\n*Stadium in Arlington, Texas.*",
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- "text": "atmosphere of vitality and energy at Chesapeake, important ingredi\n\nents of our distinctive culture. These attributes, along with a vibrant\n\nand attractive corporate headquarters campus, low levels of bureau\n\ncracy, great assets and a well-executed corporate strategy combine to\n\ncreate our culture of success and innovation.\n\nThis has generated extremely positive external feedback as\n\nChesapeake was recently recognized for the fourth consecutive year\n\nas one of the FORTUNE 100 Best Companies to Work For <sup>®(3)</sup> in the U.S.\n\nIn fact, we moved up to #32 overall and #1 in our industry — we are\n\nvery proud of having created and sustained what is now considered\n\nthe best place to work in all of the U.S. energy production industry.\n\nIn addition, we were honored in December 2010 at the 12th Annual\n\nPlatts Global Energy Awards as finalists for CEO of the Year, Community\n\nDevelopment Program of the Year, Deal of the Year, Energy Producer\n\nof the Year and the Industry Leadership Award. Chesapeake was one\n\nof only two companies selected as a finalist in five or more categories.\n\nThe company was also honored in 2010 with a Certificate of Recognition\n\nfor our military reserve recruiting efforts, named a 2010 Best Diversity\n\nCompany by Engineering & Information Technology Magazine and rec\n\nognized for Best Investor Relations in Energy Sector and Best Investor\n\nRelations Website at the 2010 IR Magazine U.S. Awards.\n\n**Recent Events and a Better Way Forward**\n\nYou may be aware that I have been outspoken in attempting to persuade\n\nour country’s political leadership to recognize that the discovery of vast\n\nresources of unconventional natural gas and oil in the U.S. is a complete\n\ngame changer for our country from an economic, national security and\n\nenvironmental perspective. After two years of my best efforts and the\n\nefforts of many others in the industry, most notably T. Boone Pickens,\n\nFrom our beginning 22 years ago with 10\n\nemployees in Oklahoma City to employing\n\nmore than 10,000 people across 15 states\n\ntoday, Chesapeake has always focused on\n\nbuilding first-class human resources within\n\na distinctive corporate culture.\n\n*<<* *A Chesapeake rig drills in the Marcellus Shale, where the company is*\n\n*the leading leasehold owner, largest producer and most active driller.*\n\nwet natural gas and dry natural gas), similar to the components of the\n\nEagle Ford Shale. We have made a large commitment to this play and\n\nhave acquired approximately 1.2 million net leasehold acres and expect\n\nto increase this total to as much as 1.5 million net leasehold acres in the\n\ncoming months. We are currently using three rigs to evaluate the play\n\nand believe our leasehold could support the drilling of up to 12,000 net\n\nwells. This is an area where we anticipate bringing in a joint venture\n\npartner late in 2011 or early in 2012.\n\n**Our People**\n\nGreat assets cannot exist without great people, so we take great pride\n\nin hiring, training, motivating, rewarding and retaining what we regard\n\nas the best employees in the industry. From our beginning 22 years ago\n\nwith 10 employees in Oklahoma City to employing more than 10,000\n\npeople across 15 states today, Chesapeake has always focused on build\n\ning first-class human resources within a distinctive corporate culture. Talk\n\nto Chesapeake employees and you will note genuine pride and great\n\nenthusiasm about the company and the critical role that we play in deliv\n\nering increasing quantities of clean and affordable American natural gas\n\nand valuable and reliable liquids to energy consumers across the country.\n\nChesapeake employees are distinctive in other ways as well. They\n\nare much younger than the industry average, with half of our almost\n\n4,000 Oklahoma City-based headquarters employees 33 years old\n\nor younger. Their enthusiasm and willingness to learn create an\n\n**12** | LETTER TO SHAREHOLDERS 2010 ANNUAL REPORT | **13**",
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- "text": "## Financial Information",
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- "text": "horizontal wells drilled just to the Bossier may not always hold Haynes\n\nville rights. Therefore, Chesapeake and other producers have been drilling\n\naggressively to hold all rights through the Haynesville before the initial\n\nthree-year term of a typical lease expires. As a result, there has not been\n\nmuch drilling to the Bossier to date. However, once our leases are held by\n\nproduction (HBP) by Haynesville drilling (we expect to be largely complete\n\nwith HBP drilling by year-end 2011 and completely finished by year-end\n\n2012), we will begin developing the Bossier Shale more aggressively in\n\n2013. In the Bossier play, we own 205,000 net leasehold acres and esti\n\nmate we could drill up to 2,600 net wells in the years ahead.\n\nMarcellus Shale — We first became aware of the Marcellus in 2005\n\nwhen we were negotiating our $2.2 billion acquisition of Appalachia’s\n\nsecond-largest natural gas producer, Columbia Natural Resources, LLC.\n\nIn 2007 we aggressively accelerated our Marcellus leasehold acquisition\n\nefforts and began to prepare for our first drilling activities. By early 2008,\n\nwe had determined the Marcellus could be prospective over an area of\n\napproximately 15 million net acres (approximately five times larger\n\nthan the prospective Haynesville core area and 10 times larger than the\n\nBarnett core area).\n\nAfter acquiring 1.8 million net leasehold acres, we entered into a\n\njoint venture agreement in late 2008 with Oslo-based Statoil, one of the\n\nlargest and most respected European energy companies. In this trans\n\naction, we sold Statoil 32.5% of our Marcellus assets for $3.375 billion\n\nin cash and drilling carries. Today, having sold 32.5% of our original 1.8\n\nmillion net leasehold acres, we have returned to owning 1.7 million net\n\nleasehold acres in the play and are the industry’s leading leasehold\n\nowner, largest producer and most active developer. We are producing\n\nfrom more than 100 net wells in the Marcellus on our 1.7 million net acres,\n\nare currently drilling with 32 rigs and estimate we could drill up to 21,000\n\nadditional net wells in the years ahead.\n\nColony and Texas Panhandle Granite Wash — These\n\nliquids-rich plays generate the company’s highest returns\n\n(routinely more than 100%) and provided the inspiration\n\nfor the company to find other liquids-rich plays in 2010.\n\nThe Granite Wash, and other plays with liquids-rich gas\n\nproduction streams, provide the strongest economics in\n\nthe industry today because they possess the best of both\n\nworlds: high-volume natural gas production along with\n\nsignificant volumes of highly valued liquids that dramatically increase\n\ninvestment returns.\n\nWe are producing from approximately 150 net Granite Wash\n\nwells, are currently drilling with 16 rigs and estimate we could drill\n\nup to 1,700 additional net wells on our 215,000 net leasehold acres in\n\nthe years ahead. Based on current NYMEX futures prices for natu\n\nral gas and oil, each Granite Wash well should generate approxi-\n\nmately $11.5 million of present value (or up to an undiscounted\n\ntotal of $19.5 billion for all 1,700 wells), making it obvious why finding,\n\nleasing and developing more unconventional liquids-rich plays was\n\nChesapeake’s number one priority for 2010. We were very successful\n\n2010 ANNUAL REPORT | **9**\n\nThe very significant upward\n\ntrajectory of value creation that\n\nChesapeake is on today is primarily\n\ndriven by the quality of our assets,\n\nwhich feature dominant positions\n\nin 16 of the 20 most important\n\nmajor unconventional natural gas\n\nand liquids plays in the U.S.\n\n*Generating the highest returns in the company, plays like the Oklahoma Colony Granite*\n\n*Wash inspire Chesapeake to find other liquids-rich opportunities.*",
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- "source_file": "NYSE_SMFG_2011.pdf",
- "query": "Has the Sumitomo Mitsui Financial Group offered help to the elderly?",
- "target_page": 6,
- "target_passage": "Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycleframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a soundplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound balance between work and care needs, given that many group employees will later need to nurse ailing relatives.balance between work and care needs, given that many group employees will later need to nurse ailing relatives",
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- "text": "Sumitomo Mitsui Financial Group CSR Report\n\n**Digest version**\n\nwww.smfg.co.jp/english",
- "page_start": 0,
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- "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group\n\nis fulfilling as we work to create a sustainable society.\n\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is\n\nthe essence of business itself, and our initiatives act upon this.\n\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s\n\nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report\n\n2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR\n\nactivities and statistical data omitted in the CSR Report 2011 (digest version).\n\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in\n\nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand\n\nour CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n**Editorial Policy**\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n**Our CSR reporting**\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n\n* Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international\n\norganization (GRI) in 1997 to encourage its adoption worldwide.\n\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\n\n**Reference guidelines**\n\n- Sumitomo Mitsui Financial Group, Inc.\n\n- Sumitomo Mitsui Banking Corporation\n\n- SMFG Card & Credit, Inc.\n\n- Sumitomo Mitsui Card Company, Limited\n\n- Cedyna Financial Corporation\n\n- Sumitomo Mitsui Finance and Leasing Co., Ltd.\n\n- The Japan Research Institute, Limited\n\n- SMBC Friend Securities Co., Ltd.\n\n- SMBC Nikko Securities Inc.\n\n- THE MINATO BANK, LTD.\n\n- Kansai Urban Banking Corporation\n\n- Other Group companies\n\n**Scope of this Report**\n\nThroughout this report, **“Sumitomo Mitsui Financial Group”** or **“SMFG”** refers to the holding company alone. **“The SMFG Group”**\n\nrefers to the holding company and its primary domestic and international subsidiaries and affiliates.\n\nCompany name abbreviations and other special terminology\n\n**About this Report**\n\n**Corporate Outline (as of September 30, 2011)**\n\nCompany Name\n\nBusiness Description\n\nEstablished\n\nHead Office\n\nChairman of the Board\n\nPresident\n\nCapital\n\nStock Exchange Listings\n\nSumitomo Mitsui Financial Group, Inc.\n\nManagement of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of\n\nnon-bank subsidiaries, as well as the performance of ancillary functions\n\nDecember 2, 2002\n\n1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan\n\nMasayuki Oku\n\nKoichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation)\n\n¥2,337.8 billion\n\nTokyo Stock Exchange (First Section)\n\nOsaka Securities Exchange (First Section)\n\nNagoya Stock Exchange (First Section)\n\n： ：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n：\n\n**Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)**\n\nPeriod Covered\n\nPublication Date of\n\nJapanese Document\n\nContact\n\nCovers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies,\n\ncentered on specific examples centered on specific examples\n\nThis is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of\n\nCSR activities at SMFG CSR activities at SMFG\n\nCovers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed\n\ninformation on CSR activities information on CSR activities\n\n**CSR disclosure**\n\n**through**\n\n**specific examples**\n\n**Comprehensive**\n\n**disclosure of**\n\n**CSR activities**\n\n**Enriched**\n\n**CSR disclosure**\n\n：\n\n：\n\n：\n\nApril 1, 2010 to March 31, 2011 ( “Fiscal 2010” )\n\nNote: Certain items in this report refer to activities taking place after April 2011.\n\nDecember 2011\n\nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.\n\n1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005\n\nTEL: +81-3-3282-8111\n\nSumitomo Mitsui Sumitomo Mitsui\n\nBanking Corporation Banking Corporation\n\nSMBC Nikko Securities SMBC Nikko Securities ORIX Credit ORIX Credit PROMISE * PROMISE * Sumitomo Mitsui Card Sumitomo Mitsui Card Cedyna Cedyna\n\nSMFG Card & Credit SMFG Card & Credit Sumitomo Mitsui Sumitomo Mitsui\n\nFinance and Leasing Finance and Leasing\n\nThe Japan The Japan\n\nResearch Institute Research Institute SMBC Friend Securities SMBC Friend Securities\n\nDaiwa SB Investments Daiwa SB Investments\n\nSumitomo Mitsui Auto Service Sumitomo Mitsui Auto Service\n\n**SMFG SUMITOMO MITSUI FINANCIAL GROUP**\n\nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\n\n**CSR report 2011 (digest version)**\n\n**CSR report (online version, Japanese only)**\n\n**CSR report 2011**\n\n**(digest version with examples of activities and**\n\n**statistical performance, online PDF file)**\n\nwww.smfg.co.jp/responsibility\n\n29 **CSR REPORT 2011 CSR REPORT 2011** 30",
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- "text": "Mitsui Charity Hospital at its establishment Mitsui Charity Hospital at its establishment\n\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And today And today\n\n**Reconstruction after the earthquake and tsunami**\n\n**Measures for Japan’s regeneration**\n\n####### **Further measures needed**\n\n**Shrinking and aging population**\n\n**Ensuring peace of mind for the future**\n\n**Environmental measures**\n\n**Creating systems for sustainability Global challenges**\n\n**Symbiosis and diversity**\n\nThe March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power\n\ngeneration capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition\n\nto the severe damage sustained by agriculture and fisheries in the Northeast. to the severe damage sustained by agriculture and fisheries in the Northeast.\n\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role as The disaster also threw into relief many social issues facing the nation. By leveraging our role as\n\na leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the\n\nenormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders\n\nincluding enterprises, local governments and non-profit organizations. including enterprises, local governments and non-profit organizations.\n\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively\n\nleverage its role as a leading financial services group. This is a priority field for the future. leverage its role as a leading financial services group. This is a priority field for the future.\n\nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but\n\nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to\n\ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired contribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired\n\ntechnological breakthroughs, with a particular focus on the Asian region. technological breakthroughs, with a particular focus on the Asian region.\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create\n\nframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle\n\nplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound\n\nbalance between work and care needs, given that many group employees will later need to nurse ailing relatives. balance between work and care needs, given that many group employees will later need to nurse ailing relatives.\n\n-\n\n-\n\n-\n\nWide-ranging financial support for the reconstruction of infrastructure Wide-ranging financial support for the reconstruction of infrastructure\n\nOngoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers\n\nComprehensive support for industrial recovery in partnership with local governments and Comprehensive support for industrial recovery in partnership with local governments and\n\nfinancial institutions in the disaster-affected areas financial institutions in the disaster-affected areas\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its\n\noperations both in Japan and overseas. Initiatives include aggressive development of advisory operations both in Japan and overseas. Initiatives include aggressive development of advisory\n\nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor, services for infrastructure upgrades in emerging economies, a cross-departmental endeavor,\n\nas well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly\n\nthrough branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international\n\ncommunity so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nGive further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas\n\nreduction, water supply, new energy and resource initiatives reduction, water supply, new energy and resource initiatives\n\nDo more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a\n\nfinancial institution financial institution\n\nShare our information assets and know-how globally in the Share our information assets and know-how globally in the\n\nenvironmental business environmental business\n\n*Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nSupport businesses involved in health, medical and Support businesses involved in health, medical and\n\nnursing care nursing care\n\nExpand range of financial products and services for the Expand range of financial products and services for the\n\nelderly (planning for asset management for old age) elderly (planning for asset management for old age)\n\nFoster a better work-life balance Foster a better work-life balance\n\n####### **Further measures needed**\n\n-\n\n-\n\n-\n\nShare expertise in corporate social responsibility Share expertise in corporate social responsibility\n\nwith the international community with the international community\n\nImprove financial services in preparation for the Improve financial services in preparation for the\n\nglobalization of operations in Japan (multilingual globalization of operations in Japan (multilingual\n\nsupport) support)\n\nPromote diversity Promote diversity\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation\n\nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper\n\nmine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to\n\ngive the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this\n\ncorporate social responsibility corporate social responsibility DNA embedded in the business DNA embedded in the business\n\nphilosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400\n\nyears of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving\n\nproblems facing the international problems facing the international community through our financial community through our financial\n\nservice service operations. operations.\n\n**Priority Issues for Us** As one of Japa As one of Japan’s leading financial services groups, s leading financial services groups,\n\nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues\n\nwe have identified as significantly impacting the nation. we have identified as significantly impacting the nation.",
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- "text": "####### **President**\n\n####### **Sumitomo Mitsui Financial Group, Inc.**\n\n**INDEX**\n\n**Foreword**\n\n**Commitment from the Top**\n\n**A Conversation with Tadao Ando,**\n\n**Takeshi Kunibe and Koichi Miyata**\n\n**Our Mission and CSR at SMFG**\n\n〈 **Specific Examples of CSR Activities** 〉\n\n**Environmental Activities**\n\n**Social Contribution Activities**\n\n**Together with Our Customers**\n\n**Together with Our Shareholders**\n\n**and Markets**\n\n**Together with Our Employees**\n\n**1**\n\n**3**\n\n**Measures to Support Reconstruction**\n\n**after the March 11**\n\n**Earthquake and Tsunami 8**\n\n**11**\n\n**21**\n\n**Corporate Outline/Editorial Policy 29**\n\n**25**\n\n**13**\n\n**17**\n\n**19**\n\n**Priority Issues for Us 9**\n\n####### **What can we do now to spur the**\n\n####### **reconstruction and revitalization of Japan,**\n\n####### **and help resolve global issues?**\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and\n\nto the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami\n\nthat struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas. early recovery of the affected people and areas.\n\nSMFG is dedicated to seamlessly responding to clients’ needs by SMFG is dedicated to seamlessly responding to clients’ needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities,\n\noffering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of\n\nresponding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures,\n\nwe will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them. and society, and ourselves grow in partnership with them.\n\nThrough our basic policy of becoming “a globally competitive Through our basic policy of becoming “a globally competitive financial services group financial services group\n\nwith the highest trust of our clients, society and other stakeholders” with the highest trust of our clients, society and other stakeholders” by maximizing our core strengths of by maximizing our core strengths of\n\n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we “Spirit of Innovation,” “Speed” and “Solution & Execution,” we will continue to stay ahead of the times, will continue to stay ahead of the times,\n\nno matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment. business environment.\n\n## Today, Tomorrow and Beyond\n\n**Koichi Miyata**",
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- "text": "###### Financial Information",
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- "text": "Our Mission and CSR at SMFG\n\n- To provide optimum added value to our customers and together with them achieve growth - To provide optimum added value to our customers and together with them achieve growth\n\n- To create sustainable shareholder value through business growth - To create sustainable shareholder value through business growth\n\n- To provide a challenging and professionally rewarding work environment for our dedicated employees - To provide a challenging and professionally rewarding work environment for our dedicated employees\n\nWe intend to be a financial services group that has the complete trust and support of We intend to be a financial services group that has the complete trust and support of\n\nour customers. For this purpose, we will always provide services that meet the true our customers. For this purpose, we will always provide services that meet the true\n\nneeds of our customers to assure their satisfaction and earn confidence in the Group. needs of our customers to assure their satisfaction and earn confidence in the Group. *1.* **Satisfactory**\n\n**Customer Services**\n\nIn the conduct of its business activities, SMFG fulfills its social responsibilities by contributing to In the conduct of its business activities, SMFG fulfills its social responsibilities by contributing to\n\nthe sustainable development of society as a whole through offering higher added value to the sustainable development of society as a whole through offering higher added value to\n\n(i) customers, (ii) shareholders and the market, (iii) the environment and society, and (iv) employees. (i) customers, (ii) shareholders and the market, (iii) the environment and society, and (iv) employees.\n\n**SMFG’s Definition of CSR**\n\n**Common SMFG CSR Philosophy: Business Ethics**\n\n**Key points of CSR activities**\n\nThe focus of the Group The focus of the Group’s CSR activities is to offer the most value s CSR activities is to offer the most value\n\nfor our four major stakeholder groups based on for our four major stakeholder groups based on\n\nsound management, and we shall strive to ultimately sound management, and we shall strive to ultimately\n\ncontribute to the sustainable development of society as a whole. contribute to the sustainable development of society as a whole.\n\n- We shall endeavor to develop and prosper with our customers by\n\noffering top-quality, highly-valued products and services.\n\n- We shall engage in solid management by disclosing appropriate\n\ninformation and developing our internal control system in an effort\n\nto maximize our shareholders’ value.\n\n- We shall contribute to society and preserve the natural environ-\n\nment by continuously and proactively implementing initiatives\n\nincluding social and environmental activities.\n\n- We shall foster a free and active business environment which\n\nrespects individuals and allows each employee to realize his or her\n\nfull potential.\n\n**Management approach for target achievement**\n\nWe have established the Group CSR Committee, administered by the Group CSR Department, We have established the Group CSR Committee, administered by the Group CSR Department,\n\nto assess the CSR implementation plans of the whole Group, and manage progress. to assess the CSR implementation plans of the whole Group, and manage progress.\n\nSpecifically, departments are assigned responsibility for each target, and the Group CSR Department and assigned departments jointly Specifically, departments are assigned responsibility for each target, and the Group CSR Department and assigned departments jointly\n\nconduct annual reviews of progress made in these initiatives. The results of these reviews are reported to the Group CSR Committee. conduct annual reviews of progress made in these initiatives. The results of these reviews are reported to the Group CSR Committee.\n\nThe Group CSR Department and assigned departments also conduct a joint examination of plans for the following financial year, The Group CSR Department and assigned departments also conduct a joint examination of plans for the following financial year,\n\nthe findings of which are subsequently assessed by the Group CSR Committee. the findings of which are subsequently assessed by the Group CSR Committee.\n\nIn this way, we use the PDCA cycle in our CSR initiatives. In this way, we use the PDCA cycle in our CSR initiatives.\n\n**Our Mission**\n\n**Contributing to the Sustainable Development of Society**\n\n**CSR Group Initiatives**\n\nSolid Management Structure\n\n(corporate governance, internal controls, compliance,\n\nrisk management, information disclosure, etc.)\n\nCustomers Shareholders\n\nand the Market The Environment\n\nand Society Employees\n\nHighly-valued\n\nproducts and\n\nservices\n\nSound\n\nManagement\n\nSocial and community activities and environmental activities\n\nCorporate culture\n\nrespecting\n\nthe individual\n\nBoard of Directors\n\nSumitomo Mitsui Banking Corporation SMFG Card & Credit, Inc. The Japan Research Institute Limited SMBC Friend Securities Co., Ltd. Sumitomo Mitsui Finance and Leasing Co., Ltd.\n\n**Chairman** : Director in charge of SMFG\n\nCorporate Planning Department\n\n**Committee members** : General Managers of SMFG,\n\nSumitomo Mitsui Banking Corporation,\n\nSMFG Card & Credit, Sumitomo Mitsui Card,\n\nCedyna, Sumitomo Mitsui Finance and Leasing,\n\nThe Japan Research Institute,\n\nSMBC Friend Securities, SMBC Nikko Securities,\n\nTHE MINATO BANK and\n\nKansai Urban Banking Corporation\n\n**Administered by** : Group CSR Department of SMFG\n\n**Strategic advisor** :\n\nJRI Center for the Strategy of Emergence\n\nManagement Committee\n\n**Group CSR Committee**\n\n**CSR Liaison Committee**\n\n**SMFG CSR promotion structure**\n\nOur Mission\n\nCustomers\n\nPromoting CSR through\n\ncore operations\n\nShareholders and the Market\n\nThe Environment and Society\n\nEmployees\n\n| Plan |\n|:---|\n| Do |\n\n| Check |\n|:---|\n| Act |\n\nBasic CSR Policy\n\n(Business Ethics)\n\nWe intend to be a financial services group for which all officers and employees work We intend to be a financial services group for which all officers and employees work\n\nwith pride and commitment. For this purpose, we respect people and develop with pride and commitment. For this purpose, we respect people and develop\n\nemployees with extensive professional knowledge and capabilities, thereby creating a employees with extensive professional knowledge and capabilities, thereby creating a\n\nfree and active business environment. free and active business environment. *4.* **Free and Active**\n\n**Business Environment**\n\nWe intend to be a financial services group that maintains fair, transparent, and sound We intend to be a financial services group that maintains fair, transparent, and sound\n\nmanagement based on the principle of self-responsibility. For this purpose, along with management based on the principle of self-responsibility. For this purpose, along with\n\nearning the firm confidence of our shareholders, our customers, and the general public, earning the firm confidence of our shareholders, our customers, and the general public,\n\nwe take a long-term view of our business and operate it efficiently, and actively disclose we take a long-term view of our business and operate it efficiently, and actively disclose\n\naccurate business information about the Group. Through these activities, we work to accurate business information about the Group. Through these activities, we work to\n\nmaintain continued growth based on a sound financial position. maintain continued growth based on a sound financial position. *2.* **<sup>Sound Management</sup>**\n\nWe intend to be a financial services group that contributes to the healthy development We intend to be a financial services group that contributes to the healthy development\n\nof society. For this purpose, we recognize the importance of our mission to serve as a of society. For this purpose, we recognize the importance of our mission to serve as a\n\ncrucial part of the public infrastructure and also our social responsibilities. With such crucial part of the public infrastructure and also our social responsibilities. With such\n\nrecognition, we undertake business operations that contribute to the steady recognition, we undertake business operations that contribute to the steady\n\ndevelopment of Japan and the rest of the world, and endeavor, as a good corporate development of Japan and the rest of the world, and endeavor, as a good corporate\n\ncitizen, to make a positive contribution to society. citizen, to make a positive contribution to society. *3.* **Contributing to**\n\n**Social Development**\n\nWe intend to be a financial services group that always keeps in mind the importance of We intend to be a financial services group that always keeps in mind the importance of\n\ncompliance. For this purpose, we reflect our awareness of Business Ethics in our business compliance. For this purpose, we reflect our awareness of Business Ethics in our business\n\nactivities at all times. In addition, we respond promptly to directives from auditors and activities at all times. In addition, we respond promptly to directives from auditors and\n\ninspectors. Through these actions, we observe all laws and regulations, and uphold moral inspectors. Through these actions, we observe all laws and regulations, and uphold moral\n\nstandards in our business practices. standards in our business practices. *5.* **<sup>Compliance</sup>**\n\n**SMFG CSR Values**\n\n**Participation in global initiatives**\n\nRecent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment. Recent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment.\n\nAs a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of As a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of\n\nthe following initiatives and organizations: the following initiatives and organizations:\n\n**CSR activities and the PDCA cycle**\n\nThe 10 principles advocated by\n\nthe United Nations in the areas of\n\nhuman rights, labor standards, the\n\nenvironment, and anti-corruption\n\nmeasures\n\nUnited Nations\n\nGlobal Compact\n\nThe global partnership between the UNEP and\n\nfinancial institutions who are signatories to the\n\nUNEP FI Statements seeks to identify, promote, and\n\nensure best environmental and sustainability prac-\n\ntice at all operational levels of financial institutions\n\nThe United Nations Environment\n\nProgramme Finance Initiative (UNEP FI)\n\nAn initiative to measure, manage\n\nand alleviate climate change by\n\nencouraging sustained dialog\n\nwith institutional investors and\n\nbusiness leaders on this issue\n\nCarbon Disclosure Project\n\n(CDP)\n\nA set of guiding principles for man-\n\naging social and environmental\n\nissues in project finance, based on\n\nthe guidelines of the International\n\nFinance Corporation (IFC)\n\nEquator Principles",
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- "text": "ⓒ UNICEF\n\nMozambique/Arild Drivdal\n\n**International cooperation begins at home**\n\nThe SMFG Group is engaged in a range of activities The SMFG Group is engaged in a range of activities\n\nthat contribute to development at both the regional that contribute to development at both the regional\n\nand international level. In addition to overseas units’ and international level. In addition to overseas units’\n\nindependent initiatives, which are geared to host independent initiatives, which are geared to host\n\ncountry issues and characteristics, the Group supports country issues and characteristics, the Group supports\n\nprojects that have contributed to achievement of the projects that have contributed to achievement of the\n\nUnited Nations’ global Millennium Development Goals, United Nations’ global Millennium Development Goals,\n\nsuch as poverty eradication, health improvement and such as poverty eradication, health improvement and\n\nstatus improvement for education and women in status improvement for education and women in\n\ndeveloping countries. Our support takes the form of developing countries. Our support takes the form of\n\ndonations to non-profit and non-governmental donations to non-profit and non-governmental\n\norganizations, through the employee volunteer fund. organizations, through the employee volunteer fund.\n\n(The map shows areas where fund money is used, (The map shows areas where fund money is used,\n\nmarked with a marked with a ★ symbol). Please see our website for symbol). Please see our website for\n\nmore details. more details.\n\nEurope & Africa Middle East & Asia North America\n\n**Scholarships at major universities 2**\n\n**2**\n\n**China**\n\nSumitomo Mitsui Banking Corporation (China) Limited Sumitomo Mitsui Banking Corporation (China) Limited\n\nestablished a scholarship program for students of Zhejiang established a scholarship program for students of Zhejiang\n\nUniversity, Shanghai Inter University, Shanghai Inter-\n\nnational Studies University, national Studies University,\n\nSun Yat-sen University, Sun Yat-sen University,\n\nand other universities. and other universities.\n\nSMBC Hong Kong Branch makes donations to the Asian SMBC Hong Kong Branch makes donations to the Asian\n\nYouth Orchestra (AYO), Youth Orchestra (AYO),\n\ncomprising young Asian comprising young Asian\n\nmusicians selected musicians selected\n\nthrough auditioning who through auditioning who\n\nperform all over Asia. perform all over Asia.\n\nAs a way of increasing understanding of Japanese culture, As a way of increasing understanding of Japanese culture,\n\nSMBC SMBC’s Seoul Branch donates funds to make possible the s Seoul Branch donates funds to make possible the\n\nholding of a competition holding of a competition\n\ninvolving theatrical perfor involving theatrical perfor-\n\nmances in the Japanese mances in the Japanese\n\nlanguage by South Korean language by South Korean\n\nstudents of Japanese. students of Japanese.\n\n**Donations to charity groups**\n\n**Europe**\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe Employees of Sumitomo Mitsui Banking Corporation Europe\n\n(SMBCE) conducted volunteer activities in their time off. (SMBCE) conducted volunteer activities in their time off.\n\nSMBCE contributes to charitable organizations through an SMBCE contributes to charitable organizations through an\n\nin-house fund and also uses a matching gifts program under in-house fund and also uses a matching gifts program under\n\nwhich it donates a which it donates a\n\ncertain amount for certain amount for\n\nevery donation made every donation made\n\nby its employees. by its employees.\n\n**Support for a South Korean students’**\n\n**Japanese-language theater competition**\n\n**1**\n\n**1**\n\n**South Korea**\n\n**Supporting performances**\n\n**by young Asian musicians**\n\n**3 Hong Kong**\n\nThe European office of the Japan Research Institute (JRI) The European office of the Japan Research Institute (JRI)\n\nmade a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech\n\ncontest. contest.\n\n**Donating furniture to**\n\n**welfare facilities**\n\n**6 Malaysia**\n\nSMBC SMBC’s Labuan Branch in s Labuan Branch in\n\nMalaysia, following its relocation, Malaysia, following its relocation,\n\ndonated desks, chairs and donated desks, chairs and\n\ncabinets to occupational training cabinets to occupational training\n\ncenters for the disabled. centers for the disabled.\n\n####### **Employees put school meals on the table**\n\n####### **through their purchases in staff canteens**\n\nSMBC and Sumitomo Mitsui Finance and Leasing SMBC and Sumitomo Mitsui Finance and Leasing\n\nhave a program that provides donations to the non have a program that provides donations to the non-\n\nprofit organization TABLE FOR TWO International to profit organization TABLE FOR TWO International to\n\nfund school meals in developing fund school meals in developing\n\ncountries, for every low-calorie countries, for every low-calorie\n\nmeal ordered for lunch. SMBC meal ordered for lunch. SMBC\n\nFriend Securities has also Friend Securities has also\n\ninstalled vending machines installed vending machines\n\nselling healthy drinks, donating selling healthy drinks, donating\n\npart of their sales to TABLE FOR part of their sales to TABLE FOR\n\nTWO International. TWO International.\n\n####### **Donation boxes for foreign currency coins**\n\nSMBC places donation boxes for foreign currency SMBC places donation boxes for foreign currency\n\ncoins at the entrances of all manned branches and coins at the entrances of all manned branches and\n\noffices in Japan, and sorts such collected coins by offices in Japan, and sorts such collected coins by\n\ncurrency for delivery to UNICEF. currency for delivery to UNICEF.\n\n####### **The SMBC Foundation**\n\n####### **for International Cooperation**\n\nThe SMBC Foundation for International Cooperation The SMBC Foundation for International Cooperation\n\nstrives to assist in developing the human resources strives to assist in developing the human resources\n\nnecessary to achieve sustainable growth in develop necessary to achieve sustainable growth in develop-\n\ning economies as well as to promote international ing economies as well as to promote international\n\nexchange activities. The foundation has provided exchange activities. The foundation has provided\n\nfinancial support for students from Asian countries financial support for students from Asian countries\n\neach year, enabling them to attend universities in each year, enabling them to attend universities in\n\nJapan. The foundation also offers subsidies to Japan. The foundation also offers subsidies to\n\nresearch institutes and researchers undertaking research institutes and researchers undertaking\n\nprojects related to developing countries. projects related to developing countries.\n\n**Supporting farming**\n\n**villages in the northeast**\n\n**5 Thailand**\n\n**Providing work**\n\n**experience to students**\n\n**4 Vietnam 7**\n\nBased in the United States, SMBC Global Foundation has Based in the United States, SMBC Global Foundation has\n\nprovided scholarships to more than 5,000 university students provided scholarships to more than 5,000 university students\n\nin Asian countries since its establishment in 1994. In the in Asian countries since its establishment in 1994. In the\n\nUnited States, it supports educational trips to Japan United States, it supports educational trips to Japan\n\norganized by a high school located in Harlem, New York City, organized by a high school located in Harlem, New York City,\n\nand volunteer employees of SMBC and JRI to participate in and volunteer employees of SMBC and JRI to participate in\n\nschool beautification programs. The foundation also provides school beautification programs. The foundation also provides\n\nmatching gifts for SMBC employees. matching gifts for SMBC employees.\n\n####### **Donation for a Japanese-language speech contest 8 Europe**\n\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank\n\nhas supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting\n\nchildren and improving children and improving\n\nthe water-supply and the water-supply and\n\nsanitary environment. sanitary environment.\n\n**UNICEF support initiatives 9 Mozambique**\n\n**SMBC GLOBAL FOUNDATION 10 The United States**\n\n**3**\n\n**6**\n\n**4**\n\n**5**\n\n**7 8**\n\n## **9**\n\n## **10**\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\n★\n\nSMBC SMBC’s Bangkok Branch assisted s Bangkok Branch assisted\n\nfarmers by donating underground farmers by donating underground\n\nwater storage tanks and assisting water storage tanks and assisting\n\nwith vegetable planting and with vegetable planting and\n\nharvesting. harvesting.\n\nHigh school students from New York\n\nwho visited Japan on a study trip\n\nScholarship students at Sun Yat-sen University\n\nDonated furniture\n\nEmployee volunteers who participated in\n\nlandscape improvement projects\n\nPerforming a Japanese-language drama\n\nBank employees helped plant\n\nvegetables as volunteers\n\nPhotographs supplied by AYO\n\nScholarship award ceremony for university students in Vietnam\n\n*Please see this website\n\nfor further details (in\n\nJapanese):\n\nwww.smbc.co.jp/ccs/\n\nSumitomo Mitsui Financial Group CSR Report\n\n**Helping build prosperity**\n\n**in Asia and the world**\n\n#### **Social Contribution Activities**\n\n**For further details, please see our website.**\n\nSMBC SMBC’s Hanoi Branch provided s Hanoi Branch provided\n\ninternational school students international school students\n\nwith vocational experiences. with vocational experiences.",
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- "text": "In fiscal 2010, 150 volunteers from the In fiscal 2010, 150 volunteers from the\n\nSMFG Group participated in beach cleanup SMFG Group participated in beach cleanup\n\nactivities in Kanagawa and Hyogo prefectures activities in Kanagawa and Hyogo prefectures\n\non “SMFG Clean-up Day.” This initiative is on “SMFG Clean-up Day.” This initiative is\n\nnot simply a matter of picking up garbage. It not simply a matter of picking up garbage. It\n\nalso involves inspections and analysis of also involves inspections and analysis of\n\ngarbage to identify pointers for providing garbage to identify pointers for providing\n\nsolutions for environmental issues in the solutions for environmental issues in the\n\nfuture. future.\n\nIn addition to beach cleanup activities in In addition to beach cleanup activities in\n\nChiba and Hyogo prefectures by SMBC Chiba and Hyogo prefectures by SMBC\n\nFriend Securities, Group companies of Friend Securities, Group companies of\n\nCedyna, Sumitomo Mitsui Finance & Leasing, Cedyna, Sumitomo Mitsui Finance & Leasing,\n\nthe Japan Research Institute and SMBC the Japan Research Institute and SMBC\n\nNikko Securities carry out ongoing cleanup Nikko Securities carry out ongoing cleanup\n\nand other activities in the areas around their and other activities in the areas around their\n\noffices and branches. offices and branches.\n\nThe Minato Bank and Kansai Urban Banking The Minato Bank and Kansai Urban Banking\n\nCorporation also engage in cleanup activities Corporation also engage in cleanup activities\n\naround Suma Beach and Lake Biwa, to around Suma Beach and Lake Biwa, to\n\nprotect the regional environment. protect the regional environment.\n\nCardholders and employees of Sumitomo Cardholders and employees of Sumitomo\n\nMitsui Card joined a literary social contribution Mitsui Card joined a literary social contribution\n\ninitiative by participating in the Books To initiative by participating in the Books To\n\nThe People 2010 project operated by BOOKOFF The People 2010 project operated by BOOKOFF\n\nCORP. This project aims to provide CORP. This project aims to provide environ environ-\n\nments in which children can read books in ments in which children can read books in\n\npurpose-built facilities, through donations to purpose-built facilities, through donations to\n\nRoom to Read, a non-governmental organi Room to Read, a non-governmental organi-\n\nzation that supports education in developing zation that supports education in developing\n\ncountries. These NGO donations are pegged countries. These NGO donations are pegged\n\nto total numbers of used books and other to total numbers of used books and other\n\nitems purchased by cardholders. Through items purchased by cardholders. Through\n\nthe Sumitomo Mitsui Card-operated online the Sumitomo Mitsui Card-operated online\n\nshopping mall POINT UP Mall, cardholders shopping mall POINT UP Mall, cardholders\n\nare encouraged to buy used books through are encouraged to buy used books through\n\nBOOKOFF, and employees collect and donate BOOKOFF, and employees collect and donate\n\nused books from their homes and companies. used books from their homes and companies.\n\nIn the fall of 2010, SMBC Nikko Securities In the fall of 2010, SMBC Nikko Securities\n\nestablished its “Green Week” for strength established its “Green Week” for strength-\n\nening environmental protection and social ening environmental protection and social\n\ncontribution activities, with the aim of contribution activities, with the aim of\n\npromoting communication within regional promoting communication within regional\n\nsociety and among participating employees society and among participating employees\n\nand their families, while deepening under and their families, while deepening under-\n\nstanding of environmental protection through standing of environmental protection through\n\nparticipation in social contribution activities. participation in social contribution activities.\n\nBetween November 13 and December 5, Between November 13 and December 5,\n\n2010, environmental protection programs 2010, environmental protection programs\n\nwere rolled out by cross-organizational were rolled out by cross-organizational\n\n“Green Committees” in four locations in “Green Committees” in four locations in\n\nJapan, with the participation of 280 employ Japan, with the participation of 280 employ-\n\nees and their families. In addition, regional ees and their families. In addition, regional\n\ncontribution activities were carried out by contribution activities were carried out by\n\nSMBC and SMBC Nikko Securities donate a SMBC and SMBC Nikko Securities donate a\n\nportion of the profits from marketing of the portion of the profits from marketing of the\n\nSMBC Nikko World Bank Bond Fund SMBC Nikko World Bank Bond Fund (“The “The\n\nWorld Bank Green Fund World Bank Green Fund”) to the Japanese ) to the Japanese\n\nRed Cross Society and the Japan Committee Red Cross Society and the Japan Committee\n\nfor UNICEF. for UNICEF.\n\nThis investment trust is the world This investment trust is the world’s first s first\n\nfund developed in cooperation with the fund developed in cooperation with the\n\nWorld Bank that invests in World Bank green World Bank that invests in World Bank green\n\nbonds, according to research by Nikko bonds, according to research by Nikko\n\nAsset Management Co., Ltd. Funds from Asset Management Co., Ltd. Funds from\n\nthe World Bank green bonds support only the World Bank green bonds support only\n\nWorld Bank-funded projects in developing World Bank-funded projects in developing\n\ncountries to mitigate global warming. countries to mitigate global warming.\n\nEnvironmental protection activities\n\n117 participants\n\nForestry management volunteering experience in Osaka\n\n(Izumi no Mori)\n\n62 participants\n\nVolunteers at the Shonan Erosion Control Forest project\n\n64 participants\n\nHelping clean up Senju Shinbashi bridge that spans Ara River\n\n37 participants\n\nHelping clean up Nishi Araibashi bridge that spans Ara River\n\nSocial contribution collection activities\n\n11.4 kg of stamps were collected\n\nSupport for overseas causes through used-stamp collection\n\n788 ballpoint pens and pencils\n\nPresentation of stationery to children in developing countries\n\n168.9 kg (enough to vaccinate 84.45 people against polio)\n\nVaccine donation from the collection of PET bottle caps\n\nActivities organized by branches\n\nAccepting middle school students\n\nfor workplace experience programs\n\nMatsudo Branch\n\nAbekawa River driftwood-clearing festival\n\nShizuoka Branch\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated\n\nEmployees and their families pitch in to clean up\n\nthe bed of the Ara River in Tokyo\n\nCollection box for used books and other items\n\ninstalled in an employee canteen Supporting education in developing countries\n\nRegional contribution activities at the branch level\n\nCollection of PET bottle caps\n\nfor international contribution purposes Donating to Japan Committee for UNICEF\n\nDonating to the Japanese Red Cross\n\nPromoting usage through\n\nthe point-allocation system Donation of used books\n\nBuilding libraries in developing countries\n\nthrough the NGO Room to Read\n\nBuying used books\n\nPurchase price\n\nbranches at their own initiative. A wide variety branches at their own initiative. A wide variety\n\nof social contribution activities, such as the of social contribution activities, such as the\n\ncollection of used stamps and PET bottle collection of used stamps and PET bottle\n\ncaps, were carried out for global causes. caps, were carried out for global causes.\n\nSMBC Nikko Securities will continue activi SMBC Nikko Securities will continue activi-\n\nties that contribute to society and prioritize ties that contribute to society and prioritize\n\ncommunication between employees. communication between employees.\n\nAccepting middle school students\n\nfor workplace experience programs\n\nSendai Branch\n\nPOINT UP Mall Sumitomo Mitsui\n\nCard staff\n\nBOOKOFF CORP Group\n\nSumitomo Mitsui\n\nCardholders\n\n*Research by Nikko Asset Management Co., Ltd.\n\nSumitomo Mitsui Financial Group CSR Report\n\n**SMFG and**\n\n**its Group companies**\n\n**participate in neighborhood**\n\n**cleanup programs**\n\n**Donations through**\n\n**“The World Bank**\n\n**Green Fund”**\n\n**SMBC Nikko Securities’**\n\n**“Green Week”**\n\n**Supporting education in**\n\n**developing countries,**\n\n**together with our customers**\n\n**and employees**\n\n**SMFG as a corporate citizen: Working to create a prosperous society for all**\n\n#### **Social Contribution**\n\n#### **Activities**\n\n**For further details,**\n\n**please see our website.**\n\nMitsui Sumitomo VISA Card",
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- "text": "The SMFG Group supports environmental The SMFG Group supports environmental\n\nbusinesses in the rapidly growing markets of businesses in the rapidly growing markets of\n\nSoutheast Asia from various perspectives. Southeast Asia from various perspectives.\n\nFor example in Malaysia, SMBC signed an For example in Malaysia, SMBC signed an\n\noperational alliance on environmental operational alliance on environmental\n\nbusinesses with the Federation of Malaysian businesses with the Federation of Malaysian\n\nManufacturers in April 2010, and in October Manufacturers in April 2010, and in October\n\nthat year acted as main sponsor for Malaysia that year acted as main sponsor for Malaysia’s\n\nfirst large-scale international environmental first large-scale international environmental\n\nexhibition, International Greentech & Eco exhibition, International Greentech & Eco\n\nproducts Exhibition & Conference Malaysia products Exhibition & Conference Malaysia\n\n2010 (IGEM). At this event, a keynote 2010 (IGEM). At this event, a keynote\n\nspeech was given by Chairman Teisuke speech was given by Chairman Teisuke\n\nKitayama, and SMBC and Sumitomo Mitsui Kitayama, and SMBC and Sumitomo Mitsui\n\nFinance & Leasing opened booths. Finance & Leasing opened booths. The The\n\nexhibition, visited on successive days exhibition, visited on successive days by by\n\nMalaysia Malaysia’s King, prime minister, some of s King, prime minister, some of\n\nthe regional Kings of Malaysia, the regional Kings of Malaysia, and and\n\ncabinet ministers, raised awareness cabinet ministers, raised awareness of of\n\nenvironmental businesses in the nation. environmental businesses in the nation.\n\nAt the same time, in April 2011, the bank At the same time, in April 2011, the bank’s s\n\nMalaysia unit Sumitomo Mitsui Banking Malaysia unit Sumitomo Mitsui Banking\n\nCorporation Malaysia Berhad began Corporation Malaysia Berhad began\n\noperations. This unit is broadening support operations. This unit is broadening support\n\nmeasures to contribute to the development measures to contribute to the development\n\nof environmental businesses in Malaysia. of environmental businesses in Malaysia.\n\nMeanwhile, in August 2010, the Japan Meanwhile, in August 2010, the Japan\n\nResearch Institute, SMBC and a number of Research Institute, SMBC and a number of\n\nother companies publicly recruited by Japan other companies publicly recruited by Japan’s s\n\nNew Energy and Industrial Technology New Energy and Industrial Technology\n\nDevelopment Organization (NEDO) were Development Organization (NEDO) were\n\njointly commissioned to carry out basic jointly commissioned to carry out basic\n\nresearch into Malaysia research into Malaysia’s Green Township s Green Township\n\nconcept, a national town-planning project concept, a national town-planning project\n\nbacked by NEDO. backed by NEDO.\n\nLooking ahead, SMBC plans to jointly Looking ahead, SMBC plans to jointly\n\ncompile an action plan with the Malaysian compile an action plan with the Malaysian\n\ngovernment and related enterprises for government and related enterprises for\n\nestablishment of “green townships” based establishment of “green townships” based\n\non the cities Putrajaya and Cyberjaya Prime on the cities Putrajaya and Cyberjaya Prime\n\nMinister Najib Razak is promoting. It also Minister Najib Razak is promoting. It also\n\nplans to propose specific projects in the plans to propose specific projects in the\n\nconcept. concept.\n\nIn China, which emits more carbon dioxide In China, which emits more carbon dioxide\n\nthan any other country, finding ways of than any other country, finding ways of\n\npromoting new energy-saving measures promoting new energy-saving measures\n\nand restructuring industry have become and restructuring industry have become\n\npressing issues. pressing issues.\n\nThe Japan Research Institute has built up a The Japan Research Institute has built up a\n\nsuccessful track record in the course of its successful track record in the course of its\n\nadvisory activities in China, in joint research advisory activities in China, in joint research\n\ninto local-level microgrid construction at into local-level microgrid construction at\n\nthe Tianjin Eco-City, and in policy-making the Tianjin Eco-City, and in policy-making\n\nrelating to renewable energy management relating to renewable energy management\n\nsys systems and other areas. ems and other areas.\n\nIn partnership with the Guangdong Provincial In partnership with the Guangdong Provincial\n\nDepartment of Science and Technology, the Department of Science and Technology, the\n\nJapan Research Institute also advises Japan Research Institute also advises\n\ngovernment departments on system government departments on system\n\nestablishment for new energy-saving establishment for new energy-saving\n\nbusinesses. Guangdong is China businesses. Guangdong is China’s richest s richest\n\nprovince by gross provincial product, and province by gross provincial product, and\n\nhere both needs and potential in the field here both needs and potential in the field\n\nof energy-saving are very great. The Japan of energy-saving are very great. The Japan\n\nResearch Institute also supports industrial Research Institute also supports industrial\n\nrestructuring and low-carbon projects in the restructuring and low-carbon projects in the\n\nprovince through model projects. province through model projects.\n\nIn the battle against global warming, both In the battle against global warming, both\n\npublic and private sectors are facing mounting public and private sectors are facing mounting\n\npressure to curb carbon dioxide pollution from pressure to curb carbon dioxide pollution from\n\ntransportation, one of the major sources of transportation, one of the major sources of\n\nemissions. Against this backdrop, the Japan emissions. Against this backdrop, the Japan\n\nResearch Institute is supporting environmental Research Institute is supporting environmental\n\nbusinesses that map out pathways and businesses that map out pathways and\n\ndevelop projects, tailored to the needs of develop projects, tailored to the needs of\n\nparticular localities, to bring about a particular localities, to bring about a\n\nlow-carbon society. Experimental projects are low-carbon society. Experimental projects are\n\ncurrently underway in Kanagawa Prefecture, currently underway in Kanagawa Prefecture,\n\nSaitama Prefecture, Kyoto and Sapporo. Saitama Prefecture, Kyoto and Sapporo.\n\nThese initiatives are aimed at hastening the These initiatives are aimed at hastening the\n\nadoption of electric vehicles and car-sharing adoption of electric vehicles and car-sharing\n\nto cut carbon dioxide emissions. The Institute to cut carbon dioxide emissions. The Institute\n\nis working in cooperation with government is working in cooperation with government\n\nbodies, car-rental, commercial vehicle-leasing bodies, car-rental, commercial vehicle-leasing\n\nand parking-facility management companies, and parking-facility management companies,\n\nrailways, communications providers and railways, communications providers and\n\nother entities. other entities.\n\nElectric vehicles not only emit no carbon dioxide,\n\nbut offer a comfortable drive as well\n\nIGEM2010 greeted many visitors\n\nSumitomo Mitsui Financial Group CSR Report\n\n**Taking a leading role in**\n\n**environmental businesses**\n\n**in Asia**\n\n**Promoting energy-saving**\n\n**and low-emission**\n\n**industries in China**\n\n**Support for adoption of**\n\n**electric vehicles and**\n\n**car-sharing**\n\n**International initiatives in Asian countries and others**\n\n#### **Environmental**\n\n#### **Activities**\n\n**For further details, please see our website.**",
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- "text": "SRI indexes are for socially responsible SRI indexes are for socially responsible\n\ninvestments in which major investment investments in which major investment\n\ndecisions are based on environmental and decisions are based on environmental and\n\nsocial factors as well as the target company social factors as well as the target company’s s\n\nfinancial standing. financial standing. SMFG SMFG’s proactive corporate s proactive corporate\n\nsocial responsibility activities have won social responsibility activities have won\n\nplaudits from the markets. As the right-hand plaudits from the markets. As the right-hand\n\ngraphic shows, SMFG is listed on globally graphic shows, SMFG is listed on globally\n\nleading SRI indexes. We believe that this is eading SRI indexes. We believe that this is\n\nan endorsement by the market of the Grou an endorsement by the market of the Group’s s\n\nfuture corporate social responsibility future corporate social responsibility\n\nactivities. activities.\n\n**Keeping**\n\n**our shareholders**\n\n**informed**\n\nAnnual report\n\nWebsite\n\nSMFG is committed to ensuring financial SMFG is committed to ensuring financial\n\nsoundness through appropriate policy-making soundness through appropriate policy-making\n\nand business operations. At the same time, and business operations. At the same time,\n\nwe disclose corporate information in a we disclose corporate information in a\n\ntimely and precise way to shareholders and timely and precise way to shareholders and\n\nmarkets. We believe full disclosure not only markets. We believe full disclosure not only\n\nhelps foster a more correct understanding helps foster a more correct understanding\n\nand evaluation of the Group, but also and evaluation of the Group, but also\n\ncontributes to the development of sounder contributes to the development of sounder\n\nfinancial markets. financial markets.\n\nBased on this approach, SMFG goes Based on this approach, SMFG goes\n\nbeyond legal requirements in enriching its beyond legal requirements in enriching its\n\ndisclosure of information on management disclosure of information on management\n\npolicy and operational strategy. These policy and operational strategy. These\n\ninitiatives have won the support of many initiatives have won the support of many\n\nmarket participants. We were selected as market participants. We were selected as\n\na winner of the Awards for Excellence in a winner of the Awards for Excellence in\n\nCorporate Disclosure for fiscal 2011 by The Corporate Disclosure for fiscal 2011 by The\n\nSecurities Analysts Association of Japan. Securities Analysts Association of Japan.\n\nThe Group’s Principal SRI Funds\n\n■\n\n■\n\n■\n\nDow Jones Sustainability Index\n\nThis index was jointly developed by Dow Jones of the\n\nUnited States, and the Swiss SRI research company\n\nSAM Group. It was the first SRI index in the world.\n\nFTSE 4 Good Global Index Series\n\nThe FTSE 4 Good Global Index Series was created by\n\nFTSE International Limited, a joint venture set up by\n\nthe Financial Times newspaper of the United Kingdom\n\nand the London Stock Exchange.\n\nEthibel Sustainability Index\n\nAn index compiled by the Belgian SRI company Ethibel\n\nSRI Indexes on which SMFG is listed\n\nDow Jones Sustainability Asia/Pacific Index (DJSI Asia Pacific)\n\nDow Jones Sustainability Asia/Pacific 40 Index (DJSI Asia Pacific 40)\n\nFTSE4Good Global Index FTSE4Good Global 100 Index\n\nESI （ Ethibel Sustainability Index ） Excellence Global\n\n・\n\n・\n\n・ ・ ・\n\nExamples of Group disclosure activities\n\nQuarterly and interim financial reports, Quarterly and interim financial reports,\n\nresults announcements, securities results announcements, securities\n\nreports, legal disclosure statements, reports, legal disclosure statements,\n\nregular publications, etc. regular publications, etc.\n\nInvestor briefings twice a year Investor briefings twice a year\n\nConferences sponsored by securities Conferences sponsored by securities\n\ncompanies, etc., as needed companies, etc., as needed\n\nOnline conferences held as needed Online conferences held as needed\n\nAnnual and interim reports (in Japanese Annual and interim reports (in Japanese\n\nand English) and English)\n\nWe believe that the SMFG Group can contribute We believe that the SMFG Group can contribute\n\nfurther to the creation of a sustainable society further to the creation of a sustainable society\n\nthrough its activities in financial markets. through its activities in financial markets.\n\nFor example, SMBC Friend Securities markets For example, SMBC Friend Securities markets\n\n“Environmental Sustainability Bond” “Environmental Sustainability Bond” <sup>*1</sup> *1 while while\n\nSMBC Nikko Securities markets “WB Green SMBC Nikko Securities markets “WB Green\n\nBonds (Green Bonds)” Bonds (Green Bonds)” <sup>*2</sup> *2 . These are bonds . These are bonds\n\nfor fund procurement that are also intended for fund procurement that are also intended\n\nas tools for contributing to protecting and as tools for contributing to protecting and\n\nconserving the global environment. For conserving the global environment. For\n\ncustomers who wish to invest in companies customers who wish to invest in companies\n\nthat contribute to a sustainable society, that contribute to a sustainable society,\n\nwe offer a wide range of socially responsible we offer a wide range of socially responsible\n\ninvestment vehicles. investment vehicles.\n\nThe The Japan Research Institute analyzes applicant Japan Research Institute analyzes applicant\n\ncompanies’ corporate social responsibility companies’ corporate social responsibility\n\nactivities, and uses the information it gathers activities, and uses the information it gathers\n\nto create a basic file on companies managing to create a basic file on companies managing\n\nsocially responsible investment fund socially responsible investment funds <sup>*3</sup> *3 .\n\nIn November 2010, the Sumitomo Mitsui In November 2010, the Sumitomo Mitsui\n\nFinancial Group listed on the New York Financial Group listed on the New York\n\nStock Exchange. This move, we believe, not Stock Exchange. This move, we believe, not\n\nonly significantly increases convenience for only significantly increases convenience for\n\nour overseas shareholders and investors, our overseas shareholders and investors,\n\nbut also broadens our customer base as it but also broadens our customer base as it\n\nfurther increases the transparency of our further increases the transparency of our\n\nfinancial position. Listing on the New York financial position. Listing on the New York\n\nStock Exchange as a socially responsible Stock Exchange as a socially responsible\n\ncorporation accelerates our evolution into a corporation accelerates our evolution into a\n\nglobal player. global player.\n\n*1 In December 2010, SMBC Friend Securities sold a total of AUD25 million in “Environmental Sustainability Bond.”\n\n*2 This fund is provided by SMBC Nikko Securities under the full name Bond for Contributing to Environmental Protection.\n\n*3 As of the end of June 2011, approximately ¥63.5 billion in total had been invested in nine publicly offered socially responsible investment (SRI) trust funds.\n\nDate of opening Sold by\n\nSMBC Nikko Securities\n\nSumitomo Mitsui Banking Corporation\n\nSMBC Nikko Securities\n\nSMBC Nikko Securities\n\nSumitomo Mitsui Banking Corporation\n\nSMBC Nikko Securities\n\nSMBC Nikko Securities / Sumitomo Mitsui Banking Corporation\n\nSMBC Nikko Securities\n\nAug. 20, 1999\n\nMar. 14, 2006\n\nDec. 20, 2006\n\nAug. 31, 2007\n\nAug. 31, 2007\n\nApr. 28, 2009\n\nFeb. 19, 2010\n\nJun. 30, 2010\n\nNickname\n\nDouble Wing\n\nRising Tomorrow\n\nCool Earth\n\nGlobal Shift\n\nThe World Bank Green Fund\n\nBalance\n\nat March 31, 2011\n\n8,888\n\n1,494\n\n31,810\n\n12,810\n\n20,888\n\n14,935\n\n13,870\n\n1,230\n\nOfficial name of fund\n\nNikko Eco Fund\n\nSix-Asset Balanced Fund (distribution type, growth type)\n\nNikko DWS New Resource Fund\n\nUBS (JP) Climate Change Fund\n\nDWS New Resources Technology Fund\n\nNikko World Trust - Nikko Green New Deal Fund\n\n(JPY Non-hedged Class)/(JPY Hedged Class)\n\nSMBC Nikko World Bank Bond Fund\n\nUBS (JP) Global Smart Grid Fund\n\n(¥ million)\n\nSpecific Examples of CSR Activities\n\n**For further details, please see our website.** Sumitomo Mitsui Financial Group CSR Report\n\n**Together with Our Shareholders**\n\n**and Markets**\n\n**Contributing to the development of sounder financial markets**\n\n**We aim to further**\n\n**strengthen communication**\n\n**with our shareholders**\n\n**and investors**\n\n**Together with our investors:**\n\n**Creating a platform for**\n\n**social contribution through**\n\n**the financial markets**\n\n**SMFG has listed**\n\n**its shares on SRI indexes**\n\n**Listing on the New York**\n\n**Stock Exchange**\n\nShareholders’ meeting\n\nmaterials\n\nInvestor briefing\n\nmaterials",
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- "query": "Does Chesapeake Energy have a project to reduce excessive water use?",
- "target_page": 28,
- "target_passage": "Created to meet the challenge of reducing our water usage, Chesapeake’s Aqua Renew® program uses state-of-the-art technology to recycle pro- duced water.",
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- "text": "**26** | ENVIRONMENTAL, HEALTH & SAFETY\n\nAs we explore for and produce clean, affordable, abundant, American\n\nnatural gas, we provide an important solution to our nation’s energy\n\nchallenges and its quest for energy independence. With at least a 200-\n\nyear supply of natural gas located right here in the U.S., this versatile\n\nfuel can be used to not only heat homes, create electricity and meet\n\nAmerica’s transportation needs, but also to fuel the country’s future\n\nby creating jobs and stimulating local and national economies through\n\ninvestment and taxes.\n\n**Environmentally Friendly Operations**\n\nAt Chesapeake, we realize that the way a great product is produced is\n\nas important as the product itself. For example, we have helped pioneer\n\nthe use of multiwell padsites to drill up to 16 wells from a single loca\n\ntion, greatly reducing our land and road use and overall environmental\n\nfootprint. We use the latest horizontal and directional drilling technology\n\nto place wells at a safe distance from homes, schools and businesses. In\n\naddition, we build and maintain access roads and work to eliminate soil\n\nerosion near our sites, as well as restore local vegetation.\n\nWe implement advanced, modern protective measures known as Best\n\nManagement Practices (BMPs) to help ensure energy development is con\n\nducted in an environmentally responsible manner. Procedures are imple\n\nmented throughout our operations to protect freshwater aquifers and\n\nreduce environmental impacts. BMPs protect wildlife, air quality, water and\n\nlandscapes as we work to develop vitally needed domestic energy sources.\n\nImplemented throughout the entire life cycle of a well, BMPs can be\n\nas simple as strategically placing a berm, or land barrier, on locations\n\nto control surface water runoff. Others involve cutting-edge operational\n\ntechnologies such as utilizing the most advanced techniques offered in\n\ndrilling fluids, well casing and cement design. Regardless of complex\n\nity, all BMPs are based on the idea that the environmental footprint of\n\nenergy development should be as small and temporary as possible.\n\nThese practices are continually evolving and further improving as\n\nChesapeake and the industry develop new innovative techniques and\n\napproaches to business.\n\nIn addition to our BMPs, Chesapeake has also initiated several\n\ninnovative internal programs focused on water recycling and greener\n\nhydraulic fracturing processes.\n\n* **Aqua Renew** * **<sup>®</sup>**\n\nCreated to meet the challenge of reducing our water usage, Chesapeake’s\n\n*Aqua Renew* <sup>®</sup> program uses state-of-the-art technology to recycle pro\n\nduced water. Since the\n\ncompany’s preliminary\n\nreclamation project in\n\n2006, our focus on water reuse and conservation has become a company-\n\nwide endeavor, stretching from the Barnett Shale of North Texas to the\n\nMarcellus Shale of northern Pennsylvania.\n\nThe *Aqua Renew* program has yet to find a limit to how much\n\nrecycled water could be used without compromising well production.\n\nIn fact, our Marcellus Shale operations are treating and recycling virtu\n\nally 100% of produced water (more than 10 million gallons per month)\n\nfor reuse in our hydraulic fracturing operations. Properly conducted\n\nmodern fracking is a highly engineered, controlled, sophisticated and\n\nsafe procedure.\n\nWith such large volumes of recycled water, the company is see\n\ning more than just environmental advantages. We estimate that this\n\n##### INVESTING IN OUR WORLD AND OUR PEOPLE »\n\n*Green operations — Chesapeake’s Best Management Practices ensure our*\n\n*operations are as environmentally friendly as possible, while protecting*\n\n*our employees, neighbors and the areas where we operate.*",
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- "text": "**Chesapeake’s $25 million**\n\n**of charitable giving in 2010**\n\nChesapeake’s sense of civic commitment provides a bountiful harvest of\n\nbenefits to cities large and small. We partner with groups and organizations\n\nacross all of our operating areas to improve the communities our employ\n\nees, contractors, vendors, land and mineral owners call home. We believe\n\nthe success of our business depends on the strength, goodwill and vitality\n\nof those communities. Most importantly, we believe it is the responsibility\n\nof every successful business to share success with its neighbors.\n\nIn 2010 we gave more than $25 million to charitable organizations\n\nand projects across our operating areas, primarily focusing on community\n\ndevelopment, education, health and medical and social services.\n\n**Economic Impact**\n\nWhile much of the U.S. is still struggling to recover from the economic re\n\ncession, the positive impact of natural gas and oil operations has provided\n\na valuable economic recovery stimulus for states that are home to explora\n\ntion and development activities. As the nation’s second-largest producer\n\nof natural gas, a Top 15 producer of liquids and most active driller of new\n\nwells, Chesapeake’s arrival in a new play stimulates economic activity,\n\naugments personal income through jobs and royalty payments, gen-\n\nerates substantial tax revenue and sustains communities throughout its\n\noperating areas.\n\nIn addition to the general economic impact of our activities on local\n\neconomies, the company’s tax contributions are substantial. In 2010\n\nChesapeake paid approximately $675 million in taxes, including ad valorem,\n\nseverance, sales, employer, and corporate income and franchise taxes. These\n\ntaxes pay for ongoing government services and also build and maintain\n\nschools, recreational facilities, and parks and roads — at a time when state\n\nand local governments are still feeling the pinch of recession. We are proud\n\nto support America’s economy with our growth while also helping to protect\n\nthe environment through the greater use of clean-burning natural gas and\n\nreducing the country’s dependence on expensive foreign oil.\n\nChesapeake also makes contributions that help improve lives and\n\neconomies in cities where we operate: $25 million in 2010 alone. For ex\n\nample, this past year we donated $200,000 to establish the Chesapeake\n\nEnvironmental and Recycling Center at Goodwill Industries of Central\n\nOklahoma. The center will provide an additional 80 jobs to disabled Okla\n\nhomans, as well as help Goodwill recycle 10 million pounds a year, which\n\n**24** | COMMUNITY RELATIONS\n\n##### INVESTING IN OUR COMMUNITIES »\n\nCommunity Development\n\nEducation\n\nHealth and Medical\n\nSocial Services\n\n*Equipping the next generation — West Virginia*\n\n*students hold their new laptops from*\n\n*Chesapeake as part of the company’s*\n\n*Discovering Tomorrow’s Leaders program.*\n\n**54%**\n\n**24%**\n\n**7%**\n\n**15%**\n\nequates to one-third of\n\nthe goods that other-\n\nwise would have been\n\ndestined for Oklahoma\n\nCity-area landfills. In\n\nWest Virginia, we helped\n\nfund construction of\n\nthe Morgantown Market\n\nPlace, a permanent site for the city’s farmers’ market, creating more busi\n\nness opportunities for local farmers.\n\nChesapeake also supports local chambers of commerce and city\n\ncouncils in all of its operating areas. In the Haynesville Shale last year, we\n\nawarded grants to the Shelby County, Sabine Parish and Coushatta-Red\n\nRiver chambers of commerce to help fund tourism, business communi\n\ncations and chamber events. In Texas, we assisted more than 250 civic,\n\nprofessional and community service organizations throughout Johnson,\n\nTarrant and western Dallas counties, and sponsored memberships in\n\n35 local Texas chambers of commerce. By helping local chambers and\n\nbusinesses grow and thrive, we are creating stronger economies.\n\nWe also hire locally whenever possible to help stimulate the local\n\neconomy, and we provide training when the local work force isn’t yet\n\nqualified for the jobs we have open. For example, when Chesapeake\n\nbegan operating in the Marcellus Shale of West Virginia and Pennsyl\n\nvania, finding experienced rig workers was a challenge. To meet that\n\nneed, Chesapeake’s wholly owned subsidiary, Nomac Drilling, built\n\nthe 40,000-square-foot Eastern Training Center and Housing Facility in\n\nBradford County, near Sayre, Pennsylvania. The campus opened in 2010\n\nand serves as a housing facility and training ground for 266 workers at\n\na time. Nomac and Chesapeake host regular job fairs in the region and\n\nthe lines of interested candidates often extend out the door.\n\n**Educational Impact**\n\nWe are also proud to help prepare tomorrow’s leaders today. In 2010\n\nChesapeake supported universities, schools, academic chairs, scholarships\n\nand other educational programs with contributions totaling $5.4 million.\n\nInvesting in programs that promote technology and innovation is a\n\nkey to our country’s success. That’s why we gave $1.0 million to establish\n\nthe Chesapeake Energy dormitory for students at the Oklahoma School for\n\nScience and Mathematics (OSSM), a public, tuition-free, residential high\n\nschool located in Oklahoma City for juniors and seniors with exceptional\n\nabilities. The extremely competitive school is helping train the next gen-\n\neration of scientists and mathematicians.\n\nWe also established the Chesapeake Energy Presidential Scholars Pro\n\ngram at the Oklahoma City University Meinders School of Business, making\n\na $5.0 million commitment to be distributed over the next five years. The\n\nChesapeake Scholars Program will provide up to $25,000 per year in tuition",
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- "text": "Through volunteer programs and responsible operations, we strive to be the best neighbor\n\npossible in every one of our operating areas by investing in our communities.\n\n### CHESAPEAKE’S COMMITMENT TO BEING A GOOD NEIGHBOR »\n\n**22** | SOCIAL RESPONSIBILITY 2010 ANNUAL REPORT | **23**",
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- "text": "The combination of these vast new discoveries of unconventional\n\nnatural gas and liquids provides America with a unique future path\n\nway toward greater energy independence, an industrial renaissance,\n\neconomic rejuvenation and greater national security. I remain fully con\n\nfident that the marketplace understands this and that over time the U.S.\n\nwill more fully embrace and utilize clean, affordable, abundant American\n\nnatural gas and increased domestic oil production as the best alterna\n\ntives to burning environmentally challenged coal and expensive and\n\ndangerous foreign oil.\n\nThere is now a clear road ahead toward a more sustainable, afford\n\nable, dynamic and independent future if America embraces the remark\n\nable gift of energy abundance that Chesapeake has helped discover in\n\nthe U.S. You have my commitment, and the commitment of more than\n\n10,000 other Chesapeake employees, that every day we are working\n\nhard to create shareholder value and a better future for our communi\n\nties, our states and our country through the continued discovery and\n\ndevelopment of unconventional natural gas and liquids.\n\nfor a new energy future with greater natural gas usage and increased\n\ndomestic oil production as two of its primary attributes, it is encouraging\n\nto see our political leadership finally grasp that natural gas stands alone\n\nas the only affordable, scalable and immediately available alternative to\n\nforeign oil and that U.S. oil production can be increased significantly in\n\nthe years ahead.\n\nThe events of the past few months have unmistakably driven home\n\nthe fact that it is insanity to rely on the Middle East to provide our econ\n\nomy’s lifeline of oil. This should be especially obvious when one realizes\n\nthat during the next 10 years, America will likely export at least another\n\n$4 trillion in national wealth to oil exporters around the world. Clearly,\n\nour country must demand from its leaders a new and more sustainable\n\nenergy future.\n\nThe good news, however, is that America can now secure a new\n\nenergy future thanks to Chesapeake and a handful of other leading U.S.\n\nE&P companies that have reinvented the process of finding natural gas\n\nand oil during the past five years. In doing so, we have discovered twice\n\nthe resources of natural gas in the U.S. that Saudi Arabia possesses in oil.\n\nFurthermore, these same few companies that led the unconventional\n\nnatural gas revolution have in just the past two years also reinvented\n\nthe way in which we can find large new oil resources onshore in the U.S.\n\nIn fact, I believe the U.S. can possibly increase its production of oil from\n\nthe current 5.8 million barrels per day by 30- 50% during the next 5- 10\n\nyears, thereby potentially reaching the President’s 2025 goal of reducing\n\nforeign oil imports by 33%, 5- 10 years earlier than hoped.\n\nThe combination of these vast new discoveries\n\nof unconventional natural gas and liquids\n\nprovides America with a unique future path-\n\nway toward greater energy independence,\n\nan industrial renaissance, economic rejuvenation\n\nand greater national security.\n\nBest regards,\n\nAubrey K. McClendon\n\nChairman and Chief Executive Officer\n\nApril 15, 2011\n\n*Advancing technology for cleaner operations: solar panels at a West Texas well power*\n\n*telemetry systems that provide pumpers with real-time information on oil and water*\n\n*tank levels to alarm them when levels near capacity, preventing tank spills.*\n\n2010 ANNUAL REPORT | **15**",
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- "text": "**ON THE COVER**\n\n*Moving west, a Chesapeake rig*\n\n*drills toward the Niobrara Shale*\n\n*in the Powder River Basin of*\n\n*southeastern Wyoming, one of*\n\n*several new liquids-rich plays*\n\n*that are enabling the company*\n\n*to increase its profitability and*\n\n*return on capital.*\n\n**CONTENTS**\n\n1 Financial Review\n\n4 Letter to Shareholders\n\n16 Operating Areas\n\n20 Investor Q&A\n\n22 Social Responsibility\n\n24 Community Relations\n\n26 \u0007Environmental, Health & Safety\n\n28 Board of Directors\n\n28 Governance\n\n29 Officers\n\n30 Employees\n\n45 Form 10-K\n\nInside Back Cover\n\nCorporate Information\n\n#### Chesapeake Energy Corporation is the second-largest producer of\n\n#### natural gas, a Top 15 producer of oil and natural gas liquids and\n\n#### the most active driller of new wells in the U.S.\n\nHeadquartered in Oklahoma City, the company’s operations are focused on discovering and developing\n\nunconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in\n\nthe Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite\n\nWash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford,\n\nNiobrara and Utica unconventional liquids-rich plays.\n\nThe company has also vertically integrated its oper-\n\nations and owns substantial midstream, compression,\n\ndrilling and oilfield service assets. Chesapeake’s stock\n\nis listed on the New York Stock Exchange under\n\nthe symbol CHK. Further information is available at\n\n**www.chk.com** where Chesapeake routinely posts\n\nannouncements, updates, events, investor informa-\n\ntion, presentations and press releases.\n\n**CORPORATE PROFILE**",
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- "text": "happen to manage some of the world’s largest pools of capital and have\n\na very long-term investment horizon. Their support is an important\n\nvalidation of our strategy.\n\n**Short-Term Pain for Long-Term Gain**\n\nDespite this all-star lineup of global partners and investors, some other\n\ninvestors have not yet fully recognized the benefits of our industry\n\nleadership in acquiring unconventional natural gas and liquids assets.\n\nWhether it was our leveraged balance sheet during recent tough reces\n\nsionary times, our heavy focus on natural gas during a time of persistent\n\nmarket pessimism about natural gas prices or our large capital invest-\n\nments in undeveloped liquids-rich leasehold undertaken to enable\n\nChesapeake to remain an industry leader in the years ahead, it is clear\n\nthat we were less popular in the stock market in 2010 than we were in\n\n2009, when our stock price increased by 60%.\n\nWe anticipated that some market unpopularity in 2010 would\n\nlikely be the price we would pay as we positioned Chesapeake to be\n\nthe leader not only in unconventional U.S. natural gas, but also in\n\nunconventional U.S. liquids. However, now that we have largely com-\n\npleted the investments needed to accomplish this transition to a port-\n\nfolio balanced with liquids, the rebound in our stock price could be sharp\n\nas investors begin to focus more clearly on Chesapeake’s three-way\n\ntransition from an asset gatherer to an asset harvester, from less natural\n\ngas exposure to more liquids exposure and from a leveraged balance\n\nsheet to one worthy of an investment grade rating.\n\nAccordingly, in early January 2011, we announced our “25/25 Plan,”\n\na two-year plan designed to reduce our long-term debt by 25% while\n\nstill growing the company’s production by 25%. We designed this plan\n\nto articulate very clearly the benefits of becoming an asset harvester\n\n**Strong Partners**\n\nOver the past few years, in addition to gathering the industry’s best\n\nassets, Chesapeake has also built the industry’s finest collection of global\n\nenergy partners and energy stock investors. We have now entered into\n\ntransactions with PXP, BP, Statoil, Total, CNOOC and BHP Billiton. Collec\n\ntively, we have sold these companies certain assets for total consider\n\nation of $20.5 billion in the form of cash and drilling and completion\n\ncarries for which our net cost was only $6.1 billion resulting in overall\n\nvalue creation of $14.4 billion. While these transactions have been very\n\nrewarding to our buyers, they have been truly outstanding for Chesapeake,\n\nproviding us an attractive source of capital, a reduction of risk, a quick\n\nrecovery of our leasehold investment in new plays and a much greater\n\nability to capture a large resource base with decades of highly profitable\n\ndrilling opportunities.\n\nIn addition, we are the only U.S. E&P company that has attracted\n\nto its stock ownership roster some of the world’s leading government-\n\nsponsored investors: Temasek Holdings (Singapore), China Investment\n\nCorporation, Korea Investment Corporation and Abu Dhabi Investment\n\nAuthority. Along with our largest shareholder, Memphis, Tennessee-\n\nbased Southeastern Asset Management (12%), these shareholders are\n\nsome of the world’s largest and most astute investors, and who also\n\n2010 ANNUAL REPORT | **5**\n\nThrough a wide variety of transactions,\n\nincluding several led by Chesapeake,\n\nthe global energy industry made it clear\n\nthat the assets owned by Chesapeake and\n\nsome of its peers are the most attractive\n\nin the world.\n\n*<< Aubrey K. McClendon, Co-Founder, Chairman and Chief Executive Officer*",
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- "text": "2010 ANNUAL REPORT | **27**\n\nprocess is saving the company an average of $12 million per year in the\n\nMarcellus Shale alone.\n\n* **Green Frac** * **<sup>®</sup>**\n\nChesapeake’s *Green Frac* *<sup>®</sup>* program was launched in October 2009 to\n\nevaluate the types of additives typically used in the fracking process. As\n\nan industry-leading program,\n\n*Green Frac* is a decisive move\n\ntoward an even greener fluid\n\nsystem. By reviewing all of the ingredients typically used in each fracking\n\noperation, the program identifies additives that can be removed and tests\n\nalternatives. To date, the company has eliminated 25% of the additives\n\nused in frack fluids in most of its shale plays.\n\n*Green Frac* is also establishing simple guidelines for the company\n\nand its vendors to select fracking ingredients that present minimal risks\n\nto people and the environment. These guidelines will also be used to\n\nincrease public understanding of the process and its necessity in the\n\nproduction of American natural gas.\n\n**Employees**\n\nFrom state-of-the-art training facilities to extensive health and wellness\n\nprograms, Chesapeake provides employees with the skills they need to\n\nsucceed both in the field and at the office while creating a well-rounded\n\nenvironment for employees and their families. We are committed to the\n\nsafety and well-being of our employees, contractors and local populations.\n\nWe provide initial and refresher safety and environmental train\n\ning to our employees and contractors. In addition to classroom and\n\nhands-on training, we utilize online environmental, health and\n\nsafety training focused on company policy and procedures for top\n\nics pertinent to the management of our field assets. The range of\n\n*Learning from the best — Our commitment to creating a safe work environ*\n\n*ment continued to grow in 2010 with the founding of the Chesapeake SAFE*\n\n*program. Focused on developing safe behaviors, promoting a safety-conscious*\n\n*culture and eliminating risk in all operating areas, the program has trained*\n\n*more than 4,200 employees and consultants.*\n\ntopics covered includes Occupational Safety and Health Administra\n\ntion (OSHA)-required safety training, such as hazard communica\n\ntion, personal protective equipment, confined spaces and respiratory\n\nprotection. In addition to operations training, we also provide safe work\n\npractices, vehicle safety and specialized training for employees and\n\ncontractors who perform specific tasks such as emergency response.\n\nSpecialized environmental training is also provided to address topics\n\nsuch as air compliance, waste management and spill prevention.\n\nIn 2010 we conducted a total of 2,306 instructor-led training courses\n\nand 67 web-based training courses on safety and environmental pro\n\ngrams for employees, contractors, vendors and visitors.\n\nTo further our training efforts and emphasize the importance\n\nof creating a safe work environment, the company established the\n\nChesapeake SAFE program in July 2010. Through workshop training\n\ncourses, the program focuses on developing safe behaviors, promot\n\ning a safety-conscious culture and reducing risk in all operating areas.\n\nBy year-end 2010, more than 4,200 employees and consultants partici\n\npated in 121 workshops in 18 cities across the country.\n\nChesapeake’s commitment to employee health and wellness is also\n\nevident at our 72,000-square-foot fitness center, which provides Oklahoma\n\nCity headquarters employees and their families with on-site access to\n\nstate-of-the-art health equipment, recreation leagues and group exercise\n\nclasses. For employees who work outside of our headquarters, we subsi\n\ndize family fitness memberships and recreational entry fees.\n\nTo further promote healthy lifestyles, the company-wide Living Well\n\nprogram provides financial incentives for employees who participate in\n\nregular exercise, education, motivation and intervention. In 2010 more\n\nthan 6,900 employees participated in Chesapeake’s Living Well program\n\nwith more than 70% earning financial awards.\n\nIn addition, we provide discounted or free memberships to organiza\n\ntions such as Weight Watchers and cover the cost of most registration\n\nfees for local races and fitness events. Throughout the year the company\n\nalso hosts a number of health-related classes and programs, including\n\nour award-winning Live Better Forever program, a dynamic new Your Life\n\nMatters mental health initiative and Lunch and Learn seminars.\n\nFrom our extensive required safety training to our award-winning\n\nhealth and wellness benefits, Chesapeake is dedicated to providing quality\n\nresources to ensure the health and well-being of each of our employees.\n\nFrom state-of-the-art training facilities\n\nto extensive health and wellness programs,\n\nChesapeake provides employees with the skills\n\nthey need to succeed both in the field and at\n\nthe office while creating a well-rounded envi\n\nronment for employees and their families.",
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- "text": "### AMERICA’S PREMIER ENERGY RESOURCE BASE »\n\n**16** | OPERATING AREAS\n\n## **1**\n\n## **2**\n\n## **3**\n\n## **4**\n\n## **8**\n\n## **7**\n\n## **6**\n\n## **5**\n\nMarcellus Shale\n\nBarnett Shale\n\nHaynesville\n\nShale\n\nBossier\n\nShale\n\nEagle Ford\n\nShale\n\nAnadarko\n\nBasin\n\nRockies\n\nPermian\n\nBasin\n\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has\n\nbuilt a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays\n\nand in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica\n\nunconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise\n\ngained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of\n\nnatural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of\n\ndivestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion\n\ncubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end\n\n2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the\n\nU.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling\n\nopportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake’s ownership position\n\nin our key operating areas.\n\nNatural Gas Shale Areas\n\nLiquids-Rich Areas\n\nOperating States",
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- "text": "2010 also marked a truly transformative year for our industry. We and\n\na handful of our peers enhanced our capabilities to find and produce sig\n\nnificant new resources of oil and natural gas liquids (collectively, “liquids”) in\n\nunconventional formations. Chesapeake and these other companies combined\n\ncreativity, innovation and technology to reinvent the way that our industry\n\nexplores for and produces natural gas and liquids.\n\nFurthermore, 2010 was the year when global energy companies more\n\nfully recognized the importance of these developments and the tremendous\n\nopportunities that have emerged in the U.S. Through a wide variety of trans-\n\nactions, including several led by Chesapeake, the global energy industry made\n\nit clear that the assets owned by Chesapeake and some of its peers are the most\n\nattractive in the world. This realization has already increased the value of high-\n\nquality unconventional assets in the U.S. and, in time, should lead to higher\n\nstock prices for the leading U.S. onshore E&P companies, especially Chesapeake. Simply put, the global energy\n\nindustry is beating a path to our door, and we are welcoming it with open arms.\n\nBefore we move ahead, I want to emphasize that even though 2010 was a year of transition and achievement,\n\nour stock price was essentially unchanged. Nevertheless, it was still a very strong year for the company operation\n\nally and financially. Here are the year’s highlights for your review:\n\n>> \u0007Average daily natural gas and oil production increased 14% from 2.5 billion cubic feet of natural gas\n\nequivalent (bcfe) in 2009 to 2.8 bcfe in 2010;\n\n>> \u0007Proved natural gas and oil reserves increased 20% in 2010, from 14.3 trillion cubic feet of natural gas\n\nequivalent (tcfe) to 17.1 tcfe;\n\n>> \u0007Reserve replacement for 2010 reached 375% at a drilling, completion and net acquisition cost of only\n\n$0.76 per thousand cubic feet of natural gas equivalent (mcfe) <sup>(1)</sup> ;\n\n>> \u0007Realized hedging gains were $2.1 billion;\n\n>> \u0007Revenues increased 22% to $9.4 billion;\n\n>> \u0007Adjusted ebitda <sup>(2)</sup> increased 15% to $5.1 billion;\n\n>> \u0007Operating cash flow <sup>(2)</sup> increased 5% to $4.5 billion; and\n\n>> \u0007Adjusted earnings per fully diluted share <sup>(2)</sup> increased 16% to $2.95.\n\n*Home to three distinct forms*\n\n*of hydrocarbons: dry natural*\n\n*gas, natural gas liquids and*\n\n*oil, the Eagle Ford Shale*\n\n*in South Texas epitomizes*\n\n*Chesapeake’s shift to a bal*\n\n*anced focus on natural gas*\n\n*and liquids.*\n\n**4** | LETTER TO SHAREHOLDERS\n\n2010 was a very important year of transition and achievement for Chesapeake, a year in which we\n\ninitiated three very important strategic shifts: from asset gathering to asset harvesting, from focusing\n\nexclusively on natural gas to a balanced focus on natural gas and liquids and from having a leveraged\n\nbalance sheet to one worthy of an investment grade rating.\n\n### DEAR FELLOW SHAREHOLDERS »",
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- "text": "atmosphere of vitality and energy at Chesapeake, important ingredi\n\nents of our distinctive culture. These attributes, along with a vibrant\n\nand attractive corporate headquarters campus, low levels of bureau\n\ncracy, great assets and a well-executed corporate strategy combine to\n\ncreate our culture of success and innovation.\n\nThis has generated extremely positive external feedback as\n\nChesapeake was recently recognized for the fourth consecutive year\n\nas one of the FORTUNE 100 Best Companies to Work For <sup>®(3)</sup> in the U.S.\n\nIn fact, we moved up to #32 overall and #1 in our industry — we are\n\nvery proud of having created and sustained what is now considered\n\nthe best place to work in all of the U.S. energy production industry.\n\nIn addition, we were honored in December 2010 at the 12th Annual\n\nPlatts Global Energy Awards as finalists for CEO of the Year, Community\n\nDevelopment Program of the Year, Deal of the Year, Energy Producer\n\nof the Year and the Industry Leadership Award. Chesapeake was one\n\nof only two companies selected as a finalist in five or more categories.\n\nThe company was also honored in 2010 with a Certificate of Recognition\n\nfor our military reserve recruiting efforts, named a 2010 Best Diversity\n\nCompany by Engineering & Information Technology Magazine and rec\n\nognized for Best Investor Relations in Energy Sector and Best Investor\n\nRelations Website at the 2010 IR Magazine U.S. Awards.\n\n**Recent Events and a Better Way Forward**\n\nYou may be aware that I have been outspoken in attempting to persuade\n\nour country’s political leadership to recognize that the discovery of vast\n\nresources of unconventional natural gas and oil in the U.S. is a complete\n\ngame changer for our country from an economic, national security and\n\nenvironmental perspective. After two years of my best efforts and the\n\nefforts of many others in the industry, most notably T. Boone Pickens,\n\nFrom our beginning 22 years ago with 10\n\nemployees in Oklahoma City to employing\n\nmore than 10,000 people across 15 states\n\ntoday, Chesapeake has always focused on\n\nbuilding first-class human resources within\n\na distinctive corporate culture.\n\n*<<* *A Chesapeake rig drills in the Marcellus Shale, where the company is*\n\n*the leading leasehold owner, largest producer and most active driller.*\n\nwet natural gas and dry natural gas), similar to the components of the\n\nEagle Ford Shale. We have made a large commitment to this play and\n\nhave acquired approximately 1.2 million net leasehold acres and expect\n\nto increase this total to as much as 1.5 million net leasehold acres in the\n\ncoming months. We are currently using three rigs to evaluate the play\n\nand believe our leasehold could support the drilling of up to 12,000 net\n\nwells. This is an area where we anticipate bringing in a joint venture\n\npartner late in 2011 or early in 2012.\n\n**Our People**\n\nGreat assets cannot exist without great people, so we take great pride\n\nin hiring, training, motivating, rewarding and retaining what we regard\n\nas the best employees in the industry. From our beginning 22 years ago\n\nwith 10 employees in Oklahoma City to employing more than 10,000\n\npeople across 15 states today, Chesapeake has always focused on build\n\ning first-class human resources within a distinctive corporate culture. Talk\n\nto Chesapeake employees and you will note genuine pride and great\n\nenthusiasm about the company and the critical role that we play in deliv\n\nering increasing quantities of clean and affordable American natural gas\n\nand valuable and reliable liquids to energy consumers across the country.\n\nChesapeake employees are distinctive in other ways as well. They\n\nare much younger than the industry average, with half of our almost\n\n4,000 Oklahoma City-based headquarters employees 33 years old\n\nor younger. Their enthusiasm and willingness to learn create an\n\n**12** | LETTER TO SHAREHOLDERS 2010 ANNUAL REPORT | **13**",
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- "query": "Has the CEO of Chesapeake Energy met with the US President about America's energy production?",
- "target_page": 16,
- "target_passage": "I am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable.",
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- "text": "The combination of these vast new discoveries of unconventional\n\nnatural gas and liquids provides America with a unique future path\n\nway toward greater energy independence, an industrial renaissance,\n\neconomic rejuvenation and greater national security. I remain fully con\n\nfident that the marketplace understands this and that over time the U.S.\n\nwill more fully embrace and utilize clean, affordable, abundant American\n\nnatural gas and increased domestic oil production as the best alterna\n\ntives to burning environmentally challenged coal and expensive and\n\ndangerous foreign oil.\n\nThere is now a clear road ahead toward a more sustainable, afford\n\nable, dynamic and independent future if America embraces the remark\n\nable gift of energy abundance that Chesapeake has helped discover in\n\nthe U.S. You have my commitment, and the commitment of more than\n\n10,000 other Chesapeake employees, that every day we are working\n\nhard to create shareholder value and a better future for our communi\n\nties, our states and our country through the continued discovery and\n\ndevelopment of unconventional natural gas and liquids.\n\nfor a new energy future with greater natural gas usage and increased\n\ndomestic oil production as two of its primary attributes, it is encouraging\n\nto see our political leadership finally grasp that natural gas stands alone\n\nas the only affordable, scalable and immediately available alternative to\n\nforeign oil and that U.S. oil production can be increased significantly in\n\nthe years ahead.\n\nThe events of the past few months have unmistakably driven home\n\nthe fact that it is insanity to rely on the Middle East to provide our econ\n\nomy’s lifeline of oil. This should be especially obvious when one realizes\n\nthat during the next 10 years, America will likely export at least another\n\n$4 trillion in national wealth to oil exporters around the world. Clearly,\n\nour country must demand from its leaders a new and more sustainable\n\nenergy future.\n\nThe good news, however, is that America can now secure a new\n\nenergy future thanks to Chesapeake and a handful of other leading U.S.\n\nE&P companies that have reinvented the process of finding natural gas\n\nand oil during the past five years. In doing so, we have discovered twice\n\nthe resources of natural gas in the U.S. that Saudi Arabia possesses in oil.\n\nFurthermore, these same few companies that led the unconventional\n\nnatural gas revolution have in just the past two years also reinvented\n\nthe way in which we can find large new oil resources onshore in the U.S.\n\nIn fact, I believe the U.S. can possibly increase its production of oil from\n\nthe current 5.8 million barrels per day by 30- 50% during the next 5- 10\n\nyears, thereby potentially reaching the President’s 2025 goal of reducing\n\nforeign oil imports by 33%, 5- 10 years earlier than hoped.\n\nThe combination of these vast new discoveries\n\nof unconventional natural gas and liquids\n\nprovides America with a unique future path-\n\nway toward greater energy independence,\n\nan industrial renaissance, economic rejuvenation\n\nand greater national security.\n\nBest regards,\n\nAubrey K. McClendon\n\nChairman and Chief Executive Officer\n\nApril 15, 2011\n\n*Advancing technology for cleaner operations: solar panels at a West Texas well power*\n\n*telemetry systems that provide pumpers with real-time information on oil and water*\n\n*tank levels to alarm them when levels near capacity, preventing tank spills.*\n\n2010 ANNUAL REPORT | **15**",
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- "text": "2010 ANNUAL REPORT | **29**\n\n##### OFFICERS »\n\nJeffrey A. Fisher\n\nSenior Vice President -\n\nProduction\n\nMichael A. Johnson\n\nSenior Vice President -\n\nAccounting, Controller\n\nand Chief Accounting Officer\n\nJ. Mike Stice\n\nSenior Vice President - Natural Gas\n\nProjects and Chief Executive Officer\n\nChesapeake Midstream Partners, L.P.\n\nSteven C. Dixon\n\nExecutive Vice President -\n\nOperations and Geosciences\n\nand Chief Operating Officer\n\nHenry J. Hood\n\nSenior Vice President - Land\n\nand Legal and General Counsel\n\nJeffrey L. Mobley\n\nSenior Vice President -\n\nInvestor Relations and Research\n\nDomenic J. Dell’Osso, Jr.\n\nExecutive Vice President\n\nand Chief Financial Officer\n\nMartha A. Burger\n\nSenior Vice President -\n\nHuman and Corporate Resources\n\nJames C. Johnson\n\nSenior Vice President -\n\nEnergy Marketing\n\nThomas S. Price, Jr.\n\nSenior Vice President -\n\nCorporate Development\n\nand Government Relations\n\nAubrey K. McClendon\n\nChairman of the Board\n\nand Chief Executive Officer\n\nJennifer M. Grigsby\n\nSenior Vice President,\n\nTreasurer and Corporate Secretary\n\nCathy L. Tompkins\n\nSenior Vice President -\n\nInformation Technology\n\nand Chief Information Officer\n\nStephen W. Miller\n\nSenior Vice President - Drilling\n\nDouglas J. Jacobson\n\nExecutive Vice President -\n\nAcquisitions and Divestitures",
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- "text": "atmosphere of vitality and energy at Chesapeake, important ingredi\n\nents of our distinctive culture. These attributes, along with a vibrant\n\nand attractive corporate headquarters campus, low levels of bureau\n\ncracy, great assets and a well-executed corporate strategy combine to\n\ncreate our culture of success and innovation.\n\nThis has generated extremely positive external feedback as\n\nChesapeake was recently recognized for the fourth consecutive year\n\nas one of the FORTUNE 100 Best Companies to Work For <sup>®(3)</sup> in the U.S.\n\nIn fact, we moved up to #32 overall and #1 in our industry — we are\n\nvery proud of having created and sustained what is now considered\n\nthe best place to work in all of the U.S. energy production industry.\n\nIn addition, we were honored in December 2010 at the 12th Annual\n\nPlatts Global Energy Awards as finalists for CEO of the Year, Community\n\nDevelopment Program of the Year, Deal of the Year, Energy Producer\n\nof the Year and the Industry Leadership Award. Chesapeake was one\n\nof only two companies selected as a finalist in five or more categories.\n\nThe company was also honored in 2010 with a Certificate of Recognition\n\nfor our military reserve recruiting efforts, named a 2010 Best Diversity\n\nCompany by Engineering & Information Technology Magazine and rec\n\nognized for Best Investor Relations in Energy Sector and Best Investor\n\nRelations Website at the 2010 IR Magazine U.S. Awards.\n\n**Recent Events and a Better Way Forward**\n\nYou may be aware that I have been outspoken in attempting to persuade\n\nour country’s political leadership to recognize that the discovery of vast\n\nresources of unconventional natural gas and oil in the U.S. is a complete\n\ngame changer for our country from an economic, national security and\n\nenvironmental perspective. After two years of my best efforts and the\n\nefforts of many others in the industry, most notably T. Boone Pickens,\n\nFrom our beginning 22 years ago with 10\n\nemployees in Oklahoma City to employing\n\nmore than 10,000 people across 15 states\n\ntoday, Chesapeake has always focused on\n\nbuilding first-class human resources within\n\na distinctive corporate culture.\n\n*<<* *A Chesapeake rig drills in the Marcellus Shale, where the company is*\n\n*the leading leasehold owner, largest producer and most active driller.*\n\nwet natural gas and dry natural gas), similar to the components of the\n\nEagle Ford Shale. We have made a large commitment to this play and\n\nhave acquired approximately 1.2 million net leasehold acres and expect\n\nto increase this total to as much as 1.5 million net leasehold acres in the\n\ncoming months. We are currently using three rigs to evaluate the play\n\nand believe our leasehold could support the drilling of up to 12,000 net\n\nwells. This is an area where we anticipate bringing in a joint venture\n\npartner late in 2011 or early in 2012.\n\n**Our People**\n\nGreat assets cannot exist without great people, so we take great pride\n\nin hiring, training, motivating, rewarding and retaining what we regard\n\nas the best employees in the industry. From our beginning 22 years ago\n\nwith 10 employees in Oklahoma City to employing more than 10,000\n\npeople across 15 states today, Chesapeake has always focused on build\n\ning first-class human resources within a distinctive corporate culture. Talk\n\nto Chesapeake employees and you will note genuine pride and great\n\nenthusiasm about the company and the critical role that we play in deliv\n\nering increasing quantities of clean and affordable American natural gas\n\nand valuable and reliable liquids to energy consumers across the country.\n\nChesapeake employees are distinctive in other ways as well. They\n\nare much younger than the industry average, with half of our almost\n\n4,000 Oklahoma City-based headquarters employees 33 years old\n\nor younger. Their enthusiasm and willingness to learn create an\n\n**12** | LETTER TO SHAREHOLDERS 2010 ANNUAL REPORT | **13**",
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- "text": "2010 also marked a truly transformative year for our industry. We and\n\na handful of our peers enhanced our capabilities to find and produce sig\n\nnificant new resources of oil and natural gas liquids (collectively, “liquids”) in\n\nunconventional formations. Chesapeake and these other companies combined\n\ncreativity, innovation and technology to reinvent the way that our industry\n\nexplores for and produces natural gas and liquids.\n\nFurthermore, 2010 was the year when global energy companies more\n\nfully recognized the importance of these developments and the tremendous\n\nopportunities that have emerged in the U.S. Through a wide variety of trans-\n\nactions, including several led by Chesapeake, the global energy industry made\n\nit clear that the assets owned by Chesapeake and some of its peers are the most\n\nattractive in the world. This realization has already increased the value of high-\n\nquality unconventional assets in the U.S. and, in time, should lead to higher\n\nstock prices for the leading U.S. onshore E&P companies, especially Chesapeake. Simply put, the global energy\n\nindustry is beating a path to our door, and we are welcoming it with open arms.\n\nBefore we move ahead, I want to emphasize that even though 2010 was a year of transition and achievement,\n\nour stock price was essentially unchanged. Nevertheless, it was still a very strong year for the company operation\n\nally and financially. Here are the year’s highlights for your review:\n\n>> \u0007Average daily natural gas and oil production increased 14% from 2.5 billion cubic feet of natural gas\n\nequivalent (bcfe) in 2009 to 2.8 bcfe in 2010;\n\n>> \u0007Proved natural gas and oil reserves increased 20% in 2010, from 14.3 trillion cubic feet of natural gas\n\nequivalent (tcfe) to 17.1 tcfe;\n\n>> \u0007Reserve replacement for 2010 reached 375% at a drilling, completion and net acquisition cost of only\n\n$0.76 per thousand cubic feet of natural gas equivalent (mcfe) <sup>(1)</sup> ;\n\n>> \u0007Realized hedging gains were $2.1 billion;\n\n>> \u0007Revenues increased 22% to $9.4 billion;\n\n>> \u0007Adjusted ebitda <sup>(2)</sup> increased 15% to $5.1 billion;\n\n>> \u0007Operating cash flow <sup>(2)</sup> increased 5% to $4.5 billion; and\n\n>> \u0007Adjusted earnings per fully diluted share <sup>(2)</sup> increased 16% to $2.95.\n\n*Home to three distinct forms*\n\n*of hydrocarbons: dry natural*\n\n*gas, natural gas liquids and*\n\n*oil, the Eagle Ford Shale*\n\n*in South Texas epitomizes*\n\n*Chesapeake’s shift to a bal*\n\n*anced focus on natural gas*\n\n*and liquids.*\n\n**4** | LETTER TO SHAREHOLDERS\n\n2010 was a very important year of transition and achievement for Chesapeake, a year in which we\n\ninitiated three very important strategic shifts: from asset gathering to asset harvesting, from focusing\n\nexclusively on natural gas to a balanced focus on natural gas and liquids and from having a leveraged\n\nbalance sheet to one worthy of an investment grade rating.\n\n### DEAR FELLOW SHAREHOLDERS »",
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- "text": "**ON THE COVER**\n\n*Moving west, a Chesapeake rig*\n\n*drills toward the Niobrara Shale*\n\n*in the Powder River Basin of*\n\n*southeastern Wyoming, one of*\n\n*several new liquids-rich plays*\n\n*that are enabling the company*\n\n*to increase its profitability and*\n\n*return on capital.*\n\n**CONTENTS**\n\n1 Financial Review\n\n4 Letter to Shareholders\n\n16 Operating Areas\n\n20 Investor Q&A\n\n22 Social Responsibility\n\n24 Community Relations\n\n26 \u0007Environmental, Health & Safety\n\n28 Board of Directors\n\n28 Governance\n\n29 Officers\n\n30 Employees\n\n45 Form 10-K\n\nInside Back Cover\n\nCorporate Information\n\n#### Chesapeake Energy Corporation is the second-largest producer of\n\n#### natural gas, a Top 15 producer of oil and natural gas liquids and\n\n#### the most active driller of new wells in the U.S.\n\nHeadquartered in Oklahoma City, the company’s operations are focused on discovering and developing\n\nunconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in\n\nthe Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite\n\nWash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford,\n\nNiobrara and Utica unconventional liquids-rich plays.\n\nThe company has also vertically integrated its oper-\n\nations and owns substantial midstream, compression,\n\ndrilling and oilfield service assets. Chesapeake’s stock\n\nis listed on the New York Stock Exchange under\n\nthe symbol CHK. Further information is available at\n\n**www.chk.com** where Chesapeake routinely posts\n\nannouncements, updates, events, investor informa-\n\ntion, presentations and press releases.\n\n**CORPORATE PROFILE**",
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- "text": "happen to manage some of the world’s largest pools of capital and have\n\na very long-term investment horizon. Their support is an important\n\nvalidation of our strategy.\n\n**Short-Term Pain for Long-Term Gain**\n\nDespite this all-star lineup of global partners and investors, some other\n\ninvestors have not yet fully recognized the benefits of our industry\n\nleadership in acquiring unconventional natural gas and liquids assets.\n\nWhether it was our leveraged balance sheet during recent tough reces\n\nsionary times, our heavy focus on natural gas during a time of persistent\n\nmarket pessimism about natural gas prices or our large capital invest-\n\nments in undeveloped liquids-rich leasehold undertaken to enable\n\nChesapeake to remain an industry leader in the years ahead, it is clear\n\nthat we were less popular in the stock market in 2010 than we were in\n\n2009, when our stock price increased by 60%.\n\nWe anticipated that some market unpopularity in 2010 would\n\nlikely be the price we would pay as we positioned Chesapeake to be\n\nthe leader not only in unconventional U.S. natural gas, but also in\n\nunconventional U.S. liquids. However, now that we have largely com-\n\npleted the investments needed to accomplish this transition to a port-\n\nfolio balanced with liquids, the rebound in our stock price could be sharp\n\nas investors begin to focus more clearly on Chesapeake’s three-way\n\ntransition from an asset gatherer to an asset harvester, from less natural\n\ngas exposure to more liquids exposure and from a leveraged balance\n\nsheet to one worthy of an investment grade rating.\n\nAccordingly, in early January 2011, we announced our “25/25 Plan,”\n\na two-year plan designed to reduce our long-term debt by 25% while\n\nstill growing the company’s production by 25%. We designed this plan\n\nto articulate very clearly the benefits of becoming an asset harvester\n\n**Strong Partners**\n\nOver the past few years, in addition to gathering the industry’s best\n\nassets, Chesapeake has also built the industry’s finest collection of global\n\nenergy partners and energy stock investors. We have now entered into\n\ntransactions with PXP, BP, Statoil, Total, CNOOC and BHP Billiton. Collec\n\ntively, we have sold these companies certain assets for total consider\n\nation of $20.5 billion in the form of cash and drilling and completion\n\ncarries for which our net cost was only $6.1 billion resulting in overall\n\nvalue creation of $14.4 billion. While these transactions have been very\n\nrewarding to our buyers, they have been truly outstanding for Chesapeake,\n\nproviding us an attractive source of capital, a reduction of risk, a quick\n\nrecovery of our leasehold investment in new plays and a much greater\n\nability to capture a large resource base with decades of highly profitable\n\ndrilling opportunities.\n\nIn addition, we are the only U.S. E&P company that has attracted\n\nto its stock ownership roster some of the world’s leading government-\n\nsponsored investors: Temasek Holdings (Singapore), China Investment\n\nCorporation, Korea Investment Corporation and Abu Dhabi Investment\n\nAuthority. Along with our largest shareholder, Memphis, Tennessee-\n\nbased Southeastern Asset Management (12%), these shareholders are\n\nsome of the world’s largest and most astute investors, and who also\n\n2010 ANNUAL REPORT | **5**\n\nThrough a wide variety of transactions,\n\nincluding several led by Chesapeake,\n\nthe global energy industry made it clear\n\nthat the assets owned by Chesapeake and\n\nsome of its peers are the most attractive\n\nin the world.\n\n*<< Aubrey K. McClendon, Co-Founder, Chairman and Chief Executive Officer*",
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- "text": "###### FROM PENNSYLVANIA TO NEW MEXICO,\n\n### WE THANK EVERY MEMBER OF TEAM CHESAPEAKE »\n\nWe would like to thank each of Chesapeake’s 10,021 employees who brought a unique combination of experience, talent and\n\npositive attitude to the company in 2010. Last year the company was honored for the fourth consecutive year with inclusion\n\nin the FORTUNE 100 Best Companies to Work For <sup>®</sup> list at #32, the highest-ranking company in the energy production industry.\n\n**30** | EMPLOYEES\n\n**1989 (3)**\n\nKinney Louthan\n\nAubrey McClendon\n\nPatsy Watters\n\n**1990 (3)**\n\nKevin Decker\n\nDavid Higgins\n\nCindi Williams\n\n**1991 (4)**\n\nSteve Dixon\n\nMarilyn Pollard\n\nPatti Schlegel\n\nJulie Washam\n\n**1992 (2)**\n\nTom Price\n\nMelanie Weaver\n\n**1993 (5)**\n\nRalph Ball\n\nDavid Desalvo\n\nMike Johnson\n\nRandy Pierce\n\nDave Wittman\n\n**1994 (16)**\n\nBarbara Bale\n\nMartha Burger\n\nMichael Coles\n\nTraci Cook\n\nRon Goff\n\nGreg Knight\n\nDan LeDonne\n\nRich McClanahan\n\nSteve W. Miller\n\nTommy Morphew\n\nPat Pope\n\nDanny Rutledge\n\nStephanie Shedden\n\nRonnie Ward\n\nShelly White\n\nGerald Zgabay\n\n**1995 (26)**\n\nRichey Albright\n\nPaula Asher\n\nEric Ashmore\n\nRandy Borlaug\n\nShelli Butler\n\nMelissa Chambers\n\nDale Cook\n\nTed Davis\n\nMandy Duane\n\nSteve Gaskins\n\nJennifer Grigsby\n\nGayle Harris\n\nHenry Hood\n\nLorrie Jacobs\n\nBarry Langham\n\nCindy LeBlanc\n\nLeland Murray\n\nFred Portillo\n\nJohn Qualls\n\nPat Rolla\n\nHank Scheel\n\nCharles W. Scholz\n\nStan Stinnett\n\nBrenda Stremble\n\nGreg Weinschenk\n\nBrian Winter\n\n**1996 (29)**\n\nHeather Anderson\n\nJamie Carter\n\nJasen Davis\n\nGeorge Denny\n\nTim Denny\n\nGary Dunlap\n\nLaurie Eck\n\nJan Fair\n\nBarbara Frailey\n\nLinda Gardner\n\nCharlene Glover\n\nRandy Goben\n\nJim Gomez\n\nMelissa Gruenewald\n\nDoug W. Johnson\n\nJim Johnson\n\nTaylor Kemp\n\nMike Lebsack\n\nSteve Lepretre\n\nLarry Lunardi\n\nJohn Marks\n\nSandi Michalicka\n\nLiz Muskrat\n\nAngela Ports\n\nTommy Putz\n\nBryan Sagebiel\n\nKurt Schrantz\n\nPhyllis Trammell\n\nAllan Waldroup\n\n**1997 (32)**\n\nLinda Allen\n\nKarla Allford\n\nSara Caldwell\n\nSteve Cody\n\nKristine Conway\n\nRandy Cornelsen\n\nMichelle Cullen\n\nBruce Dixon\n\nGreg Drwenski\n\nMark B. Evans\n\nJoy Franklin\n\nRob Gilkes\n\nShane Hamilton\n\nMichael Horn\n\nEric Hughes\n\nDavid B. Jones\n\nMike Ludlow\n\nSarah Lumen\n\nLauren Matlock\n\nSam McCaskill\n\nBob Neely\n\nBob Pope\n\nErick Porter\n\nJolene Schur\n\nCarolyn Simmons\n\nApril Smith\n\nWilma Smith\n\nFrank Unsicker\n\nIvajean Wallace\n\nCraig White\n\nDori Williams\n\nCurtis Williford\n\n**1998 (62)**\n\nStephen Adams\n\nCrae Barr\n\nFrancy Beesley\n\nJoel Bennett\n\nLeonard Berry Jr.\n\nSusan Bradford\n\nMark Brown\n\nRandy Brown\n\nLori Budde\n\nTerry Caldwell\n\nBob Campbell\n\nTed Campbell\n\nSherri Childers\n\nTana Clark\n\nJennifer Copeland\n\nDavid Craycraft\n\nIris Drake\n\nMac Drake\n\nGary Egger\n\nSteve Emick\n\nDan Estes\n\nDennis Frick\n\nStacy Gilbert\n\nJim Gowens\n\nKelsey Hammit\n\nTresa Hammond\n\nJeff L. Harris\n\nDebbie Hulett\n\nJulie Ingram\n\nTammy Kelln\n\nRose Kim\n\nSteve King\n\nMike Lancaster\n\nChris H. Lee\n\nCarrie Lewis-Crawford\n\nCraig Madsen\n\nJohn Marshall\n\nKim Massey\n\nAllen May\n\nDennis McGee\n\nAllen A. Miller\n\nBill Miller\n\nCarey Milligan\n\nDavid Mobley\n\nWesley Myers\n\nBud Neff Jr.\n\nKathy Nowlin\n\nDon Pannell\n\nMichael Park\n\nMandy Pena\n\nMatt Rockers\n\nKelly Ruminer\n\nGreg Small\n\nBill Snyder\n\nGeorge Soto\n\nDan Sparks\n\nLinda Steen\n\nBecky Thomas\n\nJennifer Van Meir\n\nRusty Walker\n\nLynn Whipple\n\nMandy Whipple\n\n**1999 (22)**\n\nJonathan Ball\n\nMel Barker\n\nSue Black\n\nDory Douglas\n\nMark Edge\n\nJenny Ferguson\n\nJeanie Fuller\n\nSusan Green\n\nYamei Hou\n\nDoug Jacobson\n\nJim Kelley\n\nLynn Looper\n\nDea Mengers\n\nMichael Miller\n\nTammy Nguyen\n\nLaCosta Rawls\n\nLarry Shipley\n\nMichelle Smith\n\nConnie Turner\n\nCourtney Tyson\n\nTonya Vallerand\n\nTobin Yocham\n\n**2000 (41)**\n\nShellie Ashworth Pollard\n\nJohnnie Bartlett\n\nDoug Bellis\n\nJan Benton\n\nBobby Bolton\n\nJeff Brooks\n\nBecky Cassel\n\nRachel Clapp\n\nDebbie Curtis\n\nJennifer Dees\n\nTammy Fields\n\nRobin Gonzalez\n\nAnnie Hamilton\n\nTwila Hines\n\nEric Hoffman\n\nRonnie Howell\n\nJim Kuhlman\n\nDon Lee\n\nDebbie Lloyd\n\nJay May Jr.\n\nAndrea McCall\n\nCindy McClintock\n\nCollin McElrath\n\nCourtney Moad\n\nGeorgia Moller\n\nChantelle Porter\n\nEdward Puffinbarger\n\nMike Sawatzky\n\nCindy Schwieger\n\nBrent Scruggs\n\nVance Shires\n\nStuart Skelton\n\nDavid W. Smith\n\nCatherine Stairs\n\nJerry Townley\n\nNick Wavers\n\nBrenda Wheeler\n\nBob Whitman\n\nDavid Whitten\n\nBrent Williams\n\nBob Woodside\n\n**2001 (98)**\n\nJerry Aebi\n\nKaren Albornoz Cranford\n\nJeremy Allison\n\nTerry Ashton\n\nBetsy Ball\n\nGloria Bates\n\nMichelle Bender\n\nBruce Boeckman\n\nBoyce Boelen\n\nSharon Bradford\n\nVon Brinkley\n\nDeanne Brooks\n\nMarty Byrd\n\nCarlos Caraveo\n\nBiff Carter\n\nJohn Carter\n\nKeith Case\n\nMarika Chambers\n\nKristi Clemmens\n\nJohn Cook\n\nTim Cook\n\nJuanita Cooper\n\nJim Corsoro\n\nLeigh Ann Crain\n\nBrian Cunningham\n\nGarry Curry\n\nShawn Downey\n\nJeff Eager\n\nRichard Easterly\n\nTommy Edler\n\nAmanda Elam\n\nBrian Exline\n\nAlex Gallardo Jr.\n\nMatt Gambill\n\nRoy Gentry\n\nSuzie Goolsby\n\nRandy Grayson\n\nRick Green\n\nKajsa Greenhoward\n\nJackie Gross\n\nJohnny Harris\n\nJeremiah Jackson\n\nKrista Jacobson\n\nJustin Johnson\n\nKeith Johnson\n\nRob Jones\n\nJohn Kapchinske\n\nGinni Kennedy\n\nEdward Killen\n\nJulie Knox\n\nDaniel Koehn\n\nKennetta Lee\n\nJeff Lenocker\n\nJulia Lillard\n\nDarwin Lindenmuth\n\nTravis Long\n\nRita Marple\n\nJim McHenry\n\nDebbie McKee\n\nDon Messerly\n\nJ. C. Morris\n\nMelinda Neher\n\nLee Nelson\n\nKevin Newberry\n\nTim Newville\n\nDeborah O’Neal\n\nRicky Petty\n\nDianne Pickard\n\nCatherine Ratliff\n\nLynn Regouby\n\nGina Romano\n\nJohn Romine\n\nLarry Ross\n\nMike Rossiter\n\nLarry Settle\n\nDee Smith Jr.\n\nPatrick Smith\n\nChris Sorrells\n\nDennis Splan\n\nJason Stamper\n\nCindy Stevens\n\nBill Stillwell\n\nGary Stoner\n\nHoward Stout\n\nTim N. Taylor\n\nJason Thaxton\n\nAlvin Thomas\n\nRudy Thomas\n\nRobbie Thrash\n\nLarry Watters\n\nPaige Whitehead\n\nConnie Williams\n\nFreda Williams\n\nDawn Wilson\n\nBrandon Winsett\n\nMarvin Winter Jr.\n\nLarry Woodruff\n\nAmanda Young\n\n**2002 (132)**\n\nPaula Abla\n\nNicole Adams\n\nJenny Adkins\n\nRoger Aldrich\n\nJimmy Alexander\n\nBrian Babb\n\nCharlie Bagley\n\nBob Baker\n\nLynard Barrera\n\nCindy Barrios\n\nShane Barron\n\nDennis Bass\n\nJames Beavers\n\nRandy Bergen\n\nLeonard Blackwill\n\nPaul Bowyer\n\nTroy Bradford\n\nRobert Bradley\n\nDon Bredy\n\nJim Brock\n\nCindy Brown\n\nKathy Brown\n\nLynn Broyles\n\nJason Budde\n\nGreg Burchett\n\nAaron Bush\n\nErnest Byrd\n\nChris Carter\n\nPaul Childers\n\nJackie Cooper Jr.\n\nLori Crabtree\n\nCary Crusinbery Jr.\n\nJames Davis\n\nTrent Delano\n\nCheryl Delzer\n\nCathy DeGiusti\n\nLarry Dill\n\nSherry Dixon\n\nEldon Eagan\n\nEric S. Edwards\n\nMichael Falen\n\nMark Falk\n\nShawn Fields\n\nTom Flesher\n\nViel Flores\n\nJustin Foust\n\nAdam Gaskill\n\nTamara Gathers\n\nFred Gipson\n\nLisa Glover\n\nCornelio Gomez\n\nDavid Gouker\n\nSteve Hall\n\nMelvin Harper\n\nJohn Henry\n\nJohn Hornsby\n\nJohn Hurst\n\nTodd Ice\n\nBud Jackson\n\nJay Jarvis\n\nDanny Jech\n\nJim Jinkins\n\nGary D. Johnson\n\nWilliam D. Johnson\n\nChris Jones\n\nJoe Jones\n\nMike Kee\n\nDax Kimble\n\nNancy Knox\n\nGreg Kochenower\n\nJeremie Koehn\n\nSpencer Land\n\nSteve Larman\n\nRicky Laster\n\nCasidy Lee\n\nKen Leedy\n\nStephen Lobaugh\n\nBilly Long\n\nShawn Marsh\n\nAndrew McCalmont\n\nMitch McNeill\n\nRichard Mieser\n\nSteve Mills\n\nSidney Mitchell\n\nClaudia Molina de Wolford\n\nNathan Morrison\n\nTodd Murphy\n\nCindy Murray\n\nJeff Newby\n\nRick Nunley\n\nJohn Ortiz\n\nDavid Parker\n\nRobert Pennel\n\nRyan Phillips\n\nSharon Pool\n\nBob Portman\n\nEric Powell\n\nMike L. Reddick\n\nRonald Reidle\n\nMartin Robertson II\n\nA.D. Robison\n\nRandy Rodrigue\n\nVern Roe Jr.\n\nDanny Schmidt\n\nKary Schneberger\n\nStacy Settles\n\nDewayne Shaw\n\nMichael Sherwood\n\nWill Shisler\n\nGreg Skiles\n\nChad Smith\n\nRobin Smith\n\nMaria Strain\n\nJosh Swift\n\nChris Townsend\n\nMichelle Townsend\n\nRyan Turner\n\nRodney Vaeth\n\nFred Vasquez\n\nRuben Vega Jr.\n\nAl Warner\n\nJames Warner\n\nMichael Weese\n\nHazel Welch\n\nLeslie Wertz\n\nEddie Whitehead\n\nJohn Wilken\n\nGary Willeford\n\nMark Willson\n\nJerry Wilson\n\nRobert A. Wilson\n\nRoy Wilson\n\n**2003 (211)**\n\nRonald Aaron\n\nPat Abla\n\nCorky Baker\n\nStaci Barentine-Bogle\n\nCharlie Bateman\n\nMike Bechtel\n\nJohn Biggs\n\nTammi Bradford",
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- "source_file": "NYSE_CHK_2010.pdf"
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- "text": "Martha Burger\n\nSenior Vice President -\n\nHuman and Corporate Resources\n\n**What innovations and advancements have led to CHK’s ability to produce liquids from**\n\n**shales and other tight reservoirs?**\n\nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed\n\nexpertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of\n\nhorizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that\n\nwere previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight\n\nreservoirs has come from the company’s ability to extend the technological advances gained in the development of\n\ntight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich\n\nplay discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have ben\n\nefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well\n\nas an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to\n\nbetter identify formations most likely to generate liquids-rich production, including more than a dozen new plays for\n\nthe company. We have subsequently improved the success of our liquids-rich plays through the use of optimal well\n\nbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized\n\nfracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume\n\nin low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have\n\nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry’s most advanced shale core laboratory.\n\n**It is often said that the energy industry has an aging work force that is fast approaching**\n\n**retirement age. How is Chesapeake addressing this?**\n\nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry down\n\nturn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong compe\n\ntition from other industries lured away many of the best and brightest science and technology graduates, and today\n\nmany experienced professionals who stayed in the industry through the downturn are approaching retirement age.\n\nAs a result, one of our industry’s greatest challenges over the past 10 years has been to develop a new generation\n\nof natural gas and oil professionals who have the knowledge and experience required to meet the nation’s growing\n\nenergy needs.\n\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting\n\nand training a new generation of energy professionals would impact the company’s future success and its ability to\n\ncompete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs\n\nand decided to create a world-class college recruiting and intern program to recruit the most promising industry\n\ntalent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go\n\non to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive\n\nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads\n\nand career counselors at the more than 31 universities where we actively recruit.\n\nAs a result of these efforts, young professionals in a wide range of disciplines, from scientists and engineers to land management and legal\n\nspecialists, are being groomed to take over the reins as they learn the business through mentoring, extensive training, development opportunities\n\nand challenging work assignments. They are generously rewarded with excellent compensation and benefits, as well as an industry-leading working\n\nenvironment that encourages camaraderie and teamwork. The success of Chesapeake’s strategy is apparent: the average age of the company’s\n\ngeoscience, land and engineering departments has dropped from 49 in 2000 to 36 today. In addition, the average age of the company’s 4,000\n\nOklahoma City headquarters employees is 33. Even as some of Chesapeake’s employees retire, the company is well equipped with a seasoned work\n\nforce that is prepared to support and lead the way in Chesapeake’s continued growth.\n\n##### CHESAPEAKE MANAGEMENT PERSPECTIVES »\n\nSteve Dixon\n\nExecutive Vice President -\n\nOperations and Geosciences and\n\nChief Operating Officer\n\n**20** | INVESTOR Q&A",
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- "text": "### AMERICA’S PREMIER ENERGY RESOURCE BASE »\n\n**16** | OPERATING AREAS\n\n## **1**\n\n## **2**\n\n## **3**\n\n## **4**\n\n## **8**\n\n## **7**\n\n## **6**\n\n## **5**\n\nMarcellus Shale\n\nBarnett Shale\n\nHaynesville\n\nShale\n\nBossier\n\nShale\n\nEagle Ford\n\nShale\n\nAnadarko\n\nBasin\n\nRockies\n\nPermian\n\nBasin\n\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has\n\nbuilt a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays\n\nand in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica\n\nunconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise\n\ngained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of\n\nnatural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of\n\ndivestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion\n\ncubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end\n\n2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the\n\nU.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling\n\nopportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake’s ownership position\n\nin our key operating areas.\n\nNatural Gas Shale Areas\n\nLiquids-Rich Areas\n\nOperating States",
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- "text": "*Developing great assets begins with*\n\n*great people, such as the hardworking*\n\n*crews of Nomac, Chesapeake’s wholly*\n\n*owned drilling subsidiary. Employees*\n\n*take pride in the critical roles they play*\n\n*in finding and delivering natural gas*\n\n*to their fellow Americans.*",
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- "source_file": "NYSE_CHK_2010.pdf"
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